CONTENTSOn this page
Examples in the guidance
Any examples in the guidance are provided as a starting point to show how services can meet (or exceed) the requirement. Services may choose to use other approaches better suited to their needs as long as they comply with the criteria.
GMA4 Philosophy statement
Criteria
A philosophy statement guides the service’s operation.
Documentation required
A written statement expressing the service’s beliefs, values, and attitudes about the provision of early childhood education and care.
Guidance
A philosophy statement expresses the fundamental beliefs, vision, values and ideals a service chooses to operate under. It is a core document providing the basis for decisions on both how the service is managed and how the service operates on a day-to-day basis.
It needs to be easy to understand by everyone and should be available to parents.
The philosophy statement is a living document that should be reviewed regularly as part of a service’s self-review process.
Every philosophy statement will be different but could include:
- the learning outcomes expected for children
- why the service was established
- what values underpin the service.
The philosophy statement is a living document that should be reviewed regularly as part of a service’s self-review process.
More information on philosophy statements can be found in the Ministry of Education's guide for starting a home-based ECE service.
The Education Review Office produced a report on service philosophy statements that may be of use when developing a philosophy statement.
GMA5 Self-review and internal evaluation
Criteria
An ongoing process of self-review and internal evaluation helps the service maintain and improve the quality of its education and care.
Documentation required
A process for reviewing and evaluating the service's operation (for example, its curriculum, learning and teaching practices, philosophy, policies, and procedures) by the people involved in the service.
The process is consistent with criterion GMA3/GMA2 and includes a schedule showing timelines for planned review of different areas of operation.
- Recorded outcomes from the review and evaluation process. Outcomes show how the service has regard for the Statement of National Education and Learning Priorities (NELP) in its operation.
Guidance
An ongoing process of self-review and internal evaluation
Self-review
Self-review is about looking back on the implementation of policies, procedures and practices to ensure licensing requirements are met. Self-review involves asking questions such as:
- Are we following our policies and procedures?
- Are we doing what we are required to?
Internal evaluation
Internal evaluation is about identifying what is and is not working, and for whom. This is carried out with the aim of improving practice and what is happening for children and then to determine what changes are required.
Internal evaluation involves asking questions such as:
- How well…?
- How effectively…?
- What next…?
The Ministry would expect to see scheduled self-review and internal evaluation, in a service’s annual plan. Spontaneous self-review may happen in response to an incident or complaint.
Ongoing process
An ongoing process means that scheduled self-reviews and internal evaluations are undertaken regularly and are linked to and reflect on previous reviews or evaluations. An ongoing process involves asking questions such as:
- What actions did we take?
- What were the outcomes of those actions?
- How have those outcomes informed the current self-review/internal evaluation?
What to include in the documented process
The documented self-review and internal evaluation process should identify:
- Who will be involved in review and evaluation?
- How often will reviews and evaluations will take place?
- How parents of children attending the service are provided with the opportunity to contribute to the review and evaluation?
- What type of incident/complaint would initiate a spontaneous review?
What outcomes to record
Recorded outcomes should include change’s that were made (or not made) to the service’s policies, procedures and practices, the rationale for these changes (or lack of change), what impact these changes (if applicable) have had on tamariki and how the service has regard for the statement of National Education and Learning Priorities (NELP) in its operation.
How to have regard for the NELP
Having regard for the NELP means being able to demonstrate in the documented outcomes of self-review and internal evaluation how any change made to the service’s policies, procedures and practices align with priorities 1 to 6 of the NELP. Services will need to ensure those involved in any review and evaluation are familiar with priorities 1 to 6 of the NELP.
Things to consider
Samples of home visit notes and narrative assessment may help to provide evidence and support coordinators to monitor any changes to practice which lead to successful outcomes for children from self-review.
Ngā arohaehae whai hua | Self-review guidelines for Early Childhood Education has been developed to encourage ECE services to adopt a process of self-review. The guidelines cover all areas of the self-review process – including when to undertake self-review and what to review. A series of templates of review plans and frameworks that can be used as guides for review, and examples of self-review in practice are included as appendices. Review stories have also been provided by a range of ECE services, which show different approaches to review.
