Educator Registration Guidelines

Department for Education and Child Development (DECD)
Family Day Care (FDC) Educator Registration Guidelines
These guidelines assist DECD FDC staff and educators to meet the requirements under the National Law
and Regulations.
Legislation
The Education and Early Childhood Services (Registration and Standards) Act 2011.
Education and Care Services National Regulations (2011) and amendments (September 2012).
CONTENTS
Educator Applicant
Eligibility stage, including assessment and selection as a potential educator.
Applicant Induction
Induction for selected applicants. The processes may vary between
schemes and subject to qualification status of applicant.
Initial Registration
First time registration with a DECD service (also known as a scheme)
Continuing Registration
Once registered, educators continue or maintain their ongoing registration
by regularly updating their qualifications and assessments in accordance
with National Regulations and Educator Registration Conditions
Educator Notification
(Removal from Register)
Educator initiated: Temporary or Permanent Removal from Register.
When educators choose to take an extended break (one month or more)
from active care provision (formerly “resting”) or to retire or cease on a
permanent basis (exit)
Deregistration
(Removal from Register)
Restoring Registration
Service Initiated: Temporary Suspension or Permanent Removal from the
educator register as a result of breaches of Educator Registration Conditions
and requirements. This process is managed by the approved provider
DECD, Scheme Managers and the Early Childhood Services Directorate
When an educator seeks to resume their DECD FDC service after an
extended break. Educators are required to ensure all registration
requirements are updated and current. Coordinators must verify evidence of
educators’ compliance with requirements and update the educator about
scheme activities and expectations, before they recommence.
Resources
These resources assist staff and educators to understand their responsibilities to meet the policies and
procedures required by the National Law and Regulations and DECD FDC:
 ACECQA National Quality Framework Resource Kit (Guide to the National Quality Standards and
Regulations)
 Your Guide, DECD FDC Policy and Fact Sheet Folder
 DECD FDC Your Guide workbook
 DECD FDC Your Service workbook
 Early Years Learning Framework – Belonging Being Becoming (EYLF) and Educator Guide and
resources
 My Time Our Place curriculum framework for school aged children (MTOP) and Educator Guide and
resources
04 DECD FDC Educator Registration Guidelines V1 May 2014
IMPORTANT INFORMATION ABOUT THESE GUIDELINES
The information is provided as a guide only to the processes associated with registration of Educators and
Educator Assistants. This information relates to only the procedures and forms that are common to all
DECD FDC schemes, in order to comply with national regulations and standards for approved services.
Please note that each Scheme Manager (North, Central, South), may use additional processes or forms in
accordance with their local operational needs. Please refer to your specific Scheme Manager and Team
Leader for further information.
Coordinators and educators are advised that the images of documents and forms are to assist with visual
identification and are current as at the time of publication. These are subject to change.
As with all quality improvement for services, all forms and procedures are regularly reviewed by the DECD
Family Day Care leadership team in response to feedback and the changing needs of service and
department requirements.
Your feedback is most important- as staff and educators practically engage in these procedures and use
the forms on a regular basis.
A comment and feedback form is available on the website (educators) and intranet (staff). An example is
included at the end of the guidelines. Only information submitted using this form will be considered in the
review of all materials.
The next formal review of the guidelines (re –print) is scheduled for 2015.
Staff and educators are encouraged to regularly check the department intranet (staff) and website
(educators) for updated forms and documents to ensure that current versions are used. Please ensure
that old versions of forms are deleted, to avoid confusion and help prevent the distribution of out dated
materials.
www.decd.sa.gov.au/familydaycare
2
CONTENTS
You will find in each section, information is presented in 3 parts, for each type of Registration status:
 A summary of the requirements and relevant documents / information for staff
 A more detailed written description of the documents and forms
 Images of the relevant documents to help with recognition of these resources
Section
Page
Educator Applicant: Part A Assessment for eligibility and selection: summary process
4
5-7
Educator Applicant: Part A: Forms and Documents
Educator Applicant: Part B Application for Registration and Induction Program: summary process
4
Educator Applicant: Part B: Forms and Documents
8-11
Educator Initial Registration
12-19
Educator Continuing Registration
20-23
Monitoring Educator Continuing Registration: Scheme responsibilities and compliance
Educator Notification: Educator Initiated Removal from Register
24
25 – 26
Deregistration: Scheme Initiated Removal from Educator Register
27
Restore Registration: Restore educators to active service
28
29 – 32
Educator Assistant: Approval
Educator Assistant: Parent permission and approval for children to be in the sole care of an Educator
Assistant
Educator Absences: Educator Assistant approval to have sole care of children
Forms and Documents (unexpected absence and emergency absence of educator)
Scheme Records
32
33 – 34
35
Incident Notification: Reporting Incidents
36 – 39
Management of Complaints and Care concerns
40 – 44
Management of Complaints and Care Concerns: Forms and Documents, including:
 Natural Justice
 Confidentiality
 Remove and Restore to Register checklists (For DECD Management and Executive)
45 – 48
Feedback form
49
3
EDUCATOR APPLICANT
Assessment for Eligibility and Selection (enquiry)
Initial enquiry


Make contact
PART A
Business and Customer Support Centre (Business Centre) take inquiry,
provides information & send details to relevant scheme office.
Scheme staff manage the following:
Discuss FDC selection process, assessment of person and premises,
including qualification/training status, educator registration requirements &
induction.
Suitability/eligibility
assessment
Send/provide FDC Information for Applicant and Applicant Information form
Visit to premises, assess against policy requirements
Provide “ What Your Family Needs To Know” brochure and discuss
Provide fit & proper person (F&PP) forms:
 medical
 criminal history
 referees
Do not progress until all F&PP information received and assessed
If applicant does not have a relevant qualification - Provide information about
Registered Training Organisations (RTO’s)
Qualified or enrolled for
early childhood qualification
Not suitable


Check statement of attainment to clarify status
Inform applicant reasons for not accepting at this time ( verbal and letter )
Application for Induction Program and Registration PART B
Suitable

Contact applicant to progress scheme registration and induction
Educator Application for Registration form
Note: Educator Information Form (select “initial” on top of form) is
commenced by Coordinator. As applicant completes various requirementsrecord the details as progressive record
Induction

Give applicant:


And preparation/ working
towards registration
Information sheet re induction program
DECD FDC Administrative Training Registration Form
Scheme to complete invoice form and send to DECD. Advise applicant they
will receive an invoice from DECD and will be required to pay direct to DECD
(not scheme).
Complete Administrative Training Registration form with applicant. This is
sent to Business Centre to enrol for the session.
Induction
Registration

Provide resources:
 Your Guide Policy Folder
 Your Guide Workbook
 Your Service Workbook
 Registration Information for Business Administration session (BC)
 Early Years Learning Framework (EYLF) &My Time Our Place (MTOP)
resources
 ACECQA guides to NQS and Regulations
 Health Support Planning Information
 FDC Planning Resource (optional)
 RAN-EC training information
Negotiate contact and support to ensure induction program is completed

Once induction is complete refer to Educator Initial Registration Instructions
4
PART A
FORMS AND DOCUMENTS
Educator Applicant: Assessment for eligibility and selection (Enquiry stage)

Information for Applicants Booklet
This booklet is given to all those enquiring about becoming an educator with a DECD FDC
scheme. It gives applicants basic information about the standards required and small business
information.

What Your Family Needs to Know Brochure
Information to help educator applicants and their families understand the impact family day care
can have on their family.

Applicant Information Form
All applicants complete this form and submit to the scheme, with the medical information, referee
information and Application for Criminal History Screening. This signals the applicant is willing to
confirm their interest and commencement of the eligibility and selection process.

