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RECORD KEEPING AND RETENTION POLICY

The Approved Provider and Management are responsible for overseeing and ensuring records are maintained and stored in accordance with relevant legislation contained in the National Law and National Regulations, National Quality Standard and Family Assistance Law.

NATIONAL QUALITY STANDARD (NQS)

QUALITY AREA 7: GOVERNANCE AND LEADERSHIP
7.1GovernanceGovernance supports the operation of a quality service.
7.1.1Service philosophy and purposesA statement of philosophy guides all aspects of the service’s operations.
7.1.2Management systemsSystems are in place to manage risk and enable the effective management and operation of a quality service.
7.1.3Roles and responsibilitiesRoles and responsibilities are clearly defined and understood and support effective decision making and operation of the service.
7.2LeadershipEffective leadership builds and promotes a positive organisational culture and professional learning community.
7.2.1Continuous improvementThere is an effective self-assessment and quality improvement process in place.
7.2.2Educational leadershipThe educational leader is supported and leads the development and implementation of the educational program and assessment and planning cycle.
7.2.3Development of professionalsEducators, co-ordinations and staff members’’ performance is regularly evaluated, and individual plans are in place to support learning and development.
EDUCATION AND CARE SERVICES NATIONAL REGULATIONS AND NATIONAL LAW
29Condition on service approval—insurance
31Condition on service approval—quality improvement plan
55Quality improvement plans
56Review and revision of quality improvement plans
74Documenting of child assessments or evaluations for delivery of educational program
87Incident, injury, trauma and illness record
92Medication record
102Authorisations for excursions
102DAuthorisations for service to transport children
118Educational leader
126Centre-based services – general educator qualifications
145Staff record
146Nominated Supervisor
147Staff Members
149Volunteers and students
150Responsible person
151Record of educators working directly with children
152Record of access to early childhood teachers
158Children’s attendance record is to be kept by approved provider
160Child enrolment records to be kept by approved provider and family day care educator
161Authorisations to be kept in enrolment record
162Health information to be kept in enrolment record
167Record of service’s compliance
168Education and care service must have policies and procedures
173Prescribed information to be displayed
177Prescribed enrolment and other documents to be kept by approved provider
180Evidence of prescribed insurance
181Confidentiality of records kept by approved provider
183Storage of records and other documents
184Storage of records after service approval transferred
185Law and regulations to be available
S162APersons in day-to-day charge and nominated supervisors to have child protection training


RELATED LEGISLATION

Child Care Subsidy Secretary’s Rules 2017Family Law Act 1975
A New Tax System (Family Assistance) Act 1999Work Health and Safety Act 2011
Family Assistance Law – Incorporating allrelated legislation for Child Care Provider Handbook in Appendix G https://www.education.gov.au/early-childhood/resources/child-care-provider-handbook

RELATED POLICIES

Administration of First Aid Policy Administration of Medication Policy CCS Governance Policy Child Safe Environment Policy Child Protection Policy Dealing with Complaints Policy Death of a Child at the Service Policy Delivery of Children to and from EEC Service Premises Policy Enrolment Policy Excursion/Incursion PolicyGovernance Policy Immunisation Policy Incident, Injury, Trauma and Illness Policy LDC Death of a Staff member at the Service Policy Medical Conditions Policy Photograph Policy Privacy and Confidentiality Policy Professional Development Policy Responsible Person Policy Student and Volunteer Policy Supervision Policy

PURPOSE

We aim to maintain and manage appropriate records in a private and confidential manner, working in accordance with legislative requirements and best practice. 

SCOPE

This policy applies to families, management, Approved Provider, Nominated Supervisor, Responsible Person, visitors and educators of the Service.

IMPLEMENTATION

The Approved Provider is responsible for compliance with record keeping requirements in accordance with Education and Care Services National Law and National Regulations. To maintain approval for Child Care Subsidy, providers must also keep certain records in accordance with Family Assistance Law.

This policy encompasses requirements for National Law and National Regulations and Family Assistance Law. Records that are required for Family Assistance Law must be kept for seven years and are highlighted in red.

