1. National Quality Framework
Forum for education and care services
Department of Education and Early Childhood Development
Quality Assessment and Regulation Division
25 and 27 June 2012

2. Overview of today’s presentation
Update: National Quality Framework implementation
Assessment and rating process
Education and Care Services National Law Act 2010
Education and Care Services National Regulations 2011

3. National Quality Framework: History
Dec COAG Commitment
2009
July National Early Childhood Development Strategy
Dec National Partnership Agreement
1.National Law
Incorporating
Early Years Learning Framework, My Time, Our Place and Victorian Early Years Learning and Development Framework
2.National Regulations
3.National Quality Standard
Oct ACECQA established
2012
Jan National Quality Framework commences
Regulatory Authorities established

4. Objectives of the National Quality Framework
To ensure the safety, health and wellbeing of children attending education and care services
To improve the educational and developmental outcomes for children attending education and care services
To promote continuous improvement in the provision of quality education and care services
To establish a system of national integration and shared responsibility between jurisdictions and the Commonwealth
To improve public knowledge, and access to information, about the quality of education and care services
To reduce the regulatory and administrative burden for education and care services by enabling information to be shared between jurisdictions and the Commonwealth.

5. Principles of the National Quality Framework
The rights and best interests of the child are paramount
Children are successful, competent and capable learners
Equity, inclusion and diversity underpin the Framework
Australia’s Aboriginal and Torres Strait Islander cultures are valued
The role of parents and families is respected and supported
Best practice is expected in the provision of education and care services

6. Australian Children’s Education and Care Quality Authority (ACECQA)
Current priorities:
publishing information resources and guides
addressing policy issues that are relevant for all jurisdictions
determining qualifications for educators and assessment of equivalent qualifications
establishing the criteria for assessing and rating services as ‘excellent‘.

7. The Regulatory Authority in Victoria: DEECD
Current priorities:
developing and publishing information resources and frequently asked questions for Victorian education and care services
building key skills in the Regulatory Authority workforce relating to conducting monitoring and compliance visits, including assessment and rating visits
monitoring and compliance activities
preparing to assess more than 235 education and care services in 2012.

8. Authorised officer training
Includes a comprehensive national training package comprising:
National Quality Framework, including the National Law and National Regulations, the National Quality Standard
monitoring and compliance
assessment and rating.
Additional training for authorised officers in Victoria.

9. Update: Implementation of the National Quality Framework
Provider approvals, service approvals and supervisor certificates are being distributed.
Invoices for the annual approval fee will be sent to services in late August.
The National Quality Agenda IT System is expected to be available to services in August 2012.

10. Education and care services
Approximately 3000 educators and service leaders attended National Quality Framework information sessions in 2011.
Since 1 January 2012 education and care services will have:
reviewed previous policy and practice and implemented the minimum standards set out in the National Law and National Regulations
completed a self-assessment against the National Quality Standard and a quality improvement plan.

11. Assessment and Rating Process

12. What is the assessment and rating process?
Education and care services are assessed against the National Quality Standard, the National Law and the National Regulations.
All approved education and care services will be assessed and rated by 2015.
Services receive a rating in each quality area and an overall rating:
– Exceeding National Quality Standard – Meeting National Quality Standard – Working Towards National Quality Standard – Significant Improvement Required.

13. Excellent rating
Services that achieve the rating Exceeding National Quality Standard may apply to ACECQA to be assessed for the Excellent rating.
The ACECQA Board has decided that the overarching criterion for an excellent rating assessment is that ‘a service demonstrates excellent practice and sector leadership'.
ACECQA has sought comment on draft criteria for the Excellent rating and is currently finalising these criteria.

14. National Quality Standard
The new National Quality Standard is divided into 7 quality areas that contribute to the quality of early childhood education and care
Educational program and practice
Children’s health and safety
Physical environment
Staffing arrangements
Relationships with children
Collaborative partnerships with families and communities
Leadership and service management

15. Approved Learning Frameworks
Early Years Learning Framework for Australia
for educators working with children aged birth to 5
5 learning outcomes
pedagogy, principles and practice
My Time, Our Place
for educators working in school aged care
Belonging, Being & Becoming reinforced
Victorian Early Years Learning and Development Framework
For all professionals working with children from birth to 8 years