Ngā arohaehae whai hua | Self-review guidelines
ERO has also prepared a set of evaluation indicators for use in its reviews of early childhood services. Services may also choose to use the indicators when reviewing their own performance. These indicators can be found at the Education Review Office.
How ERO reviews – Education Review Office
The use of electronic reminder systems and electronic recording and communication media may assist smaller services to manage time constraints.
NELP
At this stage, the Ministry is taking an educative approach to assessing the NELP.
Ministry staff will engage in conversations with services about how they may show they have regard for the NELP. For example, some services may be due to update their annual plan so it could be as simple as including the NELP in this. Services could look at how the NELP can be woven into their self-review and internal evaluation processes and systems as well as professional growth cycles.
We are realistic that services providers are unlikely able to provide a lot of documentation to demonstrate full compliance with these criteria right now. Over time we will be expecting more, which will be indicated in discussions between advisors and service providers.
Resources
Early Learning Action Plan 2019–2029GMA6 Human resource management
Criteria
Suitable human resource management practices are implemented for educators and staff.
Documentation required
Processes for human resource management. Processes at least include:
- procedures for the selection and appointment of suitable educators and staff
- job/role descriptions
- training plans for educators with little or no previous experience in early childhood education
- induction procedures into the service
- a system of regular appraisal
- provision for professional development
- a definition of serious misconduct and
- discipline/dismissal procedures.
Guidance
The requirement to ensure that human resource management practices are implemented is underpinned by Regulation 47(1)(a) and 47(1)(e). These require service providers to ensure that the service is effectively governed, is managed in accordance with good management practices and all reasonable steps are taken to provide staff employed or engaged in the service with adequate professional support, professional development opportunities and resources.
Selection and appointment processes
NZ Government Business.govt.nz website carries a range of resources and tools for employers covering recruiting, appointing and managing staff.
Hiring an employee – Business.govt.nz
Services should ensure that:
Job descriptions are regularly reviewed and reflect the philosophy and needs of the service. For certificated teachers, link to the Standards for the Teaching Profession | Ngā Paerewa. The Ministry of Education provides more information on job descriptions.
Our Code, Our Standards – Teaching Council of Aotearoa New Zealand
- Appointment policies and procedures are clear, reflect the requirements of current legislation, provide managers with useful guidance and are regularly reviewed.
- Before confirming an appointment, a safety check is undertaken in accordance with the Children’s Act 2014 (see also GMA6A, below). A police vet is also obtained for every person over 17 years of age who lives in the home where the service is being provided.
- All staff employed or engaged in the service are provided with ongoing support and receive a documented orientation and induction into the service which outlines all policies and procedures.
Professional development and appraisals (or professional growth cycle)
Services should ensure that:
- Professional development for staff employed or engaged in the service is a priority, proactively supported and appropriately resourced.
- Tōmua (Provisionally Certificated Teachers) are proactively supported to become fully certificated.
- Philosophy, goals and professional development are clearly linked.
- Professional development is closely aligned to individual appraisal goals or the professional growth cycle for certificated teachers.
- A regular appraisal system or professional growth cycle is documented and is part of an annual cycle linked to professional development and includes provision for ongoing coaching or mentoring and self-reflection.
- Staff employed or engaged in the service, in conjunction with the appraiser, identify specific and measurable goals, and progress towards achieving these is monitored through documented observations, conversations and ongoing feedback.
- Professional development for certificated teachers (in all practising certificate categories Tōmua, Tūturu and Pūmau) is aligned with the Professional Growth Cycle for Teachers as required by the Teaching Council of Aotearoa New Zealand, Tātaiako and Tapasā.
Discipline and dismissal procedures
The Employment New Zealand website carries a range of resources and tools for employers covering disciplinary processes and dismissal.
Disciplinary process – Employment New Zealand
Dismissal – Employment New Zealand
- Discipline and dismissal policies and procedures must be clear, reflect the requirements of current legislation and provide managers with useful guidance.
- The Education and Training Act 2020 states that an employer must provide a mandatory report to the Teaching Council of Aotearoa New Zealand in certain circumstances. The Teaching Council has information and guidance on how to embed the Code and Standards further into your teaching practice, and how to identify breaches of the code using a number of scenarios in their Resource Centre.