Prescribed records to be kept by approved provider:

The following records are to be retained in a secure location at the Service:

  • complaints made to the provider, or to any of the services of the provider, relating to compliance with Family Assistance Law(records must be kept for seven years)
  • children’s attendance records (regardless of eligibility for Child Care Subsidy) (Regulation 158) to be kept until the end of 3 years after the child’s last attendance [Regulation 183]. These records are also required for Family Assistance Law (records must be kept for sevenyears)
  • record of any absences from care for all children (regardless of eligibility for Child Care Subsidy- records must be kept for seven years)
  • statements or documents demonstrating that addition absence days in excess of the initial 42 absence days satisfy requirements(records must be kept for seven years)
  • copies of invoices and receipts issued for the payment of childcare fees(records must be kept for seven years)
  • the identifying number and expiry date of a Working With Children Check (WWCC), current vulnerable people check or criminal history record of all staffto be kept until the end of 3 years after the last date the staff member provided education and care to children.
  • any evidence or information produced to obtain police checks and Working With Children Checks for personnel and to support any statements about these checks in an application for provider or service approval. These records are also required for Family Assistance Law (records must be kept for seven years)
  • copies of all Statements of Entitlement issued, and any statements issued to advise that there was a change of entitlement- Child Care Subsidy(records must be kept for seven years)
  • written record of any notice given to a state or territory body about a child at risk of abuse or neglect (records must be kept for seven years)
  • copies of the evidence and information provided with an application for approval about persons with management or control of a provider and persons responsible for the day-to-day operation of the service (records must be kept for seven years)
  • educational leader records (Regulation 118)
  • child assessments or evaluations for delivery of the educational program (Regulation 74) (to be kept for 3 years after the child’s last day of attendance [Regulation 183])
  • an incident, injury, trauma and illness record (Regulation 87) (to be kept until child is 25 years [Regulation 183])
  • medication records (Regulation 92) (Keep until the end of 3 years after the child’s last attendance [Regulation 183])
  • staff records (Regulation 145)
  • record of volunteers and students (Regulation 149)
  • and National Law S162A)
  • record of educators working directly with children (Regulation 151)
  • record of access to early childhood teachers (Regulation 152)
  • children’s attendance records (Regulation 159) to be kept until the end of 3 years after the child’s last attendance [Regulation 183]
  • any record relating to the death of a child whilst being educated and cared for by the Service or as a result of an incident whilst being educated and cared for, until the end of 7 years after the death of a child
  • child enrolment records (Regulation 160) (to be kept until the end of 3 years after the child’s last attendance [Regulation 183]).(Further details below)
  • record of the Service’s compliance with the Law (Regulation 167)
  • a record of each nominated supervisor and any person placed in day-to-day charge of the education and care service (Regulation 146)
  • evidence of prescribed insurance must be available at the education and care service premises (Regulation 180). Current policy of insurance for public liability with a minimum cover of $10 000 000 (Reg. 29)


Records to be kept in relation to the Nominated Supervisor (Reg. 146and Law. S162A)

  • the full name, address and date of birth
  • evidence of any relevant qualifications held by the Nominated Supervisor
  • if applicable, evidence that the Nominated Supervisor is actively working towards a qualification.
  • If this is the case, the following must be recorded:
    • Proof of enrolment
    • Documentary evidence that the Nominated Supervisor has commenced the course, is making satisfactory progress towards the completion of the course, is meeting the requirements of maintaining the enrolment.
    • For Nominated Supervisors who are working towards the completion of a Diploma level education and care qualification, proof that they hold an approved Certificate III level education and care qualification or have as completed the units of study that equate to an approved Certificate III level education and care qualification determined by ACECQA.
  • evidence of any approved training (including first aid training, current approved anaphylaxis management training, approved emergency asthma management training and approved Child Protection) completed by the Nominated Supervisor
  • the identifying number and expiry date of a Working with Children Check (WWCC) and Australian National Police Check
  • date the check, card, record or registration was and the date this was verified and by whom

Records to be kept in relation to Staff and Educators: (reg: 147)

  • the full name, address and date of birth
  • evidence of any relevant qualifications
  • if applicable, evidence that the staff member/educator is actively working towards a qualification. If this is the case, the following must be recorded:
    • Proof of enrolment.
    • Documentary evidence that the staff member/educator has commenced the course, is making satisfactory progress towards the completion of the course, is meeting the requirements of maintaining the enrolment.
  • for educators who are working towards the completion of a Diploma level education and care qualification, proof that they hold an approved Certificate III level education and care qualification or have as completed the units of study that equate to an approved Certificate III level education and care qualification determined by ACECQA.
  • the identifying number and expiry date of the Working with Children Check (WWCC) and the date this was verified. (Check with the legal requirements for each state and territory)
  • Teacher Registration details (if applicable)

Records to be kept in relation to the Educational Leader: (Reg: 148)

Records to be kept in relation to Students and Volunteers: (Reg: 149)

  • the full name, address and date of birth of each student or volunteer
  • the Approved Provider must also keep a record for each day on which the student or volunteer participates in the Service, the date and hours of participation.

