Quality and Regulatory Framework. Quality and Regulatory Framework Sessional Service

Transcription

1 Quality and Regulatory Framework Sessional Service I

2 Table of Contents SECTION 1... V Structure of the Quality and Regulatory Framework... V Introduction... VIII Inspection in Context of Other Legislation... XIV SECTION Governance Regulation 9: Management and Recruitment Regulation 10: Written Policies, Procedures and Statements of Pre-School Service Regulation 11: Staffing Levels Regulation 14: Review of a Pre-School Service Regulation 15: Record of a Pre-School Child Regulation 16: Record in Relation to a Pre-School Service Regulation 17: Information for Parents Regulation 31: Notification of Incidents Regulation 32: Complaints Health, Welfare and Development of the Child Regulation 19: Health, Welfare and Development of Child Regulation 20: Facilities for Rest and Play Regulation 22: Food and Drink Safety Regulation 23: Safeguarding Health, Safety and Welfare of Child Regulation 24: Checking In and Out and Record of Attendance Regulation 25: First Aid Regulation 26: Fire Safety Measures II

3 Regulation 27: Supervision Regulation 28: Insurance Premises and Facilities Regulation 21: Equipment and Materials Regulation 29: Premises Regulation 30: Minimum Space Requirements SECTION Policies, Procedures and Statements Appendix 1: Statement of Purpose and Function Appendix 2: Complaints Policy Appendix 3: Policy on Administration of Medication Appendix 4: Policy on Infection Control Appendix 5: Emotional Support and Behaviour Management Policy Appendix 6: Policy on Safe Sleep Appendix 7: Fire Safety Policy Appendix 8: Inclusion Policy Appendix 9: Outings Policy Appendix 10: Policy on Accidents and Incidents Appendix 11: Policy on Authorisation to Collect Children Appendix 12: Policy on Healthy Eating Appendix 13: Policy on Outdoor Play Appendix 14: Policy on Staff Absences Appendix 15: Policy on the use of the Internet and Photographic and Recording Devices Appendix 16: Recruitment Policy Appendix 17: Risk Management Policy III

4 Appendix 18: Settling-In Policy Appendix 19: Staff Training Policy Appendix 20: Staff Supervision Policy Appendix 21: Safety Statement Appendix 22: Service Record Retention Timeframe Appendix 23: Early Years Inspectorate Principles and Practices SECTION Explanatory Notes IV

5 SECTION 1 Structure of the Quality and Regulatory Framework This framework is for a sessional service. A sessional service is defined as an Early Years service offering a planned programme to children for a total of not more than 3.5 hours per session. A sessional service as defined by the regulations can cater for children ages 0-6 years. The framework is set out under four sections as follows: Section 1 Acronyms List of the abbreviated terms used throughout the framework. Introduction Who we are Purpose of Regulatory Inspection Principles Aim of the QRF Development of the Quality & Regulatory Framework (QRF) Inspection Inspection Report Risk Level of Non-Compliance Inspection in Context of Other Legislation Sets out the role of the Inspectorate in respect of other legislation which is not within the remit of the Child Care Act 1991 (Early Years Services) Regulations Section 2 Describes four key areas and sets out the requirements of compliance for your service. The regulations that apply to each of the four areas are grouped together under four key areas as follows: Governance Health Welfare and Development of the Child Safety Premises and Facilities V

6 The intent (purpose) of each regulation is also described. The requirements for compliance are then set out. Where the scope of the regulation is particularly broad, regulations are divided into sub-elements. You will notice Cf at the end of some descriptions of regulations. Cf is a Latin abbreviation meaning compare. When you see Cf, it will be followed by one or more regulation reference numbers. This is inviting you to compare the regulation you are reading about with other regulations so that you can see any links between them. You will also notice throughout this framework some words are underlined and in blue text. Each of these words are hyperlinks to either an explanatory note within this framework giving further clarity, or is a link to an external relevant supporting document or website. For example, the statement of purpose and function in regulation 10 links to Appendix 1 which sets out the core requirements of this statement. Section 3 Policies, procedures and statements Sets out the core elements for each policy, procedure and statement required in the 2016 regulations. Section 4 Supplementary Notes This section includes a glossary and explanatory notes to explain some words and terms used within the framework. These explanatory notes are not criteria for compliance but to assist you to clearly understand the meaning within the context of the 2016 regulations. VI