Criminal History Screening Application Form
This form is completed by the applicant, verified by an authorised officer and returned to the
scheme for lodgement with Department for Communities and Social Inclusion (DCSI) Screening
Unit. DCSI send clearance notification to the applicant and via email to the Scheme Manager
(Nominated Supervisor) of the service.

Information for Referees
This document is provided to the educator to give to their nominated referees. This document
provides some background to the FDC program and the key questions and information we ask
from referees.

Request for Information from a Medical Practitioner
The form was developed in conjunction with DECD Legislation and Legal Services and enables
release of relevant medical information from the applicant’s medical practitioner.
Additional documents (supporting information - optional)
Coordinators often provide a few additional resources in the enquiry/selection package to assist applicants
to be aware of requirements for registration and make informed decisions about becoming a FDC
educator. This list below provides a summary of the type of information that may be provided at this stage
(based upon frequently asked questions by enquiring applicants). It is not recommended to provide ALL of
this information at this stage. (This can be quite overwhelming!)




Information about Public Liability Insurance
FDCA Tenants That Care (relevant for those people who reside in rental properties)
My Home My Business Booklet (PSC WA)
Sample of Fact Sheets (FAQ) can include:
o Animals
o Fencing
o Beds and bedding
o Confidentiality
o Home Safety Checks
o Outdoor Play Areas
o Play Equipment
o Soft fall
o Storage
o Sustainable practices
o Trampolines
o Visitors
5
PART A Forms and Documents
Information for Applicants
What your family needs to know
Applicant Information Form
6
Criminal History Screening Application form and information
Some of the optional additional
information
Insurance Information
Tenants That Care
Information for Referees and questions
Assorted Fact Sheets
Information from Medical Practitioner
My Home
My Business Guide
7
PART B

FORMS AND DOCUMENTS
Application for Initial Registration and Induction Program
Letter to invite applicant to complete registration and induction program
Issued by Coordinators, this letter acknowledges the applicant has fulfilled criteria to be eligible to
apply for registration and commence the induction program.
or

Letter unsuccessful application
This letter is to advise the applicant that they have not me the eligibility criteria for registration at
this time.

Application for Initial Registration
This form requires the applicant to confirm their application for registration and declare their
understanding of the requirements and the obligation to complete all components in order to be
registered with the DECD FDC scheme.

Induction and Business Administration Training Program Information sheet
To ensure new educators are prepared for their role, DECD FDC has developed an induction
training program that describes the policies and procedures they will need to follow. This form
provides information about the self -paced induction program.

Business Administration Training Registration form
This form registers the applicant for the Business Administration (Child Care Benefit - CCB)
training, conducted by Business Centre Training Coordinator.
The form is sent by the Coordinator to the Business Centre.

Invoice request form (internal DECD form)
This is completed by Coordinators, noted by the Scheme Manager and forwarded to the relevant
DECD financial delegate for signing. The form is submitted to DECD Account Client Services to
generate an invoice which will be sent to the applicant. The invoice is for the resource fees,
associated with the induction training program. Coordinators are required to explain this process to
applicants.

Induction Program
The Induction Program includes a:
o “Your Guide” (Policy and Guidelines) Workbook
o “Your Service” (NQF Standards and Operations) Workbook
o CCB related Business Administration workshop with Workbook.*
All three are assessed by DECD FDC as a requirement for registration. It is packaged separately
so that applicants who have the Certificate III can complete them progressively, as part of their
induction into the program.
* Note: A self-paced package (including CD Rom) is available to provide some core aspects of the
administrative training. This package is available to educators in rural locations and those
applicants who registration may otherwise might be disadvantaged by a delay in access to the face
to face training workshop. All educator applicants who successfully complete the self -paced
package are required to attend the next scheduled face to face training workshops after their initial
registration. (Some provisions will exist to exempt educators in remote rural locations from the
requirement to attend a face to face session) Please discuss with the Business Coordinator, DECD
FDC Business Centre)
8
Letter to Applicant: Invitation from scheme
to commence induction and registration
Letter to Applicant: Unsuccessful Application
Application for Initial Registration form
9
Induction and Business Administration Training Program Information Sheet
Business Administration Training Registration form
10
DECD Invoice Request
Induction Program Booklets “Your Guide” workbook and “Your Service” workbook
Note the FDC Administration Training workbook is administered and distributed by the DECD FDC
Business and Customer Support Centre.
11
EDUCATOR INITIAL REGISTRATION - Instructions for staff
Eligibility Assessment
and selection completed
Registration


See Educator Applicant & Induction Instructions.
To fulfil registration, the following qualifications, assessments and
forms to be completed:
 Educator Application for Registration form
Fit & Proper Person:
 Criminal history screening
 Medical form
 References
Qualifications:

Certificate III Children’s Services / Early Childhood Education
and Care or higher (transcript required and ACECQA
approved qualification)
 RAN – EC (7 hour or evidence of 7 hour Child Safe
Environments and RAC-EC update)
First Aid




CPR
First Aid
Emergency Asthma Management; and
Anaphylaxis Management.
DECD FDC Induction



“Your Guide” (Policy and Guidelines) workbook
“Your Service” (NQF Standards & Operations) workbook
Business Admin training and Assessment verification
Register (Harmony)
 Premises Assessment
 Home Visit Record (premises and recommendation visit)
 Insurance
 Bank Details Form
 Fee Schedule
 Educator Information Form
 Entered on Register
Coordinators are required to inform the Business Centre (via email)
when a new educator is scheduled to commence.
Additional (if applicable)