Records to be kept in relation to the Responsible Person: (Reg: 150and Law. S162A)

  • the staff record must include the name of the responsible person at the Service for each time that children are being educated and cared for by the Service.
  • application for approval about the person responsible for day-to-day operation of a Service

Records to be kept in relation to educators working directly with children: (Reg: 151)

  • the name of each educator
  • the hours that each educator works directly with children
  • a staff roster or time sheet stating educators contact and non-contact hours/shift.

Records to be kept in relation to access to early childhood teacher/s: (Reg: 152)

The approved provider of a centre-based service that provides education and care to fewer than 25 children preschool age or under must ensure that a record is kept of the following—

(a) the period that an early childhood teacher is working with the service in accordance with regulation 130 or 131(2); and

(b) the periods that the early childhood teacher is working directly with children and is not working directly with children.

The approved provider of a centre-based service that provides education and care to 25 or more but not more than 59 children preschool age or under must ensure that a record is kept of the period that an early childhood teacher is in attendance at the service.

The approved provider of a centre-based service that provides education and care to 60 or more children preschool age or under must ensure that a record is kept of the period that each early childhood teacher and each suitably qualified person is in attendance at the service.

Records to be kept in relation to child enrolment: (Reg: 160)

  • the full name, date of birth and address of the child- [birth certificate, passport, identify papers]
  • the name, address and contact details of:
    • each known parent of the child
    • any person who is to be notified of any emergency involving the child if any parent of the child cannot be immediately contacted
    • any person who is an authorised nominee
    • any person who is authorised to consent to medical treatment of, or to authorise administration of medication to the child
    • any person who is authorised to authorise an educator to take the child outside the education and care service premises
    • any person who is authorised to authorise the education and care service to transport the child or arrange transportation for the child
    • details of any court orders, parenting orders or parenting plans provided to the approved provider relating to powers, duties, responsibilities or authorities of any person in relation to the child or access to the child
    • details of any other court orders provided to the approved provider relating to the child’s residence or the child’s contact with a parent or other person
    • gender of the child
    • language used in the child’s home
    • cultural background of the child and parents
    • any special considerations for the child (e.g. cultural, religious, dietary requirements or additional needs).
    • authorisations signed by a parent or a person named in the enrolment record as authorised to consent to the medical treatment of the or nominated supervisor to seek:
      • medical treatment for the child from a registered medical practitioner, hospital or ambulance service
      • transportation of the child by any ambulance service
  • authorisation to take the child on regular outings [Reg 102]
  • authorisation for regular transportation of the child (if relevant) [Reg 102D(4)]

Health Information to be kept in enrolment record [Reg: 162]

  • the name, address and telephone number or the child’s registered medical practitioner or medical service
  • the child’s Medicare number if available
  • details of any specific healthcare needs of the child including any medical conditions or allergies including whether the child has been diagnosed as at risk of anaphylaxis, including details of any medical management plan.
  • details of any dietary restrictions for the child
  • the immunisation status of the child
  • a notation that states that a staff member or approved provider has sighted a child’s health record.

Records to be kept in relation to enrolled children (Reg. 74)

  • documentation relating to child assessments or evaluations for delivery of the education program, including:
    • assessments of the child’s developmental needs, interests, experiences and participation in the education program
    • assessments of the child’s progress against the outcomes of the educational program.

Records to be kept in relation to incident, injury, trauma and illness: (Reg: 87)

  • details of any incident in relation to a child or injury received by a child or trauma to which a child has been subject while being educated and care for by the Service. The following must be included:
    • the name and age of the child, including date of birth
    • gender
    • the circumstances leading to the incident, injury or trauma
    • the time and date the incident occurred, the injury that was received or the child was subjected to the trauma.
  • details of any illness, which becomes apparent while the child is being educated and cared for by the Service. The following must be included:
    • the name and age of the child
    • the relevant circumstances surrounding the child becoming ill and any apparent symptoms
  • the time and date of the apparent onset of the illness
    • date when child was last at the service
  • details of the action taken by the Service in relation to any incident, injury, trauma or illness which a child has suffered while being educated and cared for by the Service. The following must be included:
    • any medication administered, or first aid provided
    • any medical personnel contacted
    • details of any person who witnessed the incident, injury or trauma including signature of witness
    • the name of any person who the education and care service notified or attempted to notify of any incident, injury trauma or illness a child has suffered at the Service and the time and date of the notification and notification attempts.
    • the name and signature of the person making an entry in the record and the time and date that the entry was made
    • notifications to parent/guardian including attempted notifications
    • signed and dated parent/guardian acknowledgement of record
  • this record must be recorded as soon as is practicable, but not later than 24 hours after the incident, injury, trauma or onset of illness occurred
  • the record must show that a serious incident is entered into the NQA IT System
  • these records must be kept until the child is aged 25 years.