7 Acronyms ACRO ACRO Criminal Records Office, UK ICPC International Child Protection Certificate AIM Access and Inclusion Model IMEB Irish Montessori Education Board AISTEAR The Early Childhood IUQB Irish Universities Quality Board Curriculum Framework CCTV Closed Circuit Television LINC Leadership for Inclusion consortium CE Community Employment NAEYC National Association for the Education of Young Children CECDC Centre for Early Childhood Development and NCCA National Council for Curriculum and Assessment Education CHO Community Healthcare NDA National Disability Authority Organisation DCYA Department of Children and Youth Affairs NFQ National Framework of Qualification DES DHC DPER Department of Education and Skills Department of Health and Children Department of Public Expenditure and Reform NQAI NSAI NVB National Qualifications Authority of Ireland National Standards Authority of Ireland National Vetting Bureau ECI Early Childhood Ireland OECD Organisation for Economic Cooperation and Development ECCE Early Childhood Care and OFA Occupational First Aid Education ECEC Early Childhood Education OWL Observe, Wait, Listen and Care FAR First Aid Response PHECC Pre-Hospital Emergency Care Council FETAC Further Education and PNC Police National Computer Training Awards Council FOI Freedom of Information QQI Quality and Qualifications Ireland GM General Manager QRF Quality Regulatory Framework HETAC Higher Education and UN United Nations Training Awards Council HSA Health and Safety Authority UNCRC United Nations Convention on the Rights of the Child HSE Health Service Executive UNESCO United Nations Educational, Scientific and Cultural Organisation VII

8 Introduction Who we are The Child and Family Agency (Tusla) is the dedicated State agency responsible for improving wellbeing and outcomes for children. The Early Years 1 Inspectorate within Tusla is the only independent statutory regulator of Early Years Services in Ireland, and it operates under the relevant legislation. The Minister for Children and Youth Affairs, published the Child Care Regulations (The Child Care Act 1991 (Early Years Services) Regulations 2016 on 4 May These Regulations are effective on a phased basis from 30 June The 2016 Regulations provide for pre-school services that is, those services catering for children under the age of 6 who are not attending primary school. In its unique role as regulator of children s services, the Early Years Inspectorate undertakes robust statutory inspection of service providers listed on the Early Years Services Register to promote quality, safety and the appropriate care of children. Many positive benefits of regulation in Early Years services have been identified. These include: safeguarding children from harm; ensuring the minimum regulatory standards are met; supporting the translation of quality standards into practice; providing parents and the public with assurance that services are of a consistent quality; and 1 Early Years is an overarching term that includes pre-schools, play groups, day nursery, and crèches, day-care and similar services which cater for children aged 0-6 years. The terms pre-school services and early year s services are used interchangeably on some occasions throughout this document VIII

9 setting benchmarks so that service providers can develop, improve and maintain services for children. Purpose of Regulatory Inspection Regulatory inspection under the 2016 regulations aims to determine the extent to which: the service is well governed; the health, welfare and development of each child is supported; children are safe in the service; the premises are safe, suitable and appropriate for the care and education of children. Principles The work of the Early Years Inspectorate is guided by the Vision, Mission, Values and Behaviours of Tusla as set out in the Corporate Plan Each Early Years service inspection is conducted in line with the principles of effective regulation as set out in Appendix 26, and keeps children s wellbeing at the heart of the inspection. Aim of the QRF The aim of the Framework is to set out the Early Years Inspectorate s interpretation of each of the 2016 Regulations in a transparent way. It presents the parameters under which the Inspectorate will assess services for compliance with the regulations. Providing a detailed interpretation of the regulations will help services to comply with regulations, and, in doing so, will improve the quality and safety of services provided to children within Early Years services. It is expected that this Framework document will change and grow as new developments and approaches to best-practice service provision are identified and become part of the Early Childhood Care and Education Sector (ECCE). IX

10 Development of the Quality & Regulatory Framework (QRF) In 2014, Tusla undertook research into the quality of preschool services based on an analysis of over 3,000 inspection reports. The findings from this research identified a need to develop and set out clearly the levels of evidence needed for regulatory compliance. Therefore, in 2015, the Early Years Inspectorate began to develop standardised levels of evidence required for each regulation. This process provided a baseline for developing the quality and regulatory framework throughout 2016 and The QRF now brings together evidence-based, national and international research and best practice in Early Years Services. The framework is child-centred with a specific focus on the quality and safety of the care provided directly to children using the services. The QRF was developed in consultation with the following groups and agencies: All stakeholders in the ECCE in Ireland. Statutory and regulatory organisations not directly involved in ECCE, but where the policy of that organisation or the legislation governing them can impact on the provision of ECCE for example, Food Hygiene, Data Protection. International ECCE regulatory authorities and the European Commission. Also, the QRF was informed by both national and international legislation, and policy and guidance documents in the Early Years Care and Education Sector. For example: United Nations Convention on the Rights of the Child (UNCRC) ratified by Ireland in Key Principles of a Quality Framework European Commission Department of Children and Youth Affairs publications, for example: o Diversity, Equality and Inclusion Charter and Guidelines for Early Childhood Care and Education (DCYA 2016). o Access and Inclusion Model (DCYA 2016). X