16. My Time, Our Place
My Time, Our Place: Educators Guide to the Framework for School Age Care in Australia is now available from the website of the Department of Education, Employment and Workplace Relations

17. Important information about assessment and rating visits
Assessment and rating visits to services commence in Victoria in July. The first group of services have been notified about upcoming visits.
Assessment and rating visits are announced. Unannounced visits continue to be undertaken in response to notifications and complaints or as part of a planned schedule of compliance visits.
The assessment and rating process takes 20 weeks from notification of the service to the finalisation of the rating. Education and care services are able to prepare, give feedback on outcomes of the visit and have that feedback considered.
Ratings will not be made public until evaluation of the assessment and rating process is complete. This ensures assessment and ratings are accurate and consistent.

18. Purpose: assessment and
rating process
To provide enhanced access to information about the quality of education and care services.
To encourage continuous improvement in the quality of education and care services.
To raise the standard of quality against which services are assessed.
To promote high expectations for continuous quality improvement.

19. Raising the bar for quality
The National Quality Framework represents a shift in emphasis from minimum standards to quality outcomes for children, regardless of the education and care setting.
Services may take time to achieve the rating of Meeting National Quality Standard.
Assessment and rating reports will give services guidance and a focus for continuous improvement.
The highest rating to be given by a Regulatory Authority, Exceeding National Quality Standard, may be earned by a small number of services.

20. assessment and rating process
National trial of the
assessment and rating process
In 2010 and 2011 the assessment and rating process was trialled across Australia.
Many education and care services performed strongly in the following quality areas:
2. Children’s Health and Safety
3. Physical Environment
4. Staffing Arrangements
5. Relationships with Children
Challenges:
1. Educational Program and Practice
7. Leadership and Service Management

21. Quality improvement plans
Each service must have completed a self-assessment against the National Quality Standard and have a quality improvement plan available at the service (regulation 55).
Quality improvement plans are most effective when their development is a shared responsibility, and when they are referred to and refined regularly.
Services are required to submit their quality improvement plan prior to their assessment and rating visit.
They must be reviewed at least annually and when directed by the Regulatory Authority (regulation 56).
The outcome of the assessment and rating visit influences further development of the quality improvement plan.

22. Quality Improvement Plans
‘It gives practical value for those services who want to improve’
- Assessment and rating national trial participant (service)
‘A valuable document for services to identify areas to improve’ - Assessment and rating national trial participant (assessor)
‘Yes, we all used it, and will continue to use it as a living document’
- Assessment and rating national trial participant (service)

23. Assessment and rating visits – centre-based services
The length of visit is determined by the size of the service.
The recommended minimum length of an assessment and rating visit is 6 hours or 2 sessions. Longer visits will be required for services with 4 or more rooms (up to 2 or 3 days in total).
Generally each room in a service will be assessed. In large services the assessor will ensure that each age group is assessed. 
Both indoor and outdoor spaces will be assessed during the visit.

24. Assessment and rating visits - FDC
The initial letter of notification will request that a copy of the family day care register is provided to the Regulatory Authority. This will be used to randomly select residences and/or approved venues to be assessed and rated. 
The number of residences or approved venues to be visited is determined by the service size:
On the first day of the visit the service will be advised which residences and/or approved venues will be included in the assessment and rating visit.
The length of visit will be influenced by the number of family day care educators to be visited and is expected to be in the range of 1-5 days. This includes time spent at the principal office at the beginning and conclusion of the visit.
Number of educators in the service
Number of educators assessed
1–30 3
31–60 5
61–90 7
91–120 9
121 plus 11

25. Assessment and Rating Process
Steps
Process
1: Notice to submit QIP
Advice to providers with request to submit a Quality Improvement Plan. Providers will have 6 weeks to submit.
2: Notice of visit
Providers will receive advice that QIP has been received and notifying the date for the site visit.
3: Site visit
Site visit occurs around week 12.
4: Draft assessment report
Approved provider will be sent a draft of the assessment report by week 15. The provider will have an opportunity to provide comment, and submit evidence of compliance within 10 working days.
5: Feedback considered
Feedback on report considered by Regulatory Authority (week 18).
6: Final rating
Report is finalised and final rating determined. Report is sent to approved provider (week 20). 25

26. Assessment and rating visits
During the visit:
Authorised officers use ‘observe’, ‘discuss’ and ‘sight’ techniques to assess the service against each element of the National Quality Standard and the national regulations.
Observe: The Authorised Officer will observe what children, families, educators, coordinators and staff members are doing.
Discuss: The Authorised Officer may engage with the key contact person, educators coordinators, family day care educator assistants or other staff members about the practices within the services.
Sight: The Authorised Officer sights documentation required by the National Law and National Regulations and other documentation as evidence to support assessment against relevant standards.

