Primary Focus Compliance Audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Standard Operations - Procedure Bus/Vehicle collection of children from school.

Check all aspects of the SOP's

• Has this been implemented within the service?

  Yes

  No

  N/A

• Is there evidence to suggest that up-skilling has been done? E.g. Staff Attendance Sheet.

  Yes

  No

  N/A

• Discuss the Prep pick up and drop off routine - has it been implemented into the service?

  Yes

  No

  N/A

• Does the service have a briefing prior to the session start to discuss the days events?

  Yes

  No

  N/A

• How does the service record cancellations and additional booking days?

  Yes

  No

  N/A

• Further Information (if applicable)

Children who are booked in but do not arrive at the service

• Has this been implemented within the service?

  Yes

  No

  N/A

• Is there evidence to suggest that up-skilling has been done? E.g. Staff Attendance Sheet.

  Yes

  No

  N/A

• Discuss the practices, what is the process for signing children into the service?

  Yes

  No

  N/A

• Provide an overview (if applicable)

Monitoring of correct head counts within the service

• Has this been implemented within the service?

  Yes

  No

  N/A

• Is there evidence to suggest that up-skilling has been done? E.g. Staff Attendance Sheet.

  Yes

  No

  N/A

• Discuss the practices, is the service managing the practice?

  Yes

  No

  N/A

• Provide an overview (if applicable)

Responsible Person Agreements

• Has the Responsible Person signed an agreement?

  Yes

  No

  N/A

• Has the Responsible Person signed the Educator Roster?

  Yes

  No

  N/A

• Is there a display identifying the Responsible Person?

  Yes

  No

  N/A

• Further information (if applicable)

Positive Notice - blue cards

• Does the service have a record system for blue card expiries?

  Yes

  No

  N/A

• Does the branch have a record system for blue card expiries?

  Yes

  No

  N/A

• Are there copies of blue cards for all the staff at the service?

  Yes

  No

  N/A

• Does the Branch Manager have an Exempt Blue Card?

  Yes

  No

  N/A

• Further information (if applicable)

Qualifications - Including completion of Staff Schedule

• Is there a qualified person per shift in First Aid, CPR, Asthma and Anapphylaxis?

  Yes

  No

  N/A

• Is there copies of these quallifications?

  Yes

  No

  N/A

• Are the qualifications appropriate as per Regulation?

  Yes

  No

  N/A

• Further information (if applicable)

Items/Documents to be displayed

• The name of the Approved Provider Certificate is displayed in a prominent area? Including provider approval number and any conditions.

  Yes

  No

  N/A

• The Service Approval is displayed in a prominent area? Including service approval number and conditions.

  Yes

  No

  N/A

• Details of any service waivers or temporary waivers held by the service.

  Yes

  No

  N/A

• The ratings of the service or notification of "not yet assessed" sign.

  Yes

  No

  N/A

• The hours and days of operation of the education and care service.

  Yes

  No

  N/A

• The name and telephone number of the person at the education and care service to whom complaints may be addressed.

  Yes

  No

  N/A

• The name and position of the responsible person in charge of the education and care service.

  Yes

  No

  N/A

• The name of the educational leader at the service.

  Yes

  No

  N/A

• The contact details of the Regulatory Authority

  Yes

  No

  N/A

• If applicable a notice stating that a child who has been diagnosed as at risk of anaphylaxis in enrolled at the education and care service.

  Yes

  No

  N/A

• If applicable a notice of an occurrence of an infectious disease at the education and care service.

  Yes

  No

  N/A

• Information about the educational program is displayed

  Yes

  No

  N/A

• If food and beverages, other then water is served is a weekly menu displayed?

  Yes

  No

  N/A

• Emergency and evacuation floor plan and instructions are displayed at each entrance/exit?

  Yes

  No

  N/A

• Educational Leader is displayed?

  Yes

  No

  N/A

• Further Information (if applicable)

Copies of documents are available for families and staff

• Is there an up to date copy of the Policies and Procedures available?

  Yes

  No

  N/A

• Is there a copy of a Family Handbook available?

  Yes

  No

  N/A

• Is there a copy of the Staff Handbook available?

  Yes

  No

  N/A

• Further Information (if applicable)

Child Protection

• Has all staff, volunteers or others associated with the service completed the In Safe Hands on line training?

  Yes

  No

  N/A

• Are there copies of these qualifications at the service?

  Yes

  No

  N/A

• Further Information (if applicable)

Supervision

• Are all the Educators actively supervising the children?

  Yes

  No

  N/A

• Is there evidence to suggest up-skilling has been done (e.g. staff attendance sheet)

  Yes

  No

  N/A

• Are the toilets being supervised correctly?

  Yes

  No

  N/A

• Does the service utilise walkie talkies?

  Yes

  No

  N/A

• Do the educators communicate between each other?

  Yes

  No

  N/A

• Further Information (if applicable)

Excursion and activity risk assessments

• Are risk assessments being completed correctly?

  Yes

  No

  N/A

• Are ratios maintained during excursions?

  Yes

  No

  N/A

• Are there permission slips for all children attending excursions?

  Yes

  No

  N/A

• Further Information (if applicable)

HubWorks - Randomly select 5 children

• Is all information in HubWorks up to date including (but not limited to) phone numbers and emergency contacts?

  Yes

  No

  N/A

• When was the last time that service updated the information?

  Yes

  No

  N/A

• Further Information (if applicable)

Activities for Children

• Are there enough activities for the children to participate in?

  Yes

  No

  N/A

• Are the activities stimulating and inviting?

  Yes

  No

  N/A

• Are there enough resources available for the number of approved places?

  Yes

  No

  N/A

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)

Educator Information

• Educator Name:

• Is this person a Certified Supervisor?

• What date did they start in this position?

  Date

• What is the expiry date of their Positive Notice - blue cad

  Date

• What is their highest qualification (Completed)?

• Are they studying a relevant qualification?

  Yes

  No

  N/A

• If applicable, what date did they commence study?

  Date

• Is there evidence of on - going study?

  Yes

  No

  N/A

• If applicable what is their Senior First Aid Expiry Date?

  Date

• If applicable what is this persons CPR Expiry Date?

  Date

• If applicable what is the expiry Date of their Asthma certification?

  Date

• If applicable what is the expiry date of their Anaphylaxis certification?

  Date

• Further Information (if applicable)