11 o Right from the Start (DCYA o Better Outcomes, Brighter Futures (DCYA 2014). Early Years Education Focused Inspections, Department of Education and Skills (DES 2016). Better Start, Quality Development Service (2015). Síolta, the National Quality Framework for Early Childhood Education (CECDE 2006). Aistear, the Early Childhood Curriculum Framework (NCCA 2009). Aistear Síolta Practice Guide, (NCCA 2015). Regulation of Early Years Services in other Jurisdictions. Inspection On inspection, relevant evidence is collected using the triangulation method. Triangulation means using several ways of gathering information rather than relying on just one way. The information can then be cross-checked to see if the findings are consistent. Using this approach gives a more accurate, detailed assessment of the service. The evidence is gathered in the followings ways: The information and documentation submitted in the application for registration is reviewed. Documentary evidence of how the regulations are being implemented within the service is examined. This may include, for example, examining policies and procedures, reviewing service records, children s records, staff training records, care and programme records, rosters, incident and complaint records and risk register(s). Interviews and consultations are held with management and staff. Operational practices in the service are observed directly during the inspection. This would include observing care, play, interactions of staff and children, and so forth. The premises and facilities are reviewed. XI

12 Compliance is determined by examining the evidence under the areas to establish if: the service is well governed; the health, welfare and development of each child is supported; the children are safe in the service; and the premises are safe, suitable and appropriate for the care and education of children. If the inspection identifies a critical risk to the safety or welfare of a child, the associated requirement will be found to be non-compliant. Immediate corrective action will be ordered by the inspection, and the matter could be brought further to the Registration Panel for review. Inspection Report After inspecting a service, the Early Years inspector prepares a draft report on the findings with regard to the regulations assessed. As a registered provider, you then have an opportunity to respond to the report 2 and to correct any factual inaccuracies. You can do this using the factual accuracy form. If non-compliance with statutory requirements is identified, you have an opportunity to respond setting out the corrective and preventive actions you undertook to rectify the non-compliant issues. You can do this using the corrective and preventive action template. When the initial reporting process is completed, and if you have addressed any non-compliance(s) satisfactorily, the final inspection report is issued to you and is then published by Tusla. 2 Escalation measures and where necessary enforcement actions in accordance with Tusla Regulatory Enforcement Framework may be implemented by Tusla, where the response received from the Registered Provider is deemed inappropriate. XII

13 If the Registration panel adds conditions to a service, you have an opportunity to make representation to Tusla within 21 days, or you can seek legal advice. After considering any representations, Tusla makes a determination and the report is published. Risk Level of Non-Compliance You must act on all aspects identified as non-compliant. You must complete a corrective and preventative action plan which sets out clearly the immediate actions taken and the on-going preventive measures put in place to address the noncompliance. These actions are needed to rectify the non-compliance by eliminating or minimising the risk identified so that it no longer poses a risk. All actions must include timeframes. If you fail to comply with legislative requirements, Tusla has the authority to take enforcement action. In determining appropriate and balanced regulatory enforcement action, Tusla will consider the nature of the risk and non-compliance as well as the provider s response and previous history of compliance. XIII

14 Inspection in Context of Other Legislation (Building regulations, data protection, and so forth) Each registered provider must make sure that the service complies with the legislative requirements of all relevant statutory agencies. During inspection the Early Years Inspector may identify a concern relevant to other legislation, not within the remit of the 2016 regulations, which is having, or may have, an adverse impact on the health, welfare and/or safety of a child attending your service. In the event of this happening, the Early Years Inspector can request the service to provide information in respect of any risk(s) 3. If Tusla is not satisfied with the information or any corrective or preventive measures taken, it can refer the matter to the relevant statutory agency. Examples of other areas of legislation where concerns could be identified include: Building Regulations Building regulations and the related Technical Guidance Documents, for example: Heating requirements as set out in the Department of the Environment, Community and Local Government (2014) Heat Producing Appliances Technical Guidance Document J. 3 Regulation 33 (1), Furnishing of Information to the Agency, of the Child Care Act 1991 (Early Years Services) Regulations 2016, requires that a registered provider provides the Agency (Tusla) with any information it may reasonably require to enforce and execute the 2016 Regulations. XIV