Resource Centre: Our Code, Our Standards – Teaching Council of Aotearoa New Zealand
Ngā Tikanga Matatika | The Code in Practice – Teaching Council of Aotearoa New Zealand
Serious misconduct
The Education and Training Act 2020 and the Teaching Council Rules 2016 outline the criteria for reporting serious misconduct and may assist in defining serious misconduct in your service.
Education and Training Act 2020, Section 491 – New Zealand Legislation
Teaching Council Rules 2016, Clause 9 – New Zealand Legislation
Things to consider
The service may need to consider having a procedure to follow whereby the potential employee/contractor can be asked to declare in writing their fitness to perform the role as advertised. The service will need to identify in what circumstances the service may deem it necessary to request a medical reference.
Support for educator professional development can take many forms:
- readings
- role modelled practice
- observation
- professional discussions
- manuals
- kaiako/kaumatua
- community members
- reflective workbooks
- diaries
- workshops
- buddy systems
- community events/speakers
- tertiary study.
NELP
At this stage, the Ministry is taking an educative approach to assessing the NELP.
Ministry staff will engage in conversations with services about how they may show they have regard for the NELP. For example, some services may be due to update their annual plan so it could be as simple as including the NELP in this. Services could look at how the NELP can be woven into their self-review and internal evaluation processes and systems as well as professional growth cycles.
We are realistic that services providers are unlikely able to provide a lot of documentation to demonstrate full compliance with these criteria right now. Over time we will be expecting more, which will be indicated in discussions between advisors and service providers.
Resources
Action Plan for Pacific Education 2020–2030
Early Learning Action Plan 2019–2029 (PDF above)
GMA6A Safety checking
Criteria
Before a person is employed or engaged as a children's worker, as defined in the Children's Act 2014, a safety check as required by that Act must be completed.
A detailed record of each component of the safety check must be kept, and the date on which each step was taken must be recorded, including the date of the risk assessment required to be completed after all relevant information is obtained.
These records must be kept by, or available to, the service provider as long as the person is employed or engaged.
Every child’s worker must be safety checked every 3 years. Safety checks may be carried out by the employer or another person or organisation acting on their behalf.
Documentation required
- A written procedure for safety checking all children’s workers before employment or engagement of the worker commences that meets the safety checking requirements of the Children's Act 2014.
- A record of all safety checks and the results.
Guidance
Every licensed service provider is required to take all reasonable steps to promote the good health and safety of children enrolled in the service. This includes child protection and safety checking that meets the requirements of the Children’s Act 2014. Safety checking should be part of your organisation’s recruitment process for all roles that involve contact with children.
The following links take you to more detailed guidance for safety checking and 2 tools that can assist you in completing this process – a list of actions to support you through the steps and a spreadsheet for collating your documentation of the checks.
Who needs to be safety checked
The Children's Act 2014 specifies who needs to be safety checked. You can read this in Section 23 of the Children's Act 2014.
Children’s Act 2014, Section 23 – New Zealand Legislation
The Ministry has prepared flow charts which explain the checks that must be completed on adults in specific roles.
New and existing employeesStudents on practicumRelieving teachersAdults visiting an early service to workCore children’s worker
In a home-based service both educators and coordinators are core children’s workers. This is because there will be times during the day when their duties require them to have 'primary responsibility for, or authority over' children and/or be the ‘only children’s worker present’.
Non-core children’s worker
A 'non-core children’s worker' would include staff whose main duties do not require them to have 'primary responsibility for, or authority over', children and/or be the ‘only children’s worker present’, but whose work may include having access to children.
Components of the safety check
Full requirements for safety checking are set out in the Children's (Requirements for Safety Checks of Children’s Workers) Regulations 2015.
Safety checking includes the collection and consideration of a range of information about the person.
A safety check is made up of 7 components:
- verification of identity (including previous identities)
- an interview
- information about work history
- referee information
- information from any relevant professional organisation or registration body
- a New Zealand police vet
- a risk assessment.
The risk assessment involves an evaluation of all information collected to assess if there is any risk to children’s safety. For example, is a driving offence relevant to the requirements of the role or going to pose a risk to children? Would this information mean you should or shouldn’t employ or engage the person? You must take into account the guidance we have provided in your risk assessment.
The publication Safer recruitment, Safer children provides best practice guidance and Children’s worker safety checking under the Children's Act 2014 provides advice for organisations interpreting and applying the safety checking regulations.
Safer recruitment Safer childrenChildren’s worker safety checking under the Children's Act 2014New children’s worker
A safety check of a new children’s worker requires all 7 components to be completed.
Existing children’s worker
A safety check of an existing children’s worker requires the following 4 of the 7 components to be completed:
- 1. verification of identity (including previous identities)
- 5. information from any relevant professional organisation or registration body
- 6. a New Zealand police vet, and
- 7. a risk assessment.
An existing children’s worker is someone you have continuously employed since before 1 July 2015.
Periodic rechecking
Periodic rechecking of all children’s workers requires the following 4 of the 7 components to be completed:
- 1. that the person hasn’t changed their name and if so reconfirmation of their identity
- 5. information from any relevant professional organisation or registration body
- 6. a New Zealand police vet, and
- 7. a risk assessment.
Certificated teachers
Coordinators and educators who hold a current practising certificate will be police vetted by the Teaching Council as part of issuing and renewing the person’s practising certificate.
If the Teaching Council has issued or renewed a practising certificate, they will have considered them to have a satisfactory vet. Services can choose to rely on this or carry out their own police vet.
More information is available on the Police vetting page.
The service provider will need to carry out all of the other components of the safety checking process for certificated teachers.
It must also:
- meet the teacher in person
- check a primary identification document
- check a specified form of photographic identification
- check that the name on the practising certificate matches the name on the person’s identity documentation
- check the Teaching Council’s online register for the latest updates to the teacher’s registration and practising certificate status
- undertake a risk assessment.
Find a registered teacher – Teaching Council of Aotearoa New Zealand
When people need to be safety checked
You cannot employ or engage a person as a new children’s worker until the safety check has been completed.
Services cannot rely on a safety check done by a different employer (either current or previous) as the check was not done on their behalf. They must carry out all of the components themselves.
After 1 July 2018, you cannot continue to employ an existing core children’s worker until the safety check has been completed.
After 1 July 2019, you cannot continue to employ an existing non-core children’s worker until the safety check has been completed.
Periodic rechecking must be done every 3 years.
Umbrella organisations carrying out safety checks
If an umbrella organisation carrying out the safety checks is the employer for staff at multiple services, then member services (Playcentres/Kindergartens) can use the children’s workers who have been safety checked by that employer.
Relying on safety checking completed by another organisation on your behalf
Where some or all components of the safety check have been completed by another organisation on a service’s behalf, the service is responsible for confirming that these components have been completed, and that a full safety check has been done.
If the service chooses to rely on a safety check completed on their behalf, we recommend that they:
- Seek permission from the person who is being safety checked for the information to be shared. Permission could be sought by the person or organisation completing the safety check before it is undertaken, or by the ECE service prior to requesting the information.
- Prior to the safety check, obtain confirmation from the person or organisation that they are undertaking the safety check on your behalf.
- Obtain in writing from the person or organisation completing the safety check that they have done this to the standard set out in the Children's Act 2014.
- Complete the identity check and risk assessment for all children’s workers, even if these have already been completed by another person or organisation.
- Keep records about the safety checking of children’s workers they engage or employ.
Responsibility for safety checking always rests with the employing or contracting organisation. This means services should exercise due diligence when relying on checks undertaken by others. Things to consider include:
- How long ago the safety check was done.
- The purpose of the safety check that was done (for example what role).
If you purchased an existing service
If you are purchasing an existing early learning service, and retaining existing staff from that service, you may not need to complete all 7 components of the safety check for all those staff.
But you will need to:
- get familiar with the safety check requirements and our guidance
- ensure you have a written procedure in place that reflects your new service's governance and management
- check that all safety checking has been appropriately completed for all existing staff
- consider undertaking your own risk assessment for each staff member
- check that records are in place, collated and stored securely on file, and made available to us on request.
If you find that safety checks have not been done, or you have any concerns about how it was done, you will need to do it yourself. If any information is incomplete or missing for any staff, you will need to do those components yourself.
You will also need to safety check anyone new you recruit.
Safety checking relief teachers
Sometimes home-based services use relief teachers to cover short-term coordinator absences. These people must be safety checked.
Where some components of the safety check have been completed by another organisation on their behalf, the service is responsible for confirming that these components have been completed, and that a full safety check has been done.
We recommend that the service itself always completes the identity check and risk assessment for all children’s workers, even if these have already been completed by another organisation.
Agency relief teachers
Agencies providing relief teachers are likely to be completing some components of the safety check. Services can agree with the agency that it will complete those components on their behalf.
Independent relief teachers
Services that engage a relief teacher independently (that is, not through an agency) will need to complete the safety check. Once this has been done, the completed check can be relied on for up to 3 years by the service.
Safety checking of trainees and students on practicum
Under the Children's Act 2014, the requirements apply to unpaid work that is undertaken as part of an educational or vocational training course (for example a student teacher undertaking and practicum placement).
Providers of educational or vocational training courses may have completed some of the components of the safety check as part of their enrolment process. For example, an interview, reference check and police vet.
Services need to agree in advance with the training provider what components of the safety check it will complete on their behalf. The service must then get a letter from the training provider stating the student’s name, what components of the safety check have been completed, and that they have been done to the standard set out in the Children's Act 2014.
The service should still complete the identity check and risk assessment for all children’s workers, even if these have already been completed by another organisation.
Police vetting
In addition to safety checking children’s workers under the Children's Act 2014, services still need to meet their police vetting obligations under Schedule 4 clauses 1 to 8 of the Education and Training Act 2020.
Education and Training Act 2020, Schedule 4 – New Zealand Legislation
More information is available on the Police vetting page of the Education website.
Workforce restriction and core worker exemption
The Children's Act 2014 introduces a new children’s workforce restriction, which prohibits services from employing or engaging people with a specified offence as core workers, unless they hold a Core Worker Exemption.
A specified offence means an offence identified in Schedule 2 of the Children's Act 2014.
Children’s Act 2014, Schedule 2 – New Zealand Legislation
Individuals prohibited from being employed or engaged in a core worker role under the workforce restriction can apply for a Core Worker Exemption.
Core Worker Exemptions – Te Kāhui Kāhu
Core Worker Exemption enquiries, guidance for employers – Oranga Tamariki (PDF 276KB)
Employers will be able to confirm whether a person holds a Core Worker Exemption.
Short-term emergencies
Home-based services may employ a children’s worker they have previously police vetted and whose vet is current, without completing the remaining components of the safety check, to manage short-term emergencies.
If a home-based service considers that an emergency or unexpected situation has arisen that increases risks to children, they may engage or employ a children’s worker to reduce those risks without completing all components of the safety check, for up to 5 consecutive working days, as long as the person has a current police vet.
However, in the interests of children’s safety, we recommend that home-based services begin the full safety checking process as soon as possible in an emergency or unexpected situation.
Screening service for early learning service owner operators who are children’s workers
A screening service is available to undertake safety checks for specified groups of children’s workers.
This service has been established to provide third party safety checks for children’s workers in the health, education and social development sectors who are self-employed or sole practitioners.
In the education sector, this screening service has been approved for early learning service owner-operators.
- Anyone who works with children must be safety checked.
- You may choose to use this approved screening service, but you are not obliged to do so. You can conduct your checks through another service.
There is a cost to applicants for this service. To find out more, go to CV Check.
Children’s Worker Safety Check – CVCheck NZ
Documentation guidance
Under Section 39(3) of the Children's Act 2014, service providers are required to be able to provide details on any safety check done on a person and their work history including:
- how their identity was confirmed, and
- all information provided during the safety check, and
- the risk assessment, and
- the date or dates on which the person was engaged or employed by the organisation, and
- the nature of the work the person is/was engaged in.
Children’s Act 2014, Section 39 – New Zealand Legislation
Evidence of all children’s worker safety checks must be kept for at least as long as the children’s worker is employed or engaged, then securely destroyed. All information must be provided to the Ministry of Education, or any other relevant agency, on request.
The result of the safety check is confidential and the service provider and only those staff delegated with responsibilities that would require them to access the information should be able to do so.
Information needs to be stored appropriately. Typically, screening information will be kept on a person’s personnel file. Files should be stored in a secure location with access only available for appropriate staff.
Once information is no longer required to be retained, it must be securely destroyed.