27. Issues that may arise during a visit
Minor adjustments
A service may be given a short time to address an issue identified during the assessment and rating visit.
These issues must not pose an unacceptable risk to the safety, health and wellbeing of children.
They must be able to be quickly and easily rectified and may, if rectified, result in the service receiving a higher rating against a standard.
The adjustment must be made prior to the finalisation of the assessment and rating report. Evidence of the adjustment must be provided to the Regulatory Authority.

28. Issues that may arise during a visit (cont/d)
Inconsistent quality
The term ‘inconsistent quality’ refers to situations where different levels of quality in service delivery are identified across a service e.g. in different rooms or sessions.
The impact of differing levels of quality on the experiences of each child in the service informs the final rating.
Significant Improvement Required
A service receives a rating of Significant Improvement Required where there is an unacceptable risk to the safety, health or wellbeing of a child or children being educated and cared for by the service.
In these cases, the Regulatory Authority will take compliance action to immediately address relevant issues.

29. Guides and resources: assessment and rating process
The following documents have been published on the ACECQA website:
National Quality Standard Assessment and Rating Instrument
Guide to Assessment and
Rating for Services
Guide to the National
Quality Standard.
Resources for all education
and care services are available at

30. National Law and National Regulations

31. Regulatory Authorities
In addition to assessing approved education and care services against the National Quality Standard and the National Regulations, the responsibilities of Regulatory Authorities include:
monitoring and enforcing compliance
receiving and investigating notifications of serious incidents and complaints
considering applications for provider, service and certified supervisors
providing advice and guidance about the National Quality Framework to services and the community. 31

32. Monitoring services
Compliance visits will assess service compliance with the National Law and National Regulations.
Notifications of serious incidents and complaints will be investigated. Serious incidents must be notified to the Regulatory Authority in writing within 24 hours.
An investigation may include the following:
a compliance visit
collection of relevant documentary evidence
statements from witnesses, parents, other relevant person(s)
interview of the approved provider and any other person(s) directly involved in the alleged incident
collection of evidence from other relevant sources.

33. Responsible persons
A responsible person must be physically present at a centre-based service at all times the service is educating and caring for children.
A responsible person is:
an approved provider
person with management or control
a nominated supervisor
a certified supervisor.

34. Family day care staffing requirements
Family day care services must ensure that:
an approved provider or person with management or control; or
a nominated supervisor; or
a certified supervisor
is available to educators including being contactable by phone at all times that children are being educated and cared for.

35. Fit and proper persons
Certain individuals must satisfy the Regulatory Authority that they are a fit and proper person to be involved in the provision of an education and care service.
The process used for assessing fit and proper person varies according to the role and level of responsibility.
Approved providers and nominated supervisors may be required to attend an information session and regional interview.
Certified supervisors will usually be asked to attend an information session and submit an application (generally no interview required).

36. Educational leader
A service must designate, in writing, a suitably qualified and experienced educator, coordinator or other individual as educational leader at the service to lead the development and implementation of educational programs in the service.
In centre-based services the educational leader should spend a significant amount of time at the service. In family day care services the educational leader should spend a significant amount of time with all family day care educators.
The staff record must include the name and other prescribed information about the educational leader.

37. Natural environments

38. Natural environments
The National Regulations and the National Quality Standard contain requirements for natural environments.
Natural materials can be incorporated into both indoor and outdoor spaces.
Examples of natural environments include:
gardens where children can grow their own plants
sandpits and water play areas for sensory, symbolic and physical play
small pits of pebbles, gravel, course sand and smooth river rocks for fine motor and imaginative play
trees which provide shade
worm farms and compost areas for environmental education.