15 Lighting requirements as set out in the Department of the Environment, Heritage and Local Government: Technical Guidance Document M: Access and Use: Building Regulations Ventilation requirements as set out in the Department of the Environment, Heritage and Local Government 2009 Technical Guidance Document F on Ventilation. Fire safety requirements as set out in the Department of the Environment, Heritage and Local Government 2006 Technical Guidance Document B on Fire Safety. Child Protection Child welfare and protection legislation and national policies, including Children First Act (2015), Children First: National Guidance for the Protections and Welfare of Children (2017) and Our Duty to Care (2002). Data Protection All requirements of the Data Protection Act 1988, Data Protection (Amendment) Act 2003 and Data Protection Act 1988 (Commencement) Order 2014 (S.I. No. 337 of 2014) specifically in relation to taking, using or retaining images or recordings of children attending the service. Employment Legislation Recruitment is in line with employment and equality legislation. Recruitment and selection processes are informed by evidence-based human resource best practices. Fire safety Fire Safety Legislation, fire certification and associated technical guidance documents issued by the Department of the Environment, Heritage and Local Government (2006). XV

16 Food Safety and Hygiene, including Water Supply, for example: Food Hygiene Regulations , the European Communities (Hygiene of Foodstuffs) Regulations 2006 (SI No 369) Regulation, EC 178/2002 and Regulation (EC) No 852/2004. Health and Safety Safety Health and Welfare at Work Act, Planning Planning Legislation Further Information may be accessed at: Garda Vetting National Vetting Bureau (Children and Vulnerable Persons) Act Tobacco Control Public Health (Tobacco) Act, XVI

17 The regulations that apply to this area are: SECTION 2 Governance Regulation 9: Regulation 10: Regulation 11: Regulation 14: Regulation 15: Regulation 16: Regulation 17: Regulation 31: Regulation 32: Management and Recruitment. Policies, Procedures Etc. of Pre-School Service. Staffing Levels. Review of a Pre-School Service. Record of a Pre-School Child. Record in Relation to Pre-School Service. Information for Parents. Notification of Incidents. Complaints. The requirements of compliance for each of these regulations is now set out

18 Regulation 9: Management and Recruitment Intent As the registered provider, you must ensure that an effective management structure is in place, and appropriate people are recruited to ensure the quality and safety of the care provided to the children attending the service. You must ensure that staff are competent to perform their roles by providing appropriate training, supervision and performance evaluation. Requirements of regulatory compliance 1. Roles and responsibilities The registered provider and each person working in the service has a clear understanding of their own role and range of responsibilities in the service to ensure the quality and safety of care provided to the children attending the service. The registered provider has established, and maintains, an appropriate administrative process, ensuring the effective operations of the service. 2. Management There is a designated person in charge. There is a named person who can deputise if required. The designated person in charge or a named person to deputise is on the premises at all times while the service is in operation. The person in charge on a day-to-day basis is documented. There is an alternative person in charge in the absence of both the designated person and the deputy. There is a person in charge or a deputy on each premises where the service operates in more than one premises

19 3. Governance The service has clearly defined governance arrangements and structures that: o set out lines of authority and accountability; o specify roles and responsibilities; o are appropriate to the size, ethos, purpose and function of the service; and o are documented and available. 4. Recruitment Recruitment Policy There is a recruitment policy in place in the service, setting out the procedures to be followed if the registered provider is hiring employees and unpaid workers. This policy includes how references, qualifications and vetting are checked and verified. Relevant staff: o can access the recruitment policy; o have received updated training on the recruitment policy; o are knowledgeable and have a clear understanding of their roles and responsibilities in relation to the recruitment of staff; o implement the recruitment policy; o contribute to the review of the recruitment policy. Cf. Regulation 10 There is evidence of the recruitment policy being implemented by: o having effective systems in place for hiring employees and unpaid workers; o having processes in place to confirm identity be in the form of a passport, public services card or drivers licence; o having effective systems in place for the application process (including up-to-date and comprehensive CVs), the interview process, the probationary period and contract of employment; - 3 -

20 o obtaining, checking and verifying references; o obtaining, checking and verifying Garda vetting; o obtaining, checking and verifying Police vetting; o checking and verifying qualifications; o having procedures for the management of disclosures; o having procedures for Garda re-vetting; o having a system in place for record storage and retention. 5. Vetting Vetting is completed before a person is appointed, assigned or allowed access to, or contact with, a child attending the service. Vetting for each employee, unpaid worker and contractor includes: o two written past employer references if a person has been in previous employment. (One of the past employer references must be the most recent employer.); o references from reputable sources if a person has no past employers; o a reference, if practicable, from the childcare employer if the person was previously employed in childcare; o a reference from the registered provider if the person has been employed in the service for five years or more and does not have a previous employer. Specific requirements for references: All references must be: o in writing;. o dated and signed by the referee, and contain the address, phone number, logo or headed paper of the referee; The reference carry the organisation s stamp where applicable for example, a college stamp; o validated by the person s employer, (for example, a registered provider) or relevant organisation (for example, a college); o kept (along with any other validations) in each individual s file