Registration forms

Adults in the home criminal history screening
Educator Assistant (separate approval & registration)
Letter from landlord
Educator Registration Certificate signed
Educator Registration Conditions signed
Registration Details Certificate
Welcome letter from Scheme Manager (Nominated Supervisor)
Note: A package of information is provided by the Business Centre to
new educators. This includes fee schedule, timesheets, contracts
and other relevant forms for business administration and CCB/CCR
claims.
12
Educator Initial Registration
Forms and Documents
Educator Premises Risk Assessment and Checklist
This form meets Regulations relating to Children’s Health and Safety and Physical Environment, including
Regulation 116: “Assessments of family day care residences and approved family day care”. It is used at
the initial registration, and regularly thereafter as required. (E.g. when the educator relocates to new
premises or when there are changes to care environment.). There are 2 versions available for use. One
can be found in the “Your Guide” Policy and guidelines workbook (pages 39 - 47) and the second, in Your
Guide – section 4.
Educator Registration Conditions
Based on the previous Conditions of Approval for educators, the conditions easily adapted to meet the
National Law and Regulations. The signed Registration Conditions are to be prominently displayed at the
family day care residence or venue.
Registration Certificate
This certificate reflects the many requirements of the Regulations in relation to information that must be
prominently displayed at the family day care residence or venue. This is re-issued only when there is a
new rating for the service by the Regulatory Authority or if there are changes to the service details or the
educator changes schemes.
Registration Details Certificate
This certificate provides the details of all aspects of the educator’s registration status as per the service
register. This includes all the information relating to their qualifications, training and “fit and proper”
requirements. Approved number of children, overnight care provisions, details of educator assistant/s is
also reflected. The certificate is to be prominently displayed at the family day care residence or venue.
This certificate is re-issued each time an educator’s status changes, and is a reminder for all aspects of
the educator’s continuing registration.
Educator Information form
This form is matched to Harmony, the data base used by DECD FDC to record educator information and
administer child care benefit for each educator and family (the service Register). It ensures DECD FDC
meets Regulation: 153 “register of family day care educators”. This form is used for all information and
changes to the educator’s information and registration status: “initial”, “continuing” or when “restoring” an
educator to the service.
It is completed by DECD FDC staff each time there is new information about the educator to inform
changes to our register.
A copy of the form is retained at the scheme (educator file) and also sent to the Business Centre each
time any information is updated. This requirement is for auditing purposes.
Bank Details Form
This form provides details of the educator’s banking details to enable payments of Child Care Benefit and
Child Care Rebate subsidies. This information is entered into Harmony.
Home Visit Record
This is a standard record used for any significant home visit where educators and Coordinator’s meet.
This provides a summary of observations, discussions, assessments and actions which have been agreed
between the educator and the Coordinator during visits to the educator’s premises. These records are
required for the initial Registration Home Visits.
Welcome Letter: from Scheme Manager
This letter is a sample which is used by DECD Scheme Managers, to welcome new educators to our
service.
13
Educator Premises Risk Assessment and Checklist (stand-alone document)
Educator Premises Risk Assessment (Your Guide)
14
Educator Registration Conditions
15
Registration Certificate
16
Registration Details Certificate
Educator Information form
17
Bank Details Form hard copy or access on line (website) and email
18
Home Visit Record
Letter from Scheme Manager- Welcome
19
CONTINUING REGISTRATION
Registration is continuous, subject to educators maintaining all Registration Conditions and requirements
in accordance with National Regulations and Standards.
Information relating to individual educators is recorded in Harmony (the Register) and is used to ensure
the requirements under the Law and Regulations are met.
Educators are responsible for ensuring that each requirement is up to date and the office has a copy as
per the Education and Care Services National Regulations.
To assist educators, all schemes issue Registration Details certificates to educators. This is a formal
“reminder” of the core requirements.
Educators are encouraged to check their details regularly. Evidence eg. certificates must be received by
the scheme office before the expiry date or the educator cannot provide care and will be temporarily
removed from the educator register until all requirements are up to date.
The Registration Details Certificate is updated and re-issued to educators, each time educators provide
evidence of amended details or authorise changes in writing.
FDC staff will continue to monitor and audit requirements.
How often?
(at least once every
12 months)
What? (process / assessment to support continuing registration)

Annual

Triennial

Premises Assessment
CPR (Educator and Educator Assistant)
Public Liability insurance
Criminal history clearance - educator
Criminal history clearance - other adults residing in premises (over 18
years age)
First Aid
Asthma Management
Anaphylaxis Management
RAN-EC – Child Protection training
Educator Assistant approval (if required)
Ongoing

Educator Professional Development Planning
Home visits
Other contacts
Parent surveys / contact with scheme
Complaints
Informal feedback /comments (collected by educator or scheme)
Risk assessments / Quality Assessment and Improvement
National Quality Standards: QA1, QA4, QA5, QA6
Continuing Registration
Forms

Educator Premises and Risk Assessment Checklist
Home Visit Record (if required)
Educator Information Form
Registration Details Certificate – updated and re-issued each time
any changes are verified and the register is updated.
With Compliments Slip (with certificate)
20
CONTINUING REGISTRATION
Forms and Documents
Educator Premises Risk Assessment Checklist
This form meets Regulations relating to Children’s Health and Safety and Physical Environment, including
Regulation 116 - Assessments of family day care residences. It is used at the initial registration, and
regularly thereafter as required. e.g. when the educator relocates to new premises or when there are
changes to care environment. There are 2 versions available for use. One can be found in the “Your
Guide” Policy and guidelines workbook (pages 39 - 47) and the second, in Your Guide – section 4.
Criminal History Screening Application form
This form is completed by the applicant, verified by an authorised officer and returned to the scheme for
lodgement with Department for Communities and Social Inclusion (DCSI) Screening Unit. DCSI send
clearance notification to the applicant and via email to the Scheme Manager (Nominated Supervisor) of
the service.
Qualifications (training) certificates First Aid, Asthma Management, Anaphylaxis Management and
RAN-EC must be sighted by the scheme
ACECQA (Australian Children’s Education and Care Quality Authority) are responsible for approving
relevant courses in First Aid, Asthma Management and Anaphylaxis Management. Please refer to the
ACECQA website for the details, course codes and updates regarding qualification requirements and
eligible courses.
Registration Details Certificate
This certificate provides the details of all aspects of the educator’s registration status as per the service
Register. This includes information relating to their qualifications, training and “fit and proper”
requirements. Approved number of children, overnight care provisions, details of educator assistant/s is
also included.
The certificate is to be prominently displayed at the family day care residence or venue.
This certificate is re-issued each time an educator’s status changes, acting as a regular reminder for all
aspects of the educator’s continuing registration.
Educator Information form
This form is matched to Harmony, the data base used by DECD FDC to record educator information and
administer child care benefit for each educator and family (The service Register). It ensures DECD FDC
meets Regulation: 153 “register of family day care educators”. This form is used for all information and
changes to the educator’s information and registration status: “initial”, “continuing” or when restoring an
educator to the service.
It is completed by DECD FDC staff each time there is new information about the educator to inform
changes to our register.
A copy of the form is retained at the scheme (educator file) and also sent to the Business Centre each
time information is updated. This process is required for auditing purposes.
With Compliments Slip
This is sent with the Registration Details Certificate to educators, each time the registration details have
been updated.
21
CONTINUING REGISTRATION - Forms and Documents
Premises and Risk Assessment
Scheme office needs a copy of each Qualification certificate
Criminal History Screening
Educator Information Form
22
Updated Registration Details Certificate
With compliments slip
23
MONITORING EDUCATOR CONTINUING REGISTRATION
Scheme Responsibilities and Compliance Process
Under the Education and Early Childhood Services National Law the approved provider of a family day
care service must keep a Register of educators (Regulation 153). For DECD FDC schemes the Educator
Register is the Harmony computer program.
The law also requires Scheme Managers (Nominated Supervisors) to ensure that all educators meet and
maintain the registration requirements.
Educators are responsible for maintaining the requirements of their Registration and providing relevant
evidence to the scheme and avoid deregistration from the scheme. This includes:
 Approved First Aid qualifications
 Approved Asthma and Anaphylaxis Management qualifications
 Reporting Abuse and Neglect - Education and Care (RAN-EC) training
 Criminal History screening (for all persons 18 years and over residing at their premises)
 Public Liability Insurance
 Other relevant registration requirements
An educator cannot provide care with DECD Family Day Care if the above requirements are not
current
An educator can be removed from the register, either temporarily or permanently. This may be because
the educator has moved and the new premises has not yet been approved, a criminal history clearance
has not been received, public liability insurance is not confirmed as paid, or has not provided relevant
certificates to confirm their participation in required training eg. First Aid.
In order to fulfil our responsibilities to ensure educators meet the requirements of the National Regulations
and maintain their eligibility for Continuing Registration, the scheme provides the following:
DECD FDC service
Coordination Units:


Issue registration details certificate relevant to each educator

Conduct assessments of each educator’s care premises- at least
once per year

Update and re-issue the certificate to educators each time
evidence is received to confirm changes or renewed qualifications

Require educators to be responsible for monitoring and
maintaining their registration status and ensuring that required
evidence is received by the scheme before expiry dates of their
qualifications, criminal history screening and public liability
insurance

Send Criminal History Screening Forms out to Educators for
themselves and adults in their premises three months prior to
expiry.

Coordinators conduct monthly audits of qualifications, criminal
history screening clearances, public liability and required
standards

If registration requirement (First Aid, CPR, Asthma, Anaphylaxis,
Child Protection, Insurance) has expired, by delegation, Scheme
Manager temporarily removes Educator from the Register until
evidence is received that it is up to date. Scheme Manager
confirms this in writing to Educator.

