This retention and disposal authority is approved under section 21(2)c of the State Records Act 1998 following prior approval by the Board of the State Archives and Records Authority of New South Wales in accordance with section 21(3) of the Act.
| Authority no | FA404 |
| SR file no | 18/0452 |
| Scope | This retention and disposal authority covers records documenting the function of provision and regulation of childcare services. |
| Public office | All public offices providing and regulating early childhood education and care services. |
| Approval date | 30 May 2019 |
The provision and regulation of early childhood education and care, and outside of school hours care. Includes long day care, family day care, preschool/kindergarten, and outside school hours care services.
The activities associated with the provision of early childhood education and care and outside school hours care services by or on behalf of the organisation.
Note: the entries under this activity relate to the provision of childcare services only. For records created and managed by the NSW regulator see entries 1.2.0.
See Childcare provision and regulation - Regulation of childcare services for records relating to the regulation of childcare services.
See General Retention and Disposal Authority Administrative records Contracting-out for records for records relating to engaging service providers/operators to deliver childcare services on behalf of the organisation
See General Retention and Disposal Authority Administrative records Financial management - Accounting for records relating to financial transactions.
See General Retention and Disposal Authority Administrative records Personnel - Employee service history for records relating to the appointment and service of staff, volunteers, short term placements etc.
See General Retention and Disposal Authority Administrative records Personnel - Misconduct for records relating to complaints involving members of staff, including volunteers, student placements etc.
See General Retention and Disposal Authority Administrative records Personnel - Reporting for records relating to the statutory reporting of incidents or referral of other matters to external bodies such as the Police, the Ombudsman or child protection agencies
See General Retention and Disposal Authority Administrative records Strategic Management - Planning for records relating to planning for the provision of childcare services
See General Retention and Disposal Authority Administrative records Community Relations - Public reaction for records relating to complaints about the provision of services that are not related to abuse of a child.
| No. | Description of records | Disposal action |
|---|---|---|
| 1.1.1 | Records relating to the receipt by childcare providers of allegations of child abuse. Note: see the General retention and disposal authority: administrative records - PERSONNEL - Misconduct for allegations against employees, volunteers, students etc | Retain minimum of 45 years after action completed, then destroy |
| 1.1.2 | Records documenting:
Note: see the General retention and disposal authority: administrative records - Personnel- Employee service history for records of the recruitment and employment of employees, volunteers, students etc | Retain in accordance with the relevant legislative requirements and/or national standards and guidelines, then destroy |
| 1.1.3 | Records relating to applications to the regulator to provide or operate a child-care service by or on behalf of the organisation. Records include applications, supporting documentation, reports of inspections and associated correspondence. Includes unsuccessful applications. | Retain in accordance with the relevant legislative requirements and/or national standards and guidelines, then destroy |
| 1.1.4 | Policies and procedures relating to the health, safety, and protection of children whilst in the care of the service, including emergency plans and procedures. | Retain minimum of 45 years after policy or procedure is superseded, then destroy |
| 1.1.5 | Records relating to routine operational management of a child-care service e.g. waiting lists, applications and acceptances where the child does not attend, general daily or weekly routines and programs etc. | Retain until administrative or reference use ceases, then destroy |
No. 1.1.1 Description of records Records relating to the receipt by childcare providers of allegations of child abuse. Note: see the General retention and disposal authority: administrative records - PERSONNEL - Misconduct for allegations against employees, volunteers, students etc Disposal action Retain minimum of 45 years after action completed, then destroy |
No. 1.1.2 Description of records Records documenting:
Note: see the General retention and disposal authority: administrative records - Personnel- Employee service history for records of the recruitment and employment of employees, volunteers, students etc Disposal action Retain in accordance with the relevant legislative requirements and/or national standards and guidelines, then destroy |
No. 1.1.3 Description of records Records relating to applications to the regulator to provide or operate a child-care service by or on behalf of the organisation. Records include applications, supporting documentation, reports of inspections and associated correspondence. Includes unsuccessful applications. Disposal action Retain in accordance with the relevant legislative requirements and/or national standards and guidelines, then destroy |
No. 1.1.4 Description of records Policies and procedures relating to the health, safety, and protection of children whilst in the care of the service, including emergency plans and procedures. Disposal action Retain minimum of 45 years after policy or procedure is superseded, then destroy |
No. 1.1.5 Description of records Records relating to routine operational management of a child-care service e.g. waiting lists, applications and acceptances where the child does not attend, general daily or weekly routines and programs etc. Disposal action Retain until administrative or reference use ceases, then destroy |
The activities associated with the granting of permission, approval, consent or accreditation to undertake early childhood education and care services. Also includes monitoring compliance with prescribed specifications, requirements, terms, conditions, regulations and standards for the operation of providers and formal investigations into breaches following an accident, incident, complaint, or observation.