21 Cf. Regulation 16. Vetting requirements also include that: vetting disclosure is obtained from the National Vetting Bureau of the Garda Síochána in respect of the person in accordance to the National Vetting Bureau Act 2012; Garda vetting is undertaken for any person aged 18 years and over; Garda vetting is undertaken by the person s employer or relevant organisation (for example, a college); Police vetting, in so far as is practicable, is available for people who have lived outside of Ireland for more than six consecutive months; Police vetting is undertaken by the individual and given to the employer; vetting documentation is available in English, (in Irish where applicable); emergency contact person for sole operators is vetted (Garda/police vetting/references); each member of a Board of Management has been vetted (Garda/police vetting/references); each Company Director has been vetted; Garda vetting for each person has been undertaken within the last three years including re-vetting. 6. Qualifications Each employee and a registered provider working directly with children holds one of the following: o A minimum of a major award in Early Childhood Care and Education at Level 5 on the National Framework of Qualifications. o An exemption from the qualification requirement and confirmation that this exemption is accepted by The Minister (The Grandfathering Clause)

22 o A qualification on the National Framework of Qualifications deemed equivalent by The Minister to Level 5, Early Childhood Care and Education. o The qualification requirement or relevant specialist training and the basis on which the capitation may be used for a person employed under the Access and Inclusion Model (AIM), detailed in an exemption letter from Pobal. 7. Staff Supervision Employees, unpaid workers and contractors, are supervised and supported in the service in relation to their work practices in line with the services staff supervision policy. Staff Supervision Policy There is a staff supervision policy in place setting out how any employees, unpaid workers and contractors are monitored and supported in their work practices. Relevant staff: o can access the staff supervision policy; o have received updated training on the staff supervision policy; o are knowledgeable and have a clear understanding of their roles and responsibilities in relation to the staff supervision policy; o implement the policy on staff supervision; o contribute to the review of the staff supervision policy. Cf. Regulation 10. There is evidence of the staff supervision policy being implemented as demonstrated by: o staff having a clear understanding of what staff supervision is, its purpose and its objective; o how employees, unpaid workers and contractors are supervised and supported in relation to their work practices for example, - 6 -

23 who is supervised, where supervision takes place, when supervision occurs and what format it takes; o the way supervision needs are identified; o the provision of adequate resources for supervision; o the provision of induction and ongoing supervision provision and supports. 8. Information An effective internal communication structure is evident within the service which enables the flow of information between staff and management. This is evidenced by: o having protected time for one-to-one discussions and staff meetings for staff to ask and respond to questions without interruptions, and to communicate important information and provide feedback to management regarding the service; o having staff meetings facilitated by a senior member of staff. Minutes are taken and made available, and actions are implemented; o having one-to-one supervision meetings between staff members and their manager. 9. Staff Training Staff Training Policy There is a staff training policy in place setting out how ongoing professional development, performance evaluation, learning and training needs of any employees and unpaid workers are identified and addressed. Relevant staff: o have access to the staff training policy; o have received updated training on the staff training policy; o are knowledgeable and have a clear understanding of their roles and responsibilities in relation to the staff training policy;

24 o implement the policy on staff training at all times reflecting up-todate professional practice, including for unpaid workers and contractors (where applicable); o contribute to the review of the staff training policy. Cf. Regulation 10. There is evidence of the staff training policy being implemented as demonstrated by: o the way in which training needs are identified; o the provision of adequate resources for training; o induction and ongoing training provision; o staff supervision; o staff training records; o training for the person in charge for example, the manager

25 Regulation 10: Written Policies, Procedures and Statements of Pre-School Service Intent As a service provider, you must develop, approve, distribute and review policies, procedures and statements in a consistent way. Policies and procedures will standardise your service s approach to implementing best practice and ensuring compliance with the regulations. Requirements of regulatory compliance 10. Roles and responsibilities Management and relevant staff are aware of their roles and responsibilities in relation to developing, approving, distributing and reviewing the service s policies, procedures and statements. Cf. Regulation 9. The following policies, procedures and statements as detailed within Schedule 5 are in place: o Statement of Purpose and Function o Complaint Management Policy o Administration of Medication Policy o Infection Control Policy o Emotional Support and Behavioural Management Policy o Safe Sleep Policy o Fire Safety Policy o Inclusion Policy o Outings Policy (where children attending the service are brought on such outings) o Accidents and Incidents Policy o Authorisation to Collect Children Policy o Healthy Eating Policy o Outdoor Play Policy (where applicable to the service type) o Staff Absences Policy - 9 -