If Criminal History Screening for Educators or any other adult in
the home is about to expire/expires, Scheme Manager contacts
Educator to temporarily remove them from the register. Families
are informed verbally. Scheme Manager informs Business
Manager who follows process to inform Regulatory Authority and
confirm temporary removal in writing to Educator and families.

Escalates non-compliance cases to the Business Manager DECD
FDC and the Director, Early Childhood Services for permanent
removal from the Register if educators fail to respond to the
Scheme Manager letter or for serious breaches.
24
EDUCATOR NOTIFICATION: Educator Initiated Removal from the Register
Educators are encouraged to take regular leave, for their wellbeing. Where this leave is more than four weeks the
educator is asked to inform the FDC Scheme who will temporarily remove the educator from the register. This
simply means that you are not working, providing care for children.
A similar process is in place where an educator leaves FDC.
Temporary Absence / Leave from providing care for children
Educator taking
temporary leave
(more than 4 weeks)
Coordinators and scheme
staff


Discuss with Coordinator and families
Provide notice to families (minimum 2 weeks’ notice)
Children in Care Report is reviewed and record care options for families
Educator Notification Form- submit to scheme
Provide anticipated date of return to service
Discuss with Educator
Send/Receive Educator Notification Form
Record details of leave dates in Educator File Records and Educator
Register
Letter to Educator to confirm dates and Restore to the Register reminder
Send copy Educator Notification Form and Children in Care Report to
Business Centre
Email leave dates to FDC Business Centre
Copy of info for educator files
Retirement/ permanent removal from Educator Register
Educator : Exit Service
(Retirement/permanent)
Coordinators and scheme
staff
Forms



Discuss with Coordinator and families
Provide notice to families (minimum 2 weeks’ notice)
Children in Care Report is reviewed and record care options for families
Educator Notification Form- submit to scheme
Return Service Certificates, Registration Conditions and relevant FDC
resources as advised by scheme
Discuss with Educator / Home Visit
Send/Receive Educator Notification Form
Record details of Exit date in Educator File Records and Educator
register
Letter from Scheme Manager to Educator to confirm dates and
acknowledgement of years of service
Exit Survey and reply paid envelope to Educator for feedback
Send Educator Notification Form and Children in Care Report to
Business Centre for cancellation of relevant contracts and family
registrations
Copy of info for educator files
Educator Notification Form (only for 4 weeks + leave or leaving FDC)
Children in Care Report
Home Visit Record (if applicable)
Letter from Scheme Manager
Exit survey- educator
25
EDUCATOR NOTIFICATION: Educator Initiated Removal from the Register
Temporary Absence / leave from active service as educator OR
Retirement / Exit from role as educator with the service
Forms and Documents
Educator Notification Form
This form is to be completed by educators who choose to take leave from providing care for more than 4
weeks. This informs both Coordination Unit and Business Centre staff that the educator will not be working
during a specified period.
The form helps to ensure that new families are not referred during this period, that visits may not be
required and helps to maintain the accuracy of the Educator Register (Harmony).
The form is also used to provide formal written notification of an educator’s intention and details of when
they will leave the FDC program and signals the Coordination Unit and Business Centre to commence exit
procedures and acknowledgement of the educator’s contribution to FDC.
The form is only required for periods of leave where the educator is not available for 4 weeks or more.
Children in Care Report
This Harmony report is used to indicate what alternative care arrangements have been/or are likely to be
made by families currently registered in care with the educator during the period of leave or when the
educator retires or exits the service.
Letter from Scheme Manager - Temporary
The letter provides confirmation to the educator that their extended period of leave is noted and reminds
them of the agreed contact or recommencement dates. This also provides information to remind educators
of the registration requirements that must be fulfilled, prior to recommencing their service.
Registered Educators who are taking a break (having a “rest” from providing care) for a month or longer,
remain eligible to be restored to active service at any time-on the provision that all registration
requirements are updated and have been assessed by scheme staff, as being current, prior to their return.
(refer: Restore to register)
Letter from Scheme Manager - Permanent
The letter acknowledges the Educators years of service and contribution to the program. It informs the
Educator of what certificates and resources are to be returned to the scheme. Also reminds Educator of
the requirements should they decide to return to Family Day Care in the future.
Educator Notification Form
Children in Care Report
26
Letter from Scheme Manager
DEREGISTRATION: Service Initiated Removal from the Register
Decisions to temporarily remove an educator from the register, who fails to maintain their qualifications
and requirements for their continuing registration, will be made by the Executive Director Office for
Children and Young People (or delegate).
The National Law states that the approved provider must ensure that every reasonable precaution is
taken to protect children being educated and cared for by the service from harm and from any
hazard likely to cause injury.
The Executive Director Office for Children and Young People (or delegate) may make decisions to
temporarily remove an educator from the register, based on the health, safety and wellbeing of children.
The principles of natural justice must also be considered, however children and young people will be at
the centre of any decision.
A serious concern may arise from a complaint or allegation made against an educator. It may also arise as
a result of initial enquiries made by scheme staff. An Inquiry or Investigation will be undertaken for all
complaints and concerns. Subject to the nature of the complaint or concern, this will be managed at
scheme level or by department staff or an external agency eg. SA Police.
A serious risk to children’s health, safety or wellbeing will result in an educator being temporarily removed
from the register while inquiries take place. This decision will be made by the Executive Director Office for
Children and Young People (or delegate).
Parents of children, who are registered with the educator, will be notified and supported to find alternative
care, where possible.
Subject to the outcome of any inquiry, an educator may be permanently removed from the register for
serious breaches of Educator Registration Conditions, National Law, Regulations and Standards.
(Please refer to Management of Complaints and Care Concerns)
27
RESTORE REGISTRATION: restore educators to active service
Educator returns after
short term leave

(No changes to
registration requirements
during leave)
Educator:
 Contacts Coordinator on agreed date
 Check Registration Details Certificate – ensure all requirements
are up to date
 If all assessments and requirements are current advise and
confirm recommencement date with scheme and parents
Coordinators:
Educator returns after
extended leave
(months to over year+)
(Amended registration
requirements)

update details on Register (Harmony)
Email Business Centre: educator recommencement date
Educator:
 Check Registration Details Certificate – ensure all requirements
are up to date
 Update Insurance, Training, Criminal History Screening (if
required)
 Submit evidence of any updated training etc.to scheme (if
required)
 Contact Coordinator prior to recommencement, work through
requirements as needed with scheme (refer below).
Coordinator:
-
Discuss plans for recommencement
-
Coordinator Home Visit : Welcome educator back to service
-
Determine if there are changes to the care environment
/overnight care / operating times
-
Coordinator completes Educator Information Form (Note: Tick
“Restore” on top of form
-
Update Register (Harmony) with all details
Check Registration Report and Registration Details Certificate *
Check Work or Action Plan /Investigation recommendations (if
applicable)
Arrange premises assessment (if required) ^
Revisit Professional Development/Improvement Plan
Update educator re scheme developments: any new /changed
information (policy and procedures, resources etc.)
Email and copy of Educator Information Form to Business Centre
Re-issue Registration Details Certificate
Home Visit Record (send to educator and file)
Letter from Scheme Manager and current scheme newsletter –
prepare and send to educator
* Note: Assessing the Early Childhood Qualification
Minimum Certificate III Early Childhood services
If no qualification, check if the educator was registered with scheme as at 1 January 2012. The educator can
be restored until they meet the qualification requirement by 31/12/15 (refer Regulation 336 transitional
provision within South Australia)
If educator seeks to be restored, but exited FDC prior to 1 January 2012- they must be considered as a “new
applicant” and the applicant eligibility and initial registration process is required.
^ Note: Premises Assessment
This is only required if educator has been inactive for over 12 months (or close to 12 months) since the last
assessment OR if there have been changes to the care environment. (e.g. new premises or modifications to
their home)
28
EDUCATOR ASSISTANT APPROVAL
Educator Assistants assist the educator in the course of offering their service.
The primary educator remains responsible for the care of all children.
The primary educator is paid for all care. (Even if they are absent under the specific provisions)
The Educator Assistant is NOT paid for care.
Primary educator’s public liability insurance also covers the Educator Assistant and all on the premises.
Each Assistant must have a separate approval with each individual educator they support.
An educator may apply to have more than one Educator Assistant approved to support their service.
Application