Records to be kept in relation to medication: (Reg: 92, 95, 96)

  • the name of the child
  • the authorisation to administer medication (including self-administration is applicable) signed by a parent or a person named in the child’s enrolment record as authorised to content to administration of medication
  • the name of the medication to be administered
  • the time and date the medication was last administered
  • the time and date or the circumstance under which the medication should be next administered
  • the dosage of the medication to be administered
  • the manner in which the medication is to be administered
  • if the medication is administered to the child:
    • the dosage that was administered
    • the manner in which the medication was administered
    • the name and signature of the person who administered the medication
    • if another individual is required to check the dosage, the name and signature of that person.

Records to be kept in relation to children’s attendance: (Reg: 158)

  • the full name of each child attending the Service
  • the date and time each child arrives and departs
  • the signature of:
    • the person who delivers and collects the child when he or she arrives and departs or,
    • the Nominated Supervisor or educator.

Records to be kept in relation to the Service’s compliance with the law: (Reg: 167)

  • details of any amendments of the Service Approval made by the Regulatory Authority including:
    • the reason stated by the Regulatory Authority for the amendment
    • the date on which the amendment took, or takes, effect
    • the date (if any) that the amendment ceases to have effect
    • details of any suspension of the service (other than a voluntary suspension) including:
      • the reason stated by the Regulatory Authority for the suspension
      • the date on which the suspension took, or takes, effect
      • the date that the suspension ends
    • details of any compliance direction or compliance notice issued to the approved provider in respect of the service, including:
      • the reason stated by the Regulatory Authority for issuing the direction or notice.
      • the steps specified in the direction or notice
      • the date by which the steps specified must be taken
      • this information must not include any information that identifies any person other than the approved provider.
  • the Approved Provider must ensure that the documents referred to above in relation to a child enrolled at the Service are made available to a parent of the child on request.  Accordingly, if a parent’s access to the kind of information referred to in this documentation is limited by an order of a court, the approved provider must refer to the court order in relation to the release of information concerning the child to that parent.
  • the record of compliance referred to above must be available for access on request by any person.

Storage of Records (Reg: 183, 184)

Records made by our Service will be stored in a safe and secure location for the relevant time periods as set out above and only made accessible to relevant individuals.

If the record relates to the death of a child while being educated and cared for by the Service or as a result of an incident while being educated and cared for by the Service, the records must be kept for 7 years after the death. Records related to an incident, illness, injury or trauma must be kept until the child is aged 25 years.

In the case of any other record relating to a child enrolled at the education and care service, until 3 years after the last date on which the child was educated and cared for by the service.(See Appendix 2- ACEQCA image)

All records required to maintain approval as listed in Child Care Providers Handbook, must be kept for seven years. Written records include records that are made and stored electronically, as long as they are stored safely and any changes, apart from incidental changes related to their storage and display, are also recorded. (p. 79).

If a service is transferred under the law, documents relating to a child must not be transferred without the express consent of the child’s parents. 

Confidentiality of Records (Reg: 181)

The Approved Provider will ensure that information kept in a record is not divulged or communicated through direct or indirect means to another person other than:

  • 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 in the case of information kept 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- [Child Information Sharing Scheme (CISS)/ MARAM- Victorian Services
  • with the written consent of the person who provided the information.

Information to be displayed (Reg: 173)

Services must have the following displayed:

  • in relation to the provider approval:
    • the name of the approved provider
    • the provider approval number
    • any conditions on the provider approval.
  • In relation to the service approval:
    • the name of the education and care service
    • the service approval number
    • any conditions on the service approval.
  • the name of each nominated supervisor
  • in relation to the rating of the service:
    • the current rating levels for each quality area stated in the National Quality Standard, and
    • the overall rating of the service.
  • in relation to any service waivers or temporary waivers held by the service, the details of the waivers including:
    • the elements of the NQS and the regulations that have been waived, and
    • the duration of the waiver, and
    • whether the waiver is a service waiver or a temporary waiver.