26 o Use of the Internet and Photographic and Recording devices o Recruitment Policy o Risk Management Policy o Settling-In Policy o Staff Training Policy o Staff Supervision Policy A process is in place to develop and approve a policy and procedure, or statement. Approved policies, procedures and statements are consistent with the services practices. Relevant staff: o have access to up-to-date versions of all policies, procedures and statements, held in hard copy or electronically; o have received updated training on the policies, procedures and statements; o have a clear understanding of their roles and responsibilities in relation to each policy, procedure and statement; o are knowledgeable regarding the requirements of the policies, procedures and statements; o implement the policies, procedures and statements at all times, which reflect up-to-date professional practice; o contribute to the review of the policies, procedures and statements. Cf. Regulation Statement of Purpose and Function The service s Statement of purpose and function includes but is not limited to: o the service s mission and philosophy the aims, objectives, purpose, values, principles, ethos and so forth; o who the service is aimed at; o the classification or type of service provided;

27 o the hours of the service; o the days in operation; o the age-range of the children catered for; o the number of children that can be catered for; o a floor plan showing the physical layout and the extent of the service s premises; o a list of the policies, procedures and statements of the service; o the contact numbers to pass on to people looking for information about the service; o the cost of the service to parent(s) or guardian(s). 12. Safety Statement A safety statement for the service is in place. 13. Communication of policies, procedures and statements Policies, procedures and statements, including any updates, are communicated and available to parents and guardians. Parents and guardians sign a receipt when they receive copies of relevant policies, procedures and statements. Policies, procedures and statements form part of the services risk assessment process. Policies, procedures and statements form part of the services review process. The Statement of Purpose and Function is publicly available. Cf. Regulations 14, 16 and

28 Regulation 11: Staffing Levels Intent: Your service must ensure that an adequate number of staff are available at all times during the provision of services to meet the needs of the children attending. At all times, the number of staff within the service will be appropriate to the needs of children, the type of service and the care provided. Requirements of regulatory compliance 14. Roles and responsibilities Management and relevant staff have a clear understanding of their roles and responsibilities in relation to maintaining the minimum adult-to-child ratios at all times. Cf. Regulation Staffing There is a sufficient number of suitable employees with the necessary experience and competencies (qualifications, knowledge, skills and abilities) to: o meet the needs of all children, including children with special and additional needs, at all times; o ensure adequate supervision while children are sleeping or resting, during staff breaks and outings; o reflect the size, layout and purpose of the service. Cf. Regulation(s) 9, 27 and 29. The adult-to-child ratio is adhered to at all times, and a sufficient number of qualified staff are working directly with the children. There is a planned staff roster that: o gives details of the staff on duty while the service is in operation (including a person trained in first aid for children); o sets out the adult-to-child ratio on a daily basis for each area of the service;

29 o gives details of each person not included in the adult-to-child ratio; o records the actual start, finish and break times of each person in attendance every day. o demonstrates that there is sufficient cover for early arrivals, late collections, breaks, holidays, sick leave, school runs, kitchen duty, outings and any other situation where additional staff may be needed; o is documented for a weekly or monthly period; The service displays the current roster and maintains a record of all rosters within the service. The adult-to-child ratios are in accordance with the following: Type of Service Required adult-to-child ratio depending on the child s age Sessional Early Years services (0-1 year) 1:3 (1-2½ years) 1:5 (2½ - 6 years) 1:11 If a person in charge, for example, a manager, is included in the adult-to-child ratio, their managerial duties do not detract from direct childcare. A person in charge (manager), working directly with children holds the relevant qualification. A Community Employment (CE) worker holding a major award in Early Childhood Care and Education at Level 5, or a qualification deemed equivalent by the Minister, is included as part of the adultto-child ratio requirements. If mixed age groupings are accommodated in the same room, the ratio is applied in line with the age of each child and the type of service being availed of by each child. The times that the sessional service is in operation are recorded. Cf. Regulation

30 16. Sole operated Early Years Service A second person is available in an emergency. A working telephone is available on the premises. Cf. Regulation(s) 9, 15 and Staff Planning Staff Absence Policy There is a policy on staff absences which sets out the arrangements to ensure the adult-to-child ratios can be met when an employee is absent due to scheduled or unscheduled reasons, resulting in a shortfall of staff. Relevant staff: o have access to the staff absence policy; o have received updated training on the staff absence policy; o are knowledgeable and have a clear understanding of their roles and responsibilities when a staff member is absent; o implement the policy on staff absences when required; o contribute to the review of the staff absence policy. There is evidence of the staff absence policy being implemented as demonstrated by: o maintaining the adult-to-child ratio; o contingency planning; o notification of absences, including: - when the service is to be informed (as soon as possible) - who is to be informed (person in charge) - how they are to be informed (phone, , text) - procedure for contacting relief staff (who meet the qualification requirements and who are vetted) - procedure for advising of return to work. Cf. Regulation