39. Natural environments
Natural Environments (practice note) available at

40. Criminal history requirements – centre-based services
Requirements for criminal history vary according to the role - approved providers, nominated supervisors, certified supervisors, educators and staff members.
Approved providers must read (or ensure the nominated supervisor or person in day-to-day charge of the service) has read an educator’s current Working with Children Check before they are engaged as an educator.
Details of current Working with Children Check must be recorded in the staff record.
Currency of Working with Children Checks should be checked regularly at

41. Criminal history requirements – FDC
Requirements for criminal history vary according to the role - approved providers, nominated supervisors, certified supervisors, co-ordinators, family day care educators, family day care educator assistants or residents.
The approved provider, nominated supervisor or person in day to day charge of the service must, prior to engaging or registering a person as a family day care educator:
read and consider a person’s current criminal history record check issued not more than 6 months before the date of the engagement; and
read a person’s current working with children check (r358).
Currency of Working with Children Checks should be checked regularly at

42. Responding to children at risk of neglect or abuse
Approved providers of education and care services must ensure that nominated supervisors and staff members at the service who work with children are advised of the existence and application of the current child protection law; and any obligations that they may have under that law (regulation 84).
The National Quality Standard requires educators, co-ordinators and staff members to be aware of their roles and responsibilities in responding to every child at risk of abuse or neglect (element 2.3.4).
Protecting the safety and wellbeing of children and young people (Child Protection Protocol) is a resource to promote and support the safety and wellbeing of all children in Victorian licensed children’s services and schools.
The protocol and an online training package is available at

43. Waivers – FDC
A family day care co-ordinator is a person employed or engaged to monitor and support the family day care educators.
Each service must ensure that the number of co-ordinators is sufficient to support, monitor and train family day care educators and ensure the service is operated in compliance with the National Law.
Where an approved provider can demonstrate genuine difficulty in appointing sufficient qualified family day care co-ordinators, they may apply for a waiver that allows a person actively working towards at least an approved diploma level qualification to be engaged as a family day care coordinator.

44. Waivers – centre-based services
Where an approved provider can demonstrate genuine difficulty in meeting a requirement of the regulations they may apply for a waiver.
Approved providers of services previously operating with an exemption granted under the Victorian children’s services legislation should consider whether a waiver may be necessary.
Ministerial exemption for qualified staff member requirements, including staff members operating under the ‘window of opportunity’:
educators holding letters of equivalence may continue to work in relevant roles
approved providers should apply for a waiver for other educators previously employed under this exemption in order to count them in diploma-level educator to child ratios (if the educator’s qualification has not been approved by ACECQA).

45. Breaks
Guide to the National Law and National Regulations includes provisions for breaks where each educator may take a break of up to 30 minutes per day.  
Services utilising this provision must consider meeting the needs of the children, maintaining adequate supervision and ensuring every reasonable precaution is taken to protect children from harm and hazards.
Where an educator has a half hour ‘break’ it would be expected that they be replaced by another educator. The educator replacing a diploma qualified educator taking a half hour break would not need to be a diploma qualified educator.
The educator on the break should remain on the premises.

46. Excursions and regular outings
Excursions: outings organised by a service taking children outside the service to specific venues or activities; or occurring from time to time.
Does not include an outing organised by the service provided on a school site if the children leave the service premises in the company of an educator or do not leave the school site.
Regular outing: a walk, drive or trip to and from a destination that a service visits regularly as part of its educational program, and where the circumstances relevant to the risk assessment are the same on each outing.

47. Excursions and regular outings – risk assessment
A risk assessment must identify and assess risks that the excursion may pose to the safety, health or wellbeing of any child being taken on the excursion and detail strategies for minimising and managing those risks.
Consideration must be given to a number of factors including the proposed activities, water hazards and risks associated with water based activities, the number of children involved in the excursion and the number of educators or other responsible adults to provide supervision.
Further information is available in the fact sheet Excursions and regular outings available at the Department’s website.

48. Water hazards – FDC
All family day care services require an assessment of each family day care residence or approved venue that considers any water hazards, water features or swimming pool at or near the residence or approved venue.
Different requirements regarding swimming pools apply according to jurisdiction. In Victoria, family day care services decide if they will permit swimming pools in family day care residences or approved venues.
Relevant requirements include
policies and procedures in relation to water safety
policies and procedures in relation to the assessment and approval and reassessment of approved residences and venues .

49. DEECD Website

50. ACECQA website

51. Regulatory Authority in Victoria
Department of Education and Early Childhood Development
Quality Assessment and Regulation Division
can be contacted at:
Ph: