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Documentation

Requirements introduction

General requirement

Providers must maintain records, policies and procedures required for the safe and efficient management of the settings and to meet the needs of the children.

Specific legal requirements

Data

Providers must record the following information for each child in their care:

  • full name;
  • date of birth;
  • the name and address of every parent and carer who is known to the provider;
  • which of these parents or carers the child normally lives with;
  • emergency contact details of the parents and carers.

Providers must record and submit the following information to their local authority about individual children receiving the free entitlement to early years provision as part of the Early Years Census:

  • full name;
  • date of birth;
  • address;
  • gender;
  • ethnicity;*
  • special educational needs status;
  • the number of funded hours taken up during the census week;
  • total number of hours (funded and unfunded) taken up at the setting during the census week.

* This data item can be collected on a voluntary basis. A child's ethnicity should only be recorded where parents have identified the ethnicity of their child themselves.

For maintained and independent schools, these requirements are in addition to the requirements of the Pupil Registration Regulations 2006.

Statutory guidance to which providers should have regard

Ethnicity, where collected, should be recorded according to the following categories:

White

  • British
  • Irish
  • Traveller of Irish Heritage
  • Gypsy/Roma
  • Any other white background

Mixed – White and Black Caribbean

  • White and Black African
  • White and Asian
  • Any other mixed background

Asian or Asian British

  • Indian
  • Pakistani
  • Bangladeshi
  • Any other Asian background

Black or Black British

  • Caribbean
  • African
  • Any other Black background

Chinese

Any other ethnic background

A child's learning difficulties and disabilities status should be recorded according to the following categories:

  • no special educational need;
  • Early Years Action/School Action;
  • Early Years Action Plus/School Action Plus;
  • statement.

Providers should refer to the SEN Code of Practice for an explanation of the terms used above.


Specific legal requirements

Providers' records

Providers must keep the following information and documentation:

  • name, home address and telephone number of the provider and any other person living or employed on the premises (this requirement does not apply to childminders);
  • name, home address and telephone number of anyone else who will regularly be in unsupervised contact with the children attending the early years provision;
  • a daily record of the names of the children looked after on the premises, their hours of attendance and the names of the children's key workers;
  • providers must display their certificate of registration and show it to parents on request;
  • a record of the risk assessment clearly stating when it was carried out, by whom, date of review and any action taken following a review or incident.

Records must be easily accessible and available for inspection by Ofsted (with prior agreement by Ofsted, these may be kept off the premises).

Where Ofsted notifies providers in advance of the period in which an inspection will take place, this information must be passed on to parents. (Section 6 of the Education Act 2005 places an equivalent requirement on schools.)

Providers must ensure that copies of the inspection report are provided to all parents. (Sections 5 and 15 of the Education Act 2005 place an equivalent duty on schools.)

Statutory guidance to which providers should have regard

Providers should be aware of their responsibilities under the Data Protection Act 1998 and Freedom of Information Act 2000.

Records relating to individual children should be retained for a reasonable period of time (for example three years) after the children have left the provision.

There should be a suitable secure area for the storage of confidential information. Records on staff and children should only be accessible to those who have a right or professional need to see them.

All staff should be aware of the need for confidentiality.