31 Regulation 14: Review of a Pre-School Service Intent As a registered provider, you must ensure that the quality and safety of the care and service provided to children is reviewed at least once a year in line with the Regulations. The review is a formal assessment of the service, including its policies, procedures and statements, with the intention of making changes if necessary. A review of practice helps you to make informed judgements about the quality and effectiveness of the service, with a view to improving the care and education of the children. A record of the review must be kept for the defined period. The registered provider will provide an effective way for parents and guardians to give feedback about the quality and safety of the care provided by the service. Requirements of regulatory compliance 18. Roles and responsibilities The person responsible for carrying out the review has a clear understanding that their function is to ensure the quality and safety of care provided to the children attending the service. Cf. Regulation Annual review The annual review of the service examines the quality and safety of care provided, and includes a review of all policies, procedures, statements and care practices in the service. Cf. Regulation Plan of review A plan of the areas and policies to be reviewed is developed and recorded, with the approval of the registered provider. Relevant management and staff are informed of the planned review

32 The plan details the following: o The name of the person or people who will carry out the review they are the reviewer. This could be, for example, the registered provider or a person nominated by them. o The contact person for the area being reviewed they are the reviewee. This could be, for example, a practitioner, room leader or the person in charge. o The date and time of the review, and a timeline for completion. o The frequency of the review - if a process is identified as high risk, then the review is prioritised and carried out more frequently than once a year). o The area of service being reviewed, to ensure ongoing quality and safety of care in line with the service s statements, policies and procedures. o Any other reviews necessary to ensure the quality and safety of the care provided for example, inspection reports, corrective and preventive actions, Health and Safety Authority reports and Fire Officer reports. 21. Undertaking the review The Reviewer: Consults with relevant staff involved in the area being reviewed. Determines if relevant staff: o have access to current policies; o have received updated training on the policies, procedures and statements of the service; o have a clear understanding of their roles and responsibilities relevant to their position; o are knowledgeable regarding the policies, procedures and statements of the service. The reviewer keeps a written record of the review. The reviewer considers:

33 o any quality improvement activities completed or ongoing in the area being reviewed; o parents and guardians feedback; o any trends in the area being reviewed for example, repeated incident reports, repeated complaints. The reviewer determines if the policies, procedures and statements of the service are being implemented. This includes a walk around the service, observing practices and talking with practitioners. Policies, procedures, statements and practice are reviewed to determine: 22. The service is being well governed: Statement of purpose and function. Safety statement. Management and recruitment. Complaint reporting and management. Reporting of incidents. Recruitment. Staff training. Supervision of staff. Staffing levels. Authorisation and collection of children. Staff absences. Record Management records of children and service records. Information for parents. Copy of Act and regulations. Record of attendance. 23. The health, welfare and development of each child attending is being supported: Children s care needs are being met. Relationships are being supported. Children s Learning and Development are being supported

34 Emotion and Behaviour Management is in place. The environment supports children s wellbeing. Use of The Internet and photographic and recording devices (this may include the use of CCTV where appropriate). Children are supported and helped to settle in. Children have access to outdoor play. Children have opportunities for outings. Healthy eating is supported. All children are included. 24. Children are safe in the service: The following areas must be considered: Supervision of children. Infection control (including outbreaks). Accidents and injuries. Administration of medication. Safe sleep. First aid. Risk management. Fire safety. Insurance. Outings (including transportation of children). Child immunisations. 25. The premises are safe, suitable and appropriate for the care and education of the children: The following areas must be considered: Space requirements. Equipment and materials. Premises (including access to the service, cleaning, lighting, heating, maintenance, and so forth)

35 26. Reporting and closing out reviews Relevant staff are informed of the findings of the review. Reviews are closed when all the issues identified are rectified for example, policies updated, practice remedied, training needs addressed. 27. Retention of records A record of reviews is kept in the service for three years from the date on which the review was completed. See Service Record Retention Timeframe

36 Regulation 15: Record of a Pre-School Child Intent As a registered provider, you must develop, maintain, store and retain records relating to children attending the service. The records must contain appropriate information to document and support the care provided by the service to each child. Children's information retained by the service must be controlled and protected by the service. Requirements of regulatory compliance 28. Roles and responsibilities The registered provider and relevant staff are aware of their roles and responsibilities regarding the management of children s records under the following legislation: o Child Care Act 1991 (Early Years Services) Regulations o Child Care Act 1991 (Early Years Services) (Amendment) Regulations 2016 S.I. No. 632 of o Part 12 of the Child and Family Agency Act, Cf. Regulation(s) 9 and Children s records When a child is enrolled in a sessional service, their record must contain the following: o The name and date of birth of the child. o The date on which the child first attended the service. o The date on which the child stopped attending the service. o The name and address of the child s parent or guardian, and a telephone number where that parent or guardian (or a relative or friend of the parent or child) can be contacted during the hours of operation. o Authorisation for collecting the child. This includes: - The name, address and contact number of the person who is authorised to collect the child