From Educator for EACH
Educator Assistant
Educator Assistant
Educator Assistant Approval
Parent Permission from each family

Applicant
Criminal history clearance (equivalent educator clearance must be
current within past 6 months)
First Aid and CPR
requirements
Asthma
Anaphylaxis
RAN-EC (for DECD volunteers or online RAN-EC for educators)
Drivers Licence details and sighted (if transporting children)
Registered vehicle details and sighted (if transporting children)
Resources

Educator Assistant Fact Sheet
Educator Assistant Information Handbook (available 2014)
Forms

DECD FDC Educator Assistant Approval
Parent Permission (for care to be provided by an Educator Assistant)
Educator Information form
Educator Assistant Certificate of Approval
Registration Details Certificate (updated for primary Educator)
Ongoing
responsibility of primary
Educator

Parent Permission (for care to be provided by an Educator Assistant)
is required for each new family registered in care
Check and ensure Educator Assistant qualifications and requirements
remain current
29
Educator Assistant
Forms and Documents
Educator Assistant Fact Sheet
This document provides background information and the procedures associated with Educator Assistants.
Coordinators and educators are also referred to National Regulations and Scheme Managers for further
information. Some key regulations are:

Reg: 119 Age and supervision requirements (over 18 years)

Reg: 136 First Aid qualifications (educator and Assistant :First Aid, Asthma and Anaphylaxis)

Reg: 144 Family Day Care Educator Assistant

Reg: 154 (e) Record of staff, family day care Coordinators and FDC educator assistants

Reg: 177 Prescribed enrolment and other information to be kept by the approved provider
Educator Assistant Certificate of Approval
A certificate is issued to the Educator Assistant to confirm their approval date and relevant details.
A separate certificate is issued for the approval with each educator they support.
Educator Assistant Approval Form
The first section of this form is to be completed by the Educator Assistant and is submitted to the scheme
by the primary educator. Information to verify qualifications and other information required for Assistant
approval must also be sighted by FDC staff (copies of evidence can be submitted).
This form is approved and signed by the Scheme Manager.
This form must be accompanied by parent permission forms, from each family registered in care with the
educator. The original signed form is returned to the primary Educator who is required to check and
ensure that the Educator Assistant maintains the currency of all requirements.
Parent Permission for Care to Be Provided By an Educator Assistant Form
An Educator needs parent permission from each parent before an educator Assistant can provide
education and care to FDC children.
An Educator Assistant may be approved (with parent permission) to transport children to and from
preschool, school, the family home or another early childhood service.
This form is required from each family registered with the educator and must be submitted along with the
application for approval of the Educator Assistant.
All parents registered with this educator will be asked to complete this form each time
a. there is a new educator assistant approved in the service.
b. a new child from the family is enrolled with this educator.
Registration Details Certificate
This certificate provides the details of all aspects of the educator’s registration status as per the service
Register (Harmony). The certificate is re-issued to educators when an Educator Assistant is approved, to
support them in their service. This must be prominently displayed, providing all details of their service for
families using their service.
Educator Assistant Information Booklet**
A simple guide book is being developed in 2014, to provide more information for educators, assistants and
parents, including Frequently Asked Questions
** denotes not available until late-2014
30
Educator Assistant Fact Sheet
Educator Assistant Approval
Educator Assistant Certificate
Parent Permission (for care and transport) to
be provided by an Educator Assistant
31
Educator Assistant Information Certificate
Educator Assistant
Information Booklet
Coming SOON in 2014!
EDUCATOR ASSISTANT: Parent permission and approval for children to be
in sole care of Educator Assistant
Up to maximum of 4 hours, in the absence of the primary educator
Educator Assistants are approved to help the primary educator by sharing in the care of the children within
the care setting. With parent permission and prior approval, Educator Assistant can provide care to
children, in the absence of the educator in specific situations for a short period of time. Approved
absences are for a period of no more than 4 hours
Educator Unexpected / Non Regular Appointment Absence
Educators are required to structure their working and care arrangements to allow time for their own family
and personal appointments. From time to time there may be some unavoidable circumstances that may
require the educator to be absent for a short period from the care setting. (e.g. a changed specialist
medical appointment or attend a funeral). If available, and with parent permission, An Educator Assistant
may be left in sole care of children during the period the primary educator is absent.
This requires written parent and scheme permission for each time the primary educator is absent.
Parent Permission Forms must be submitted and approval granted by the scheme PRIOR to the absence.
Educator Emergency Absence
In the event of an emergency an educator may leave children in the care of the Educator Assistant.
(Maximum of up to 4 hours). Parents must be notified as soon as possible and will be asked to sign a form
to confirm they were advised and acknowledge that the Educator Assistant cared for their children. These
forms must be received by the scheme within 24 hours. These are required in addition to any incident or
accident process requirements and forms.
32
EDUCATOR ABSENCES: Educator Assistant Approval to have sole care of children
Guidelines for Educators

Educator Unexpected / Non Regular
Appointment Absence







Exceptional / Emergency Absence of
Educator



Educator must contact scheme- check
eligibility
Educator discuss with parents
Check Educator Assistant availability
Parents to complete permission form
Send permission forms to scheme
Obtain approval from scheme PRIOR TO
ABSENCE
Record notes on Timesheet educator absent
and times
Claim for usual care hours

Respond to emergency situation as required
Educator Assistant /educator advise parents
If absence is likely to exceed 4 hours,
Parents to collect children
Inform scheme (Answering Adelaide for out
of hours)
Follow emergency/Incident reporting
procedures
Immediately following emergency-contact
parents and obtain written acknowledgement
/permission form
Submit forms to scheme within 24 hours

Educator Emergency Absence: PARENT



Forms
PERMISSION AND APPROVAL OF AN
EDUCATOR ASSISTANT IN SOLE CHARGE OF
CHILD/REN IN CARE
Exceptional/ Emergency care approval
(Form to be submitted and approval from
scheme immediately following the
absence)
(primary educator absences)

