Planning and documentation

GMA8 Annual plan

Criteria

An annual plan guides the service's operation.

Documentation required

An annual plan identifying 'who', 'what', and 'when' in relation to key tasks the service intends to undertake each year, and how key tasks will have regard to the Statement of National Education and Learning Priorities (NELP).

Rationale/intent

An annual plan is part of good business practice and will show the Ministry of Education how the service intends to ensure ongoing compliance with all regulatory requirements and criteria.

Guidance

An annual plan guides the service’s operation

The annual plan describes and guides what the service will do in its operation in the next 12 months. It is detailed enough to cover day-to-day events, for example, excursions, staff appraisals or professional development, but is also a schedule of planned strategic opportunities, including for self-review and internal evaluation (GMA6). An annual plan aligns with other aspects of governance, management and administration (GMA) and therefore should be developed at the same time as the annual budget.

GMA6 Self-review and internal evaluation

Key tasks the service intends to undertake

An annual plan can be divided up into each month in the annual cycle, with key tasks grouped by area. The Ministry would expect each task to identify who is responsible for the task, what the task is, and when in the annual cycle the task is scheduled to be undertaken.

The annual plan should be created in consultation with the person responsible so that the teaching and learning needs of children can be met. The aspirations of whānau, community, hapū and iwi should be sought and embedded in the plan, and the plan should at least demonstrate when the service plans to involve these groups in planning.

The example annual plan is a starting point for how services can arrange key tasks in an annual plan.

In developing the annual plan services can ask:

• What purchases need to be made this year?
• Is any major maintenance work required?
• Will our staffing needs change?
• Is any fundraising required?
• How will the service better engage with their whānau, community, hapū and iwi?
• Is there regular opportunity for self-review, internal evaluation, and to set priorities for the year ahead?

Services have regard for the National Education and Learning Priorities

Having regard for the National Education and Learning Priorities (NELP) means being able to demonstrate in the documented annual plan how relevant key tasks for example curriculum review or policy review align with priorities 1 to 6 of the NELP. Services will need to ensure those involved in the creation of the annual plan are familiar with priorities 1 to 6 of the NELP.

Services will need to ensure those involved in the creation of the annual plan are familiar with priorities 1 to 6 of the NELP.

There is now a dedicated NELP page on Te Whāriki Online with a suite of resources to assist you.

NELP support resources – Te Whāriki Online – Tāhūrangi

Things to consider

The NELP licensing criteria came into effect on 1 January 2022.

Your service should now be collating more in-depth documentation on how you have regard for the NELP relevant to your early learning service in consultation with your parents/whānau.

The criterion requires your service to make the NELP more visible in your practice and planning. The Ministry will assess how the NELP has been woven into your self-review and internal evaluation processes, systems, professional development and annual plans

In addition to the required annual plan, services may also have a strategic plan.

Strategic plans are not a licensing requirement. However, having a plan that looks beyond ‘this year’ to the medium or long term can be very helpful for services. Strategic planning enables a service to determine its direction and what it hopes to achieve in the future.

Strategic plans are best developed in consultation with all stakeholders, for example parents/whānau, management committees/staff.

Strategic plans should be regularly reviewed and modified. Progress could be recorded, perhaps on the bottom or back of the annual plan.

Resources

Ka Hikitia – Ka Hāpaitia

Tau Mai Te Reo

Action Plan for Pacific Education 2020–2030

Learning Support Action Plan

GMA9 Annual budget

Criteria

An annual budget guides financial expenditure.

Documentation required

An annual budget setting out the service’s estimated revenue and expenses for the year. The budget includes at least:

• staffing costs, including leave entitlements
• professional development costs
• equipment and material costs for the ongoing purchase of new equipment and consumable materials and
• provision for operational costs (such as electricity, telephone, food purchases and other day-to-day items) and maintenance of the premises as appropriate.

Rationale/intent

The criterion will provide the Ministry of Education with evidence of the service’s ability to continue to meet regulatory standards and criteria and afford the financial costs of providing a quality licensed ECE service.

Amended 21 July 2011.

Guidance

An annual budget should be prepared once a year and then reviewed every 6 months, or more frequently throughout the financial year.

