Documentation – Records Required and What to Do with These Documents

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The tables below show the minimum documentation requirements for services. Services must make required documentation available as appropriate to parents and to government officials who have the right of entry to the service.

Premises and Facilities
Management, Governance and Staffing
Curriculum documentation
Adult / Staff Care of Children

Premises and Facilities

	Document	Prominently display?	Verbally inform parents?	Give document to parents?	Frequency of updates?
1	Evidence of compliance with Building Act 2004.	No	No	No	N/A
2	Current Annual Building Warrant of Fitness (if required – not required for home-based services)	No	No	No	Annually

Management, Governance and Staffing

	Document	Prominently display?	Verbally inform parents?	Give document to parents?	Frequency of updates?
1	Education (Early Childhood Services) Regulations 2008	Yes	No	No	As required
2	Licensing Criteria	Yes	No	No	As required
3	Details of adults counting towards regulated qualification requirements: Full Names Qualifications	Yes	No	No	Not stated
4	Current licence certificate	Yes	No	No	Not stated
5	Complaints procedure that includes how to contact the local Ministry of Education office	Yes	No	No	Not stated
6	Written information letting parents know how to access: Information concerning their child Operational documents, e.g., policies, procedures Current Education Review Office report	No	Yes	Yes	Not stated
7	Information letting parents know about: How they can be involved Any fees charged Amounts and how Ministry of Education funding has been spent Planed reviews and consultation Home-based homes must also provide written notice to parents and have written parental acknowledgement of the notice if out-of-school care will be provided in the educator’s home while their child is attending.	No	Yes	Yes	Not stated
8	Evidence that parents and the adults providing care and education have opportunities to contribute to developing and reviewing operational documents.	No	No	No	Not stated
9	Process for reviewing and evaluating operations and recorded outcomes	No	No	No	Not stated
10	Process for human resource management	No	No	No	Not stated
11	Written procedure for safety checking all staff (and educators) and record of checks and results	No	No	No	3 yearly
12	Annual plan and budget	No	No	No	Annually
13	Enrolment and attendance records	No	No	No	N/A
14	Health and safety / hazard identification management System	No	No	No	Not stated

Curriculum

	Document	Prominently display?	Verbally inform parents?	Give document to parents?	Frequency of updates?
1	Self-review process	No	No	No	Not stated
2	Process for regular formal and informal opportunities for parents to discuss child, share specific evidence of learning, be involved in decision-making concerning learning.	No	No	No	Not stated
3	Assessment, planning and evaluation records	Yes	Yes	Yes	Not stated
4	Record of information/ guidance sought from agencies.	No	No	No	N/A
5	Positive guidance process (behaviour management)	No	No	No	Not stated

Adult / Staff Care of Children

	Document	Prominently display?	Verbally inform parents?	Give document to parents?	Frequency of updates?
1	Sleep monitoring procedure	No	No	No	N/A
2	Sleep time and adult checks record	No	No	No	N/A
3	Record of food provided	No	No	No	N/A
4	Nappy changing and disposal procedure	No	No	No	Not stated
5	Hygienic laundering procedure	No	No	No	Not stated
6	Copies of current first aid or medical practising certificates	No	No	No	Not stated
7	Injury record	No	Yes	Yes	N/A
8	Serious illness record	No	Yes	Yes	N/A
9	Washing sick or soiled children procedure	No	No	No	Not stated
10	Medicine information and/or training provided to adults.	No	No	No	Not stated
11	Medicine – Parent written authority	No	N/A	N/A	Not stated
12	Medicine given to children	No	Yes	Yes	N/A
13	Current fire evacuation scheme	No	No	No	Yearly
14	Emergency drills record	No	No	No	At least 3 monthly
15	Emergency supplies list and procedure	No	No	No	Yearly
16	Evacuation procedure	No	No	No	Yearly
17	Child protection policy and a written procedure	No	No	No	Every 3 years
18	Excursions record	No	Yes	No	N/A
19 20	Child Immunisation Register Infectious Diseases Chart	No No	No No	No No	Not stated Not stated

Failing to meet minimum standards for documentation

The Ministry of Education needs to know if a service is not meeting a minimum legal requirement.

CAUTION: This page and the information here is provided as part of the My ECE Guide to Regulations and Licensing Criteria for Early Childhood Education Services (The Guide). The Guide does not purport to be a full and accurate interpretation of all statutory provisions relating to early childhood education services. While best efforts have been used in preparing this guide, no representations or warranties of any kind are made and My ECE assumes no liabilities of any kind with respect to the accuracy or completeness of the content. Please note that the Government and Ministry of Education may change, update, or alter any of the requirements at any time. Please help to keep the information on this page up to date by letting us know of changes that need to be made.
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Reference:
Documentation – Records Required and What to Do with These Documents. Published in the My ECE Guide to Regulations and Licensing Criteria for Early Childhood Education Services, prepared by Dr Sarah Alexander and Warwick Marshall.

Last reviewed: 20 November 2022