Educator Unexpected/Non Regular
Appointment Absence
PARENT PERMISSION AND APPROVAL OF AN
EDUCATOR ASSISTANT IN SOLE CHARGE OF
CHILD/REN IN CARE
(Form to be submitted and approval from
scheme prior to the absence)
Note: Educator Assistants can only have sole
care of children for up to a maximum of 4
hours at any one time
33
Forms
Educator Unexpected / Non Regular Appointment Absence
Parent Permission and Approval of an Educator Assistant in Sole Charge of Child/ren In Care
This form must be completed by a parent for each child and submitted for approval by the Scheme
Manager (or delegate) before an educator assistant can have sole responsibility for children, where the
primary educator is absent for an unexpected appointment.
Educator Emergency Absence: Parent Permission and Acknowledgement for Educator Assistant
in Sole Charge of Child /ren in Care.
Parents are required to sign this form to acknowledge they were advised of the emergency and informed
of the care arrangements. A form from each family must be received by the scheme within 24 hours,
following the emergency.
Unexpected Absence /Appointment
Prior Notice
Absence due to Emergency
34
SCHEME RECORDS
The following are commonly used documents/formats used by scheme staff. These records are used to
capture details of the contact with and progress of each educator. The information collected informs the
continued registration of educators their needs and assists coordinators to plan how best to support each
educator’s service.
Applicant and Continuing Educator Contact Records
Schemes record all significant contact with trainees and registered educators via “Contact Records”
retained in electronic files and /or hard copy files. This provides a chronological record of educator contact
via: phone, home visit, training, meetings and office visits. These notes summarise the key interactions
(observations, advice, issues and support) between educators and scheme staff.
Home Visit Record
This is used by Coordinators to record details of home visits with educators in their care setting. A copy is
shared with the educator, following each significant visit. This summarises discussions, observations and
agreed actions by coordinator and the educator.
Educator Applicant Contact Record (scheme use)
Educator Contact Record
Home Visit Record
35
INCIDENT NOTIFICATION
Reporting Incidents: Information and guidelines for Staff and Educators
Under the National Quality Framework (NQF), Approved Providers of education and care services are
required to report certain types of incidents to the Education and Early Childhood Services Registration
and Standards Board of South Australia. (EECSRSB)
Which DECD services are required to undertake this reporting?
 Family Day Care
 Out of School Hours Care (Before, After and Vacation care)
 Preschools
 School Based Preschools
 Integrated Children’s Centres (Preschool and Long Day Care)
 Children’s Centres for Early Childhood Development and Parenting
 Rural Care
 Occasional Care
As an Australian Government subsidised Program, Family Day Care is also required to report serious
incidents to the Department of Education (formerly DEEWR)
What types of incidents need to be reported?
Two types of incidents need to be reported by the approved provider (DECD Executive Directorate),
serious incidents and incidents other than serious incidents, which are defined by the law as:
1. Serious Incident

(to be notified to the
Regulatory Authority
within 24 hours) (Refer
Regulation 12)
Serious Incidents and
Injuries are to be
reported to the scheme
within 24 hours
2. Incidents Other
Than Serious
Incidents:
(to be notified to the
Regulatory Authority
within 7 days)

●
The death of a child while being educated and cared for by the
service, or following an incident while being cared for by the service.
●
Any incident involving serious injury or trauma to, or illness of, a
child while being educated and cared for by an education and care
service which a reasonable person would consider required urgent
medical attention from a registered medical practitioner. (e.g.
whooping cough, broken limb, anaphylaxis reaction); or for which
the child attended, or ought to have attended, a hospital.
●
Attendance of emergency services at the education and care
service premises was sought, or ought reasonably to have been
sought.
●
A child was missing from the service or was not able to be
accounted for.
●
A child was 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.
●
Incident that requires/required the Approved Provider to close, or
reduce the number of children attending the service for a period.
●
A circumstance that poses a significant risk to the health, safety or
wellbeing of a child attending the service
36
Is the incident serious?
To help educators determine if the matter is serious, ask if the incident involved any of the
following:




Was medical treatment sought for the child?
Did you advise the parent medical treatment should be sought?
Was police or emergency services assistance required?
Was the child missing from the home or did they leave your care without your
knowledge?
What if I didn’t know at the time that the injury, trauma or illness to a child was serious?
It may not be until sometime after the incident that it becomes apparent that it was serious.
For instance, a child may hurt their arm at a service, be in no obvious pain and continue to play.
If the parent later advises that the child’s symptoms became worse and a fractured arm
had been confirmed, then the educator should report the incident / Injury to the scheme and
identify the incident as serious.
When do Educators need to report?
Educators will need to report the incident or injury using an Incident report form within 24 hours
of becoming aware that the incident was serious.
The timeframe applies from the time that the incident is classified as serious (or notifiable).
If the incident changes status to a notifiable incident then the report needs to be updated
accordingly and the incident status changed.
Reporting Serious Incidents to the Department of Education
(Australian Government)
As an Australian Government subsidised Program, Family Day Care is also required to report serious
incidents to the Department of Education (DoE) (formerly DEEWR)
Report forms must be sent via the FDC scheme office to the DECD Executive Directorate
‘Serious Event’ means any circumstance in which a child, worker or any other person suffers an injury
during or as a result of the Activity for which treatment from a doctor or other medical practitioner was
sought or ought reasonably to have been sought, or an incident that draws the attention of the police, or
where the child, worker or any other person dies during or as a result of the Activity.
The event is reported to Dept. of Education within 48 hours.
37
Family Day Care: Incident Reporting
Incident occurs

Educator ensures children are safe, seeks appropriate medical
attention etc

Notify parents
Educator





Notify scheme by phone
Complete Incident, Injury, Trauma or Illness Report Form
Complete Insurance Form
Notify Child Abuse Report Line (CARL) if relevant
Scheme



Provide support to educator and family as required
Notify CARL if relevant


Scheme Manager to enter information on IRMS


Business Manager
and Executive Directorate









Email Incident form to Business Manager and Quality Reform
Team
Update information on IRMS as required
Business Manager & Scheme Manager to review incident,
including risk assessment
Notify Executive Director
Check /enter information DECD Incident and Response
Management System (IRMS)
Notify Regulatory Authority (RA) - EECSRSB
Notify Commonwealth Department of Education
Provide follow up advice to the RA EECSRSB
Provide follow up advice to Commonwealth Dept. of Education
Update information in IRMS as required
Incident Reporting
Forms
Incident, Injury, Trauma or illness Record
This form is to be completed by educators for ALL types of serious incidents, when a child is injured,
becomes ill or is subjected to trauma in care. This form must be faxed, emailed or delivered to the scheme
office, within 24 hours from the time of the incident. Asking a parent to sign the form at the time of the incident
may be difficult so the form can be sent in without the parent signature initially but the signed copy must come
to the office as soon as possible.
Insurance Accident /Incident Report
Educators are required to report any form of accident or incident that may occur in the course of operating
their service to their insurance company. Reports may include incidents that relate to themselves, any
adult or child. Educators should access forms direct from their insurance company. A copy of the
insurance report must also be sent to the scheme.
38
DECD Incident and Response Management System (IRMS)
IRMS is a web-based Incident and Response Management System that the department uses to record,
manage, collate and report information relating to:
 Injuries
 Critical incidents
 Criminal or security incidents associated with DECD sites
This system is accessed and managed by authorised officers. Information about serious incidents in
Family Day Care is entered into this system.
The main steps are as follows:
 FDC educator notifies the FDC Scheme Manager (or representative) by telephone
 FDC educator completes the Family Day Care Incident, Injury Trauma and Illness Record form and
submits to the Scheme Manager (or representative notifying officer )
 Serious Incident details are recorded in IRMS by the FDC Scheme Manager (or representative)
 Once on IRMS, copies of all reportable incidents in the system are forwarded to the Early
Childhood Directorate. The directorate is responsible for
o
o
o
o
Reviewing the information in the report to ensure adequate detail provided
Contacting a site to obtain additional information
Generating the populated notification report (SL01 and NL01)
Sending the report, along with any supporting documentation to the Regulatory Authority.
Incident, Injury, Trauma or illness record
39
MANAGEMENT OF COMPLAINTS AND CARE CONCERNS: Scheme Managed
A number of queries, questions, concerns and complaints are received or identified at scheme level.
These may come from a range of sources: parents, members of the community, other early childhood
/family support agencies, Regulatory Authority or may be raised as a result of assessments, audits or from
a history of issues identified by FDC staff.
The nature and severity of concerns or complaints will also vary considerably. Many complaints may relate
to one or more of the following aspects of our service:













risks to children’s safety
care placements / availability of educator
misinterpretation of policy, regulations or conditions
the health, safety and wellbeing of the educator
Child Care Benefit – eligibility and claims
relationships with children/parents
guiding children’s behaviour
educational program and practice
relationships/communication with families , staff or community members
the physical care environment /ability to meet and maintain standards / presentation
if an educator is fit and proper and maintains Registration Conditions
Business Management, administrative practices and organisation
miscommunication
In responding to concerns or complaints, Scheme Managers, Team Leaders and Coordinators will:











Consider the consequences and likelihood of risks to children’s safety as paramount.
Consider the individual and unique context of each case.
Apply natural justice principles - be fair for all.
Listen responsively, record factually, report promptly.
Respect confidentiality.
Encourage direct communication between the parties in the first instance (where appropriate).
Support educators to explore a range of ways to control risks identified with each situation.
Take a preventative approach: with a strong focus on guiding and working with educators to help
meet and maintain standards and regulations and to provide a warm, positive and professional
home based care service.
Oversee/conduct initial inquiry into complaints.
Refer and report all medium and high risk complaints to FDC Business Manager for further
assessment.
Assist with further investigations (as required).
Is it a Care Concern or Complaint?
Care Concerns
Care Concerns are usually expressed by parents in terms of questions about an aspect of the care their
children are receiving or about an aspect of FDC policy. Care Concerns do not pose a risk to children’s
safety. Common issues include, for example:
 The type of learning activities or experiences offered
 Amount of television their child/ren are exposed to
 How much time children spend in cars
 The behaviour of other children in care
 Presentation of the care environment
 Miscommunication
 The cost of the service
 Administrative requirements
 Changes in care arrangements.
Care Concerns expressed by parents must be taken seriously and must be addressed in a confidential
manner. This does not mean that the Coordinator must resolve the concerns themselves.
40
It is most appropriate and recommended that parents address the issue directly with their educator. The
Coordinator listens, affirm their concern and provide advice about approaching their educator. There may
be times when the Coordinator can lessen the concerns of a parent, for instance by sharing their
knowledge of child development or clarifying the expectations and requirements of a policy or Regulation.
Complaints
All complaints are to be taken seriously, are reported to the Scheme Manager and are risk assessed. An
initial enquiry is conducted and a planned approach is used to resolve the issue.
Subject to the nature of the complaint, complaints at scheme level can involve Coordinators, Team Leader
and /or the Scheme Manager to support resolution of the issue or allegation.
Complaints often involve a possible risk to children’s health and safety. Matters which specifically relate to
administration requirements, payments, fees, claim processes and entitlements are referred to the DECD
FDC Business Centre.
Local action / support may include one or more of the following:
• Further information obtained / enquiry conducted
• Review of records
• Survey or contact with families
• Phone call
• Home visits or office meetings with educator
• Temporary removal from educator register
• Registration conditions /policy outlining remedial action
• Development of Work Plan / action plan, with details of areas for improvement and required
actions
• Completion of additional professional development eg. sections of “Your Guide or “Your Service”
workbooks
• Modifications to care environment
• Referral/ access to relevant training
• Referral to other relevant supports
Coordinator/Staff member:
Concern or minor issue
raised
NO RISK TO CHILDREN’S
SAFETY
OR EDUCATOR
REGISTRATION









Details obtained from complainant (parent, FDC staff, community,
other) and recorded in Educator Contact records/Home Visit Report
Coordinator/staff member:
Matter arises from
complaint, observation,
history of issues,
assessments, audits etc
NO RISK / LOW RISK
Listen and discuss concern with complainant (parent, FDC staff,
community, other).
Encourage direct communication between parties.
Consider information / assess risk.
Provide advice / information as appropriate.
Refer to Business Centre (where relevant).
If mutually agreed resolution.
Record of conversation and agreed actions in educator contact
record /Home Visit Record.
No further action.










Consider information
Gather information
Report and discuss with Team Leader / Scheme Manager
Risk assessment by Scheme Manager / Team Leader
Educator advised of issue by phone. Arrange meeting and discuss.
Negotiate and confirm appropriate action /support (refer local
action /support options)
Educator advised of outcome and any actions/consequences, by
phone
Coordinator monitors and documents progress and outcomes
Progress reporting to Scheme Manager
41
MEDIUM / HIGH RISK

Details obtained from complainant (parent, FDC staff, community,
other) and recorded in Complaint /Care Concern Intake Form and
contact Record.
Coordinator/Staff Member:
 Report to CARL if appropriate
 Report and discuss with Team Leader / Scheme Manager
 Risk assessment by Scheme Manager / Team Leader
 Conduct initial enquiry (overseen by Scheme Manager)


SM /TL document recommendations on complaint / Care Concern intake
form and report to FDC Business Manager
Scheme Manager to enter on IRMS with attachments
Further Assessment : Determine Scheme or Central Management
If Scheme Managed:








HIGH RISK
to children’s safety
Serious Incident
Notifiable Breach of
Conditions and
Regulations

Conduct further enquiry
Record all conversations, meetings and outcomes
Required action / support plan identified
Educator advised of outcome and any actions/consequences, by
phone /letter
Work Plan /Action Plan developed and implemented
Coordinator monitors and documents all progress and outcomes
Phone/letter feedback to complainant
Enter all actions and outcomes on IRMS
Report to CARL if appropriate
Report to IRMS and Executive Directorate , who:
 Notifies RA (regulatory Authority – EECSRSB) and DoE of serious
event

Refer to investigating agency/unit
See Management of Complaints and Care Concerns: Centrally
Managed
42
Management of Complaints and Care Concerns: Centrally Managed
Matter arises from

complaint, observation, history of
issues etc
Scheme Manager confirms which policies, regulations and or
standards have been allegedly breached.
Serious concern
Conduct initial enquiry (overseen by Scheme Manager)
Step 1

gather information
Scheme Manager, Business
Manager and Quality Reform
Team assess risk as Med/High

consider information

make decision

Enter onto IRMS
Report to CARL if appropriate
Step 2

Quality Reform Team
Step 3
Notify Regulatory Authority (RA) - EECSRSB (24hrs)
Department of Education (48hrs)

Further information required from
educator no removal from register
Letter to educator requesting 28 day response to allegations
Letter to parents outlining allegations
Letter to complainant outlining allegations
or
Copies to scheme
Director ECS decision to
temporarily remove from register
Step 4
Director ECS assesses information – no removal from
register
Final letter to educator requesting a Work Plan to address
breaches
Final letter to parents outlining outcome
Final letter to complainant outlining outcome
Copies to Scheme
Step 4

Temporary Removal from Register
Scheme Manager - Phone call to educator informing of
temporary removal from register pending investigation
Letter to educator outlining allegations and temporary
removal from register
Decision to remove made by
Director ECS
Scheme - Phone call to parents informing of temporary
removal of educator
Letter to parents
Letter to complainant informing of temporary removal of
educator from register
Phone/email to Business Centre to find alternate care for
families
Step 5

Assessed – possible escalation to
Investigation Management Division
Step 6
Enquiry/Investigation
CARL report received
SAPOL conducting an investigation

Conducted by appropriate agency/unit.
Report and recommendation received by Director ECS
Letter to educator requesting 28 day response to allegations
Decision made – remove or restore to register
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
Step 7
Restore to DECD register
Educator advised of outcome and any actions/consequences,
by phone and letter
Name restored to register
Families advised by letter of outcome
Complainant advised by letter of outcome
Copies to Scheme
Business Centre notified
RA notified
OR
Step 7

