Assessment and Rating checklist: every document officers sight, with the regulation beside it

Last reviewed: 29 October 2026. Checked against the Education and Care Services National Regulations, reprint current as at 12 August 2026.

Use this as the pre-visit check. For how the visit runs and a 6-week preparation plan see preparing for an Assessment and Rating visit; for the element-by-element evidence and the 90-day countdown there is the Assessment and Rating visit checklist on the resources page. Officers rate practice; documents support it. A folder of policies nobody follows rates Working Towards.

Documents to have ready, with the regulation

Governance and leadership (QA7)

• Current Quality Improvement Plan with a dated self-assessment against every element, improvement goals with owners and dates, and the statement of philosophy (r 55, 56). The regulatory authority asks for it with the notice.
• Policies and procedures for every matter in regulation 168(2), with review dates, evidence they are followed (r 170), accessible to staff and families (r 171), and the regulation 172 notices to families for changes. See regulation 168.
• Written designation of the educational leader (r 118) and their role description and allocated time.
• Nominated supervisor consent and notice (s 56, r 35); responsible person register for every period children were in care (r 150) and the procedure for determining it (r 168(2)(i)).
• Complaints register and outcomes; the child-focused complaint procedure (r 168(2)(o)).
• Staff induction, appraisal and professional development records (Element 7.2.3).
• Prescribed information displayed and current: provider and service approval, nominated supervisor, ratings, waivers, hours, complaints contact, responsible person, educational leader (s 172, r 173).

Staffing (QA4)

• Staff record for every educator and staff member: qualifications or actively working towards, first aid, anaphylaxis and asthma training, working with children checks, and the 2026 child protection and child safety training with dates and expiry (r 145 to 149).
• Record of educators working directly with children, by hours (r 151); rosters and attendance that reconstruct the ratio for any day.
• Early childhood teacher access or attendance records (r 152).
• Volunteer and student records (r 149).

Health and safety (QA2)

• Supervision plans for each space and headcount records.
• Sleep and rest risk assessment within 12 months and sleep check records (r 84B, 84C).
• Emergency risk assessment reviewed within 12 months, the displayed floor plan, and rehearsals every 3 months with records (r 97).
• Medical management, risk minimisation and communication plans for each child with a diagnosed condition (r 90); medication records and authorisations (r 92 to 96).
• Incident, injury, trauma and illness records complete within 24 hours with parent notification times (r 86, 87). See incident report.
• Excursion and transport risk assessments and authorisations (r 100 to 102D). See risk assessment.
• Authorisations for collection of children and the enrolment record’s authorised nominees (r 99, 160 to 162).
• Food safety, hygiene and infectious diseases procedures and the exclusion table the service follows (r 77, 88, 168(2)(c)). See exclusion periods.

Program and relationships (QA1, QA5, QA6)

• Program documentation showing the assessment and planning cycle for each child (r 74, Element 1.3.1) and the program displayed and available to families (r 75).
• Evidence of critical reflection that changed practice (Element 1.3.2).
• Interactions with children policy, behaviour support plans developed with families (r 155, 156, 168(2)(j)).
• Family input: enrolment and orientation information, surveys or forums, and what changed as a result (Element 6.1.1, 6.1.2).
• Transition statements and community partnerships (Element 6.2.1, 6.2.3).

Premises (QA3)

• Daily safety checks, maintenance log, and the space calculation against regulations 107 and 108.
• Fencing, glass, nappy change and toilet facilities, and supervision sightlines (r 104, 112, 115, 117).

On the day

• Run a normal day; officers rate observed practice, and a staged day shows.
• Have the responsible person, the educational leader and the nominated supervisor available, and the document set in one place.
• Brief every educator, including casuals, that officers will ask them to describe their own practice, the planning cycle, supervision, and what they would do in an emergency or a child protection concern.
• Do not fix the gaps the officer points out during the visit and expect the rating to change; the rating reflects the visit. Fixes go in the feedback on the draft report, with the evidence that existed at the time.

After the visit

• The draft report: check each finding against your evidence and respond within the feedback period with element-by-element comments.
• The final report and rating: display the rating and update the QIP with the findings.
• Review: first tier review by the regulatory authority within the time stated in the notice, then second tier review by ACECQA, on the grounds the Law allows (sections 141 to 151).

Frequently asked questions

This page is a research summary, not legal or compliance advice. Element and regulation wording is reproduced from the current reprint of the National Regulations; confirm the position with your regulatory authority before relying on it for a compliance decision.