Note: these entries only apply to the State regulator of child-care services. Public offices that provide child-care services should use the entries under 1.1.0 in this authority.
See General Retention and Disposal Authority Administrative records Government relations - Inquiries for records of inquiries and departmental submissions to Royal Commissions.
| No. | Description of records | Disposal action |
|---|---|---|
| 1.2.1 | Records relating to the development, review and establishment of strategic plans, policies and procedures relating to the regulation and provision of childcare services. Records include policy proposals, research papers, results of consultations, supporting reports, major drafts, final policy documents. | Required as State archives |
| 1.2.2 | Records relating to the investigation of a licensee, licensed centre or authorised supervisor for serious incidents or breaches that result in sanctions and/or prosecutions. Serious incidents include death or serious injury, physical or sexual assault. Records include complaints, notifications, investigation reports, correspondence, briefings, reports and recommendations, and records of remedial action. | Required as State archives |
| 1.2.3 | Records relating to the receipt and investigation by the regulator of allegations of child abuse that do not result in sanctions and/or prosecutions. | Retain minimum of 99 years after action completed, then destroy |
| 1.2.4 | Records relating to approved applications for a licence to conduct a children's service, or to become a licensee or authorised supervisor of a children's service. Records include:
| Retain minimum of 45 years after revocation, suspension, surrender or expiry of licence or authority, then destroy |
| 1.2.5 | Records relating to unsuccessful applications for a licence to conduct a children's service, or to become a licensee or authorised supervisor. Records include:
| Retain minimum of 10 years after action completed, then destroy |
| 1.2.6 | Records relating to monitoring compliance with requirements and routine liaison with centres over terms and conditions. Records include:
| Retain minimum of 10 years after action completed, then destroy |
No. 1.2.1 Description of records Records relating to the development, review and establishment of strategic plans, policies and procedures relating to the regulation and provision of childcare services. Records include policy proposals, research papers, results of consultations, supporting reports, major drafts, final policy documents. Disposal action Required as State archives |
No. 1.2.2 Description of records Records relating to the investigation of a licensee, licensed centre or authorised supervisor for serious incidents or breaches that result in sanctions and/or prosecutions. Serious incidents include death or serious injury, physical or sexual assault. Records include complaints, notifications, investigation reports, correspondence, briefings, reports and recommendations, and records of remedial action. Disposal action Required as State archives |
No. 1.2.3 Description of records Records relating to the receipt and investigation by the regulator of allegations of child abuse that do not result in sanctions and/or prosecutions. Disposal action Retain minimum of 99 years after action completed, then destroy |
No. 1.2.4 Description of records Records relating to approved applications for a licence to conduct a children's service, or to become a licensee or authorised supervisor of a children's service. Records include:
Disposal action Retain minimum of 45 years after revocation, suspension, surrender or expiry of licence or authority, then destroy |
No. 1.2.5 Description of records Records relating to unsuccessful applications for a licence to conduct a children's service, or to become a licensee or authorised supervisor. Records include:
Disposal action Retain minimum of 10 years after action completed, then destroy |
No. 1.2.6 Description of records Records relating to monitoring compliance with requirements and routine liaison with centres over terms and conditions. Records include:
Disposal action Retain minimum of 10 years after action completed, then destroy |
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