When setting and reviewing the budget, the service can:

• develop criteria for allocating resources
• identify priorities for expenditure
• establish clear procedures for monitoring income and expenditure.

A budget of income and expenditure should be broken down on a monthly basis.

The annual budget should be developed at the same time as the annual plan.

GMA10 Enrolment records

Criteria

Enrolment records are maintained for each child attending. Records are kept for at least 7 years.

Documentation required

Enrolment records for each child currently attending and for those who have attended in the previous 7 years.

Records meet the requirements of the ECE funding handbook and include at least:

• the child's full name, date of birth, and address
• the name and address of at least 1 parent
• details of how at least 1 parent (or someone nominated by them) can be contacted while the child attends the service
• the name of the medical practitioner (or medical centre) who should, if practicable, be consulted if the child is ill or injured
• details of any chronic illness/condition that the child has, and of any implications or actions to be followed in relation to that illness/condition
• the names of the people authorised by the parent to collect the child and
• any court orders affecting day-to-day care of, or contact with, the child.

Rationale/intent

The maintenance of enrolment records provides evidence of the accountability of service providers to the community and government for Crown funding. Enrolment records are also an indicator of good management and administration practices necessary to ensure the safety of the children attending.

Amended May 2015.

Guidance

Enrolment records are kept for at least 7 years, either paper based or electronically. Records should be stored in a way that they can’t get corrupted or altered after a parent has signed them.

Services need a process to ensure that enrolment forms are checked by parents at least annually to ensure all enrolment details are up to date. It is good practice to have enrolment forms checked more often if possible

Services must wherever possible sight the child’s birth certificate. Record the type of document and the date sighted. Each child must have an NSN (National Student Number) that requires sighting of the child’s birth certificate or passport. If you can’t sight this documentation contact MOE Resourcing contact centre on 0800 ECE ECE or 0800 323 323 (NZ only) to discuss.

An example enrolment form can be downloaded from Chapter 6-1 in the ECE funding handbook. This form can be adapted to suit the services particular circumstances but must have at least the mandatory requirements.

6-1 Enrolment records

Services should be familiar with the obligations of the Privacy Act and understand the 12 information privacy principles dealing with collecting, holding, use and disclosure of personal information.

Office of the Privacy Commissioner

Restricted or no access to a child

If a parent states that another parent or guardian has restricted or no access to their child, a copy of the applicable court order needs to be provided to the centre. This should be attached to the child’s enrolment information and staff should be made clearly aware of the situation.

After 7 years, records can be disposed of. This needs to be done so that unauthorised access to the information is not possible.

GMA11 Attendance records

Criteria

An attendance record is maintained that shows the times and dates of every child’s attendance at the service. Records are kept for at least 7 years.

Documentation required

An attendance record that meets the requirements outlined in the ECE funding handbook for children currently attending, and children who have attended in the previous 7 years.

Rationale/intent

The maintenance of attendance records is an indicator of good management and administration practices and supports the accountability of service providers to the community and government.

Guidance

Attendance records for all children who attend the service are required and these records must be kept for 7 years. This could be either paper based or electronically. Records should be stored in a way that they can’t get corrupted or altered after a parent has signed them.

The section 6-3 in the ECE funding handbook details what is required in keeping attendance records. Attendance records may be kept in a form to suit the service.

6-3 Attendance records

Service must keep evidence that a parent or guardian of each child has regularly examined and confirmed the attendance record. This needs to be completed:

• Once a month for sessional teacher led and parent/whānau led services, or
• Once a week for all-day teacher led services.

A template for sign-in and sign-out records is included in Appendix 2 in the ECE funding handbook.

Appendix 2: Resources and examples

After 7 years, records can be disposed of. This needs to be done so that unauthorised access to the information is not possible.

GMA12 Availability of documentation

Criteria

Required documentation is made available as appropriate to parents and Government officials having right of entry to the service under Section 626 of the Education and Training Act 2020.

Education and Training Act 2020, Section 626 – New Zealand Legislation

Rationale/intent

This criterion ensures records are made available as required, which supports the accountability of service providers to the community and government.

Guidance

Services need to ensure the required documentation as outlined in the governance, management and administration criteria is made available when required.

Any historic documentation stored off-site needs to be easily retrievable when required.