The Service must also display:

  • the hours and days of operation of the education and care service
  • the name and telephone number of the person at the education and care service to whom complaints may be addressed
  • the name and position of the responsible person in charge of the service at any given time
  • the name of the educational leader at the service
  • the contact details of the Regulatory Authority
  • if applicable, a notice stating that a child who has been diagnosed as at risk of anaphylaxis is enrolled at the service.
  • if applicable, a notice stating that there has been an occurrence of an infectious disease at the premises
  • information relating to the educational program (Regulation 75)
  • the weekly menu is displayed (Regulation 80)
  • emergency and evacuation floor plans and instructions are displayed (Regulation 97 (4))
  • the certificate issued by the regulatory authority displaying the current rating levels of the National Quality Standards and the overall rating of the service.  If applicable display the certificate stating the highest rating level (ie excellent rating). (Regulation 173 (3))

ADDITIONAL RECORDS TO BE KEPT FOR FAMILY ASSISTANCE LAW (if applicable)

  • a Complying Written Agreement (CWA) for all enrolments registered to claim Child Care Subsidy (CCS). Updated CWAs must be signed if there are changes to the original enrolment conditions.
  • documentation relating to an Additional Child Care Subsidy (ACCS) claim

Appendix 1:  Family Assistance Law

Family Assistance Law is a broad term that encompasses the following legislation:

A New Tax System (Family Assistance) Act 1999

A New Tax System (Family Assistance) (Administration) Act 1999

Child Care Subsidy Minister’s Rules 2017 (Minister’s Rules)

Child Care Subsidy Secretary’s Rules 2017 (Secretary’s Rules)

Any other instruments (including regulations) made under the A New Tax System (Family Assistance) Act 1999 and the A New Tax System (Family Assistance) (Administration) Act 1999

Schedules 5 and 6 to the A New Tax System (Family Assistance and Related Measures) Act 2000.

Appendix 2:  ACECQA graphic image

https://www.acecqa.gov.au/sites/default/files/acecqa/files/NQF/Record_keeping_A4.pdf

CONTINUOUS IMPROVEMENT/REFLECTION

Our Record Keeping and Retention Policy will be updated and reviewed annually in consultation with families, staff, educators and management.

SOURCE

Australian Children’s Education & Care Quality Authority. (2014).

Australian Government Department of Education Child Care Provider Handbook

https://www.education.gov.au/early-childhood/resources/child-care-provider-handbook

Australian Government Department of the Officer of the Privacy Commissioner: www.privacy.gov.au

Australian Legal Information Institute: www.austlii.edu.au

Australian Taxation Office: www.ato.gov.au

Child Care Subsidy Secretary’s Rules 2017.

Early Childhood Australia: www.earlychildhoodaustralia.org.au

Education and Care Services National Law Act 2010. (Amended 2018).

Education and Care National Regulations. (2011).

NSW Government Department of Community Services:  www.community.nsw.gov.au

NSW Office of the Children’s Guardian: https://ocg.nsw.gov.au/

Privacy Act 1988.

Revised National Quality Standard. (2018).

Western Australian Education and Care Services National Regulations

REVIEW

POLICY REVIEWEDSEPTEMBER 2022NEXT REVIEW DATEDECEMBER 2023
MODIFICATIONSUpdate of Department name from Department of Education, Skills, and Employment to Department of Educationadditional regulation information included (Reg. 31, 55, 56, 185)minor formatting edits within texthyperlinks checked and repaired as requiredlinks within sources updated to education.gov.au link to Western Australian Education and Care Services National Regulations added in ‘Sources’Continuous Improvement/Reflection section added
POLICY REVIEWEDPREVIOUS MODIFICATIONSNEXT REVIEW DATE
DECEMBER 2021Additional authorisations for transportation added- Reg 160Additional section Health Information in enrolment recordChild Information Sharing Scheme included (MARAM for Victorian services)Additional information to be displayed addedSources checkedDECEMBER 2022
AUGUST 2021Update of Related Legislation Update of Related PoliciesUpdate of sources used within policyDECEMBER 2021
FEBRUARY 2021minor edits to ensure Family Assistance Law record keeping requirements are easily identified within policycorrection of regulation related to insuranceDECEMBER 2021
OCT-DEC 2020edits related to access to early childhood teacher (Reg.152)additions in relation to enrolment records (Reg. 160)additional information related to police checks/ PRODA RA numberevidence of prescribed insurance- public liability addedDECEMBER 2021

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