37 - Written authorisation from the parent or guardian allowing the child to be released by the service into the care of the authorised person. Photo identification for any person not known to the service who has permission to collect the child. For example, a driver s licence. Proof that the authorised person is aged sixteen years or over. Record details of any illness, disability, allergy or special need the child has, together with all the information relevant to the provision of special care or attention. If there is an Individual Care Plan in place, this information is included with the child s records. Include the name and telephone number of the child s registered medical practitioner. Include a record of any immunisations the child has had. Include written parental consent to allow the child to have appropriate medical treatment if there is an emergency. Entries in the children s records are factual, consistent and accurate. Each entry in the child s record is signed by the person making the entry. Cf. Regulation Availability of Records There is a record for each child attending the service. The record has been updated if the child s information changes. Parents and guardians are told that the service keeps records in relation to their child. Records about individual children are shared with the child s parent or guardian, except where this would place the child s welfare at risk. Requests by third parties for information are discussed with parents and guardians,) and information is only shared if they give their

38 consent. (An exception to this is when there is a requirement to report concerns about the welfare or safety of the child for example, in relation to child protection). Cf. Regulation Access to Children s Records and Record Confidentiality Children s records are kept confidential. Children s personal information is not discussed outside of the service. The records are available for inspection to: o parents and guardians, but only in respect of their own child s record. o an employee who is authorised by the registered provider. o a Tusla Early Years inspector. 32. Electronic Records Children s records held electronically are password protected. Electronic records are accessible and easily retrievable and can be reproduced when needed. 33. Retention of Children s Records All relevant children s records are kept for 2 years from the date a child stops attending the service. The original records, and any additions such as any written requests and the signed consent forms, are kept by the service. Cf. Regulation

39 Regulation 16: Record in Relation to a Pre-School Service Intent As the registered provider, you must develop, maintain, store and keep relevant service records. Personal information kept by the service must be appropriately controlled and protected. Requirements of regulatory compliance 34. Roles and responsibilities The Registered Provider and relevant staff are aware of their roles and responsibilities regarding the management of the service s records under the following legislation: o Child Care Act 1991 (Early Years Services) Regulations o Child Care Act 1991 (Early Years Services) (Amendment) Regulations 2016 S.I. No. 632 of o Part 12 of the Child and Family Agency Act, The people within the service with responsibility for records have access to the information they need to carry out their duties and make reasonable and informed decisions. Cf. Regulation Information in relation to the service A record in writing of the following information is available in the service: o The name, position, qualifications and experience of the person in charge and the other employees, unpaid workers and contractors. o Details of the type of service being provided and the age profile of children the service is registered to provide services to. o Details of the adult-to-child ratio in the service. o The type of care or programmes provided in the service. o The facilities available within the service. o The opening hours and fees

40 The policies, procedures and statements the service is required to maintain are in accordance with Regulation 10: Written Policies, Procedures and Statements of Pre-School Service The service s record of attendance by children on a daily basis includes the time of arrival to, and departure from, the service. The service s record of attendance of visitors to the service includes the time of arrival to, and departure from, the service. Details of daily staff rosters are kept. Details are recorded of any medication given to a child attending the service with signed parental consent. Details are recorded of any accident, injury or incident involving a child attending the service. There is evidence that parents and guardians have received the service s policies, procedures and statements, and information relating to the provision of the service. Cf. Regulation(s) 9, 10, 11, 15, 19 and Service record retention All documents and records relating to references and Garda and police vetting are kept for 5 years from the date the person in question started working in the service. The following records are kept for all service types: o A daily record of every child s attendance. o Details of any medication given to a child attending the service, together with signed parental consent. o Details of any accident, injury or incident involving a child attending the service. The records are kept for 2 years from the date a child stops attending a sessional service. See Service Records Retention Timeframe. Cf. Regulation

41 Regulation 17: Information for Parents Intent As a registered provider, you must provide all relevant information about the service, the type of care provided and the facilities available, to the parents and guardians of children proposing to attend the service. You must provide this information in a way they can understand. Requirements of regulatory compliance 37. Roles and responsibilities Management and relevant staff have a clear understanding of their roles and responsibilities regarding the provision of information to parents and guardians of children proposing to attend the service. Cf. Regulation Information provided to parents and guardians The following information is provided to the parents and guardians of children proposing to attend the service: o The name, position, qualifications and experience of the person in charge and of every other staff member. o Details of the type of service and the age profile of the children the service is registered to provide services to. o Details of the adult-to-child ratio in the service. o The type of care or programmes provided within the service, the curriculum framework and any special needs or interests provided for. o The facilities available. o The opening hours and fees. o All policies, procedures and statements relevant to the service that are required in accordance with Regulation 10, those being: - Statement of Purpose and Function. - Complaint Management Policy. - Administration of Medication Policy