Remove from DECD register
permanently
Educator advised of outcome of removal by letter
Business Centre notified
Families advised by letter of outcome
Complainant advised by letter of outcome
Copies to Scheme
RA notified
Step 8
Report of outcome and actions to
EECSRSB case closed

Update to RA outlining actions taken and attaching all reports
and letters to educator, families and complainant
Under the Education and Early Childhood Services Act the approved provider of a Family Day Care
service:
“Must ensure that every reasonable precaution is taken to protect children being educated and
cared for by the service from harm and from any hazard likely to cause injury”
Decisions to temporarily remove an educator from the register will be made by the Executive Directorate
(or delegate) and will be based on the health, safety and wellbeing of children.
The principles of natural justice must also be considered, however children and young people will be at
the centre of any decision.
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MANAGEMENT OF COMPLAINTS AND CONCERNS
Forms and Documents
Home Visit Record
This is a standard record used for any significant home visit where educators and Coordinator’s meet.
This provides a summary of observations, discussions, assessments and actions which have been agreed
between the educator and the Coordinator during visits to the educator’s premises. This record may be
used to record discussions and agreed actions in response to any care concerns or low risk complaints.
FDC Complaint /Care Concern Intake form
This form is to be used by all FDC scheme staff to record details of any complaints or concerns about our
FDC service. It is important that the information about confidentiality is clearly stated to the complainant by
the person receiving the complaint.
It is recommended the form is used by the Scheme Manager to record progress and next steps, and to
provide regular progress reports to the Business Manager/ Executive Director / IRMS notifying officer-if
required.
Work Plan / Action Plan
A Work Plan (or Action Plan) may be developed with the educator, describing the Regulations, Standards
and / or Conditions which relate to the complaint /concern. This is required for progress reports to the
Executive Directorate for all serious or notifiable complaints. The plan summarises the agreed actions,
timeframe and outcomes. Successful completion of the work reduces the risk of educator being removed
from the register.
Confidentiality and Freedom of Information
This information outlines the importance of confidentiality and how to record and report information
factually and clearly in accordance with Freedom of Information Guidelines and requirements.
Natural Justice
This provides information about natural justice and procedural fairness, when responding to concerns or
complaints.
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Complaint or care concern intake form
Work Plan /Action Plan (Example only)
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Confidentiality and Freedom of Information
When taking a complaint it is essential that confidentiality is discussed with the complainant and details of
this discussion are recorded, to assist any potential Freedom of Information (FOI) request.
When any written or verbal complaint is received, it is necessary to identify whether the complainant
intended his/her identity and/or the precise terms of the complaint to remain confidential.
Where the circumstances surrounding the making of the complaint, or the terms of the complaint itself do
not make the matter clear, it will be necessary to establish whether confidentiality was intended by
reverting to the complainant, i.e. asking him / her.
If the complainant indicates confidentiality was intended in one or more respects, then the person
receiving the complaint should indicate his/her willingness to maintain confidentiality, subject to any
contrary legal requirement. There is a place on the form to record this.
Such contrary legal requirement may include:
 Consideration by the Freedom of Information delegate of an application for access to any documents
under the FOI Act (the above procedure would provide a case for the confidential matter being exempt
from release)
 The common law requirement that an employee is entitled to be appraised fairly of the case against
him/her in disciplinary proceedings.
(FDC educators, although not employees, derive their income from caring for children in FDC, so
consideration must be given to fairness in these terms)
The letter of complaint or transcript of witnesses’ statements should not be shown to the person about
whom the complaint is made, but he/she should be told the general terms of the complaint.
When recording evidence:


Write in a way that shows you are keeping an open mind until all evidence is collected

Encourage people making allegations of abuse to make the notification to CARL themselves, so their
identities are protected by the Children’s Protection Act

Don’t document comments like “she’s always complaining” – consider the person will read what you
write






Put your name on notes, not initials, first names or unreadable signatures

Put separate matters on separate pages where possible, so that it is easier to separate out information
about one person later

Documents may need to be photocopied for release under FOI. Don’t write in pencil, fluorescent ink,
highlighter pen, don’t use coloured paper or foolscap paper, don’t write to the edges of the paper


Leave space between the lines, so that exempt information can be deleted easily
Include full names so that people can be properly consulted if there is an FOI application a few years
later
Put the date on all notes so it can be put into context later
Don’t use abbreviations that are not in ordinary common use
Do not put your home address or personal phone numbers on notes
Do not include your personal business in notes about departmental business
Notes of meetings and phone calls kept in diaries are official documents if the information is used for
work purposes. It is advisable to keep a separate contact log, so that it is not necessary to delete
personal information in the event of an FOI application
Don’t staple documents together in departmental files
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Natural Justice
The principles of natural justice bind administrative bodies where a judgement is being made which may
have an effect of interfering with a significant interest of the individual; eg their ability to earn money
What is it?
Natural justice is a common law concept. It requires that decision makers give persons adversely affected
by their decision a ‘fair go’ before making that decision.
The paramount rules of natural justice are:


That the person affected must have a right to be heard before the decision is made
That the decision maker must not be biased or appear to be biased.
Decision makers must ensure that the person is told what the relevant issues are and informed of the
nature and content of material which is being considered against him/her.
Natural justice is a legal requirement that applies to government decision-making. It can be enforced by
courts, administrative tribunals and Ombudsmen. If there has been a breach of natural justice in reaching
a decision, a court can declare the decision to be invalid.
Not all government decision-making is subject to natural justice. It mostly applies to decisions that
adversely affect an existing interest of a person or corporation. For example, natural justice would apply to
a decision to cancel a licence or benefit, to dismiss an employee, to impose a disciplinary sanction, or to
publish a report that damages a person's reputation. Natural justice is less likely to apply to routine
administration and policy-making, or to decisions that initially confer a benefit.
The purpose behind natural justice is to ensure that decision-making is fair and reasonable, but it is
important not to confuse those objectives with what is legally required. At the end of the day, whether a
decision complies with natural justice depends not on whether the decision itself is fair and reasonable,
but on whether a fair and proper procedure was followed in making the decision.
What does this mean for Family Day Care?
When a complaint is made against an educator or an issue is identified, the educator must have an
opportunity to know what the complaint or issue is and to put his/her side of the story.
Staff must not appear to have made a decision about the issue or appear to ‘take sides’.
Other aspects of natural justice
Natural justice imposes a code of procedural fairness. There are other elements of that code, in addition to
the hearing rule.
Absence of bias
It is not enough that a decision-maker is unbiased. It is equally important that an onlooker would not
reasonably suspect or apprehend bias. "Justice must not only be done but be seen to be done." There are
many ways in which a reasonable apprehension of bias can arise: if a decision maker has a financial or
family interest in a decision; has at any time shown favouritism to one side of the case, or hostility to the
other; has signalled a closed mind; or has played a dual role of accuser and judge, or witness and
prosecutor. If a reasonable suspicion of bias exists, the decision-making function should be transferred to
another officer.
Evidence to support a decision
A decision that will adversely affect a person should not be based merely on suspicion, gossip or rumour.
There must be facts or information to support all adverse findings. The best way of testing the reliability or
credibility of information is to disclose it to a person in advance of a decision, as required by the hearing
rule.
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Feedback and review
Your feedback about the content of these guidelines and the forms and documents is welcome and
supports our service to continue to improve.
Example of the feedback form, available on the website or from your local scheme office.
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