Governance and management policy

Early Learning Victoria is committed to maintaining high standards of governance and management to ensure effective, transparent and competent operation of all Early Learning Victoria centres.

Early Learning Victoria recognises that robust governance and management systems and processes are essential to providing high-quality education and care for children and their families.

1. Scope

This policy applies to children, families, staff, management and visitors of Early Learning Victoria centres. This includes volunteers, students on placement and contractors or labour hire employees of Early Learning Victoria.

2. Policy statement

This policy provides an overview of Early Learning Victoria’s governance structure and responsibilities and performance and monitoring framework.

2.1 Requirements

Under the Education and Care Services National Law Act 2010 (the National Law) and Education and Care Services National Regulations 2011 (the Regulations), Early Learning Victoria must ensure that policies and procedures are in place regarding the governance and management of Early Learning Victoria centres.

In line with these obligations and National Quality Standard quality area 7 (Governance and leadership), Early Learning Victoria is committed to meeting a range of requirements, quality processes, procedures and practices, that deliver:

robust and effective governance and management policies and procedures
clear structure, roles and responsibilities to guide activities of all staff
accountability to its stakeholders
effective systems of risk management, financial and internal control and performance reporting
compliance with all regulatory, legislative and funding requirements placed on the organisation, including those relating to space, equipment and facilities, child safety and wellbeing, confidentiality of records, and notifications and reporting
financial solvency and compliance with financial obligations
participation of stakeholders, including staff and families, in Early Learning Victoria centre activities and decision-making
a culture of continuous improvement through an ongoing cycle of self-assessment, planning and review.

Effective governance and leadership are important across all areas of the National Quality Standard. Several governance matters, such as privacy and information sharing, risk management and policy review and evaluation are addressed in separate Early Learning Victoria policies (see related policies).

2.2 Background and information

Governance structure

Early Learning Victoria is a Victorian Government organisation. The Victorian Department of Education is the approved provider of all Early Learning Victoria centres, acting through Early Learning Victoria.

The department is also the employer of all Early Learning Victoria centre staff. Early Learning Victoria is a division within the department, led by a chief executive officer (CEO) and responsible for the establishment and operation of Early Learning Victoria centres. Each Early Learning Victoria centre is led by a centre director or nominated supervisor who reports to the Director, Early Learning.

Organisational structure

Secretary, Department of Education
Deputy Secretary, Early Childhood Education, Department of Education
Chief Executive Officer, Early Learning Victoria
Director, Quality and Compliance, Early Learning Victoria
Directory, Planning and Strategy, Early Learning Victoria
Director, Early Learning, Early Learning Victoria
Area Manager, Early Learning Victoria
Centre Director/Nominated Supervisor, Early Learning Victoria.

Early Learning Victoria has established the following leadership positions, responsible for guiding the direction of the Early Learning Victoria centres and ensuring that their goals and objectives are met in line with the Early Learning Victoria philosophy, policies and procedures and all legal and regulatory requirements governing the operation of the centres.

- Responsible for ensuring that Early Learning Victoria centres comply with the National Law and Regulations.
- Persons who participate in executive or financial decision-making or have authority or responsibility for, or significant influence over, the planning, direction or control of the activities or the delivery of the education and care service. PMCs must be satisfied at all times that Early Learning Victoria centres are properly following the National Law and Regulations.
- Responsible for the day-to-day management of Early Learning Victoria centres, and a range of responsibilities under the National Law, including educational programs, supervision and safety of children, entry to and exit from the premises, food and beverages, administration of medication, prescription and non-prescription drugs and alcohol, sleep and rest, excursions and staffing.
- Early Learning Victoria centres must have a responsible person always present when the centre is delivering education and care. This person may be a person with management or control, or the nominated supervisor of the service or a person placed in day-to-day charge of the centre.
- Leads the development and implementation of an effective educational program in the centre and supports educators to build their knowledge, skills and professionalism (Regulation 118).
- Responsible for planning and implementing the early childhood program for the children and providing direction and general supervision for other educators in the room, to ensure compliance with the Early Learning Victoria philosophy, policies and procedures, and all legal and regulatory requirements.

Performance and monitoring framework

The Early Learning Victoria Operations Board monitors the performance and operation of Early Learning Victoria and is chaired by the Deputy Secretary, Early Childhood Education. The board comprises executives from across the department who are responsible for the corporate functions and shared services required to establish and operate Early Learning Victoria centres, as well as executives requiring operational oversight or who can advise on risks, issues and performance relating to the delivery of early childhood education and care.

Core elements of Early Learning Victoria’s governance model

Centre philosophy

Early Learning Victoria central will develop a statement of philosophy that aligns with Early Learning Victoria’s organisation-wide philosophy and guides all aspects of the centre’s operations. Within this context, Early Learning Victoria centre directors – in partnership with Early Learning Victoria central office – will develop and implement a statement of philosophy for each Early Learning Victoria centre, in consultation with children, families and their community.

Code of conduct

The standards of behaviour outlined in our Code of conduct policy and the Code of conduct for Victorian public sector employees guide all staff to make personal and ethical decisions related to confidentiality, recruitment, duty of care, record keeping, professional relationships and appropriate use of resources in Early Learning Victoria centres.

Ethical decision-making

Early Learning Victoria centres make decisions consistent with Early Learning Victoria policies and procedures, the National Law and Regulations, the Victorian Early Years Learning and Development Framework, and the Early Childhood Australia Code of Ethics.

Confidentiality and maintenance of records

Keeping personal records and information confidential is of critical importance to Early Learning Victoria. All Early Learning Victoria staff who gain access to confidential information shall not disclose this information to anyone unless the disclosure of such information is required by law. Personal information is stored in a way that ensures confidentiality is maintained and the privacy of children, families, educators and other employees is protected. All records are maintained in accordance with National Regulations, supported by effective administrative systems.

Early Learning Victoria has rigorous processes to ensure the Regulatory Authority is notified of any relevant changes to the operation of the service, of serious incidents and of any complaints alleging a breach of legislation.

Early Learning Victoria will ensure that all family grievances and complaints are addressed, investigated fairly and documented in a timely manner. Service practices at Early Learning Victoria centres are based on clear policies and procedures aligned with the National Quality Standard. Refer to the Privacy policy, Records management policy and Handling complaints and feedback policy for further information.

Managing conflicts of interest

Conflicts of interest, whether actual, potential or perceived, must be declared by all Early Learning Victoria staff and other departmental employees involved in Early Learning Victoria operations. Conflict of interest arises when an employee’s public duty is influenced, or can be seen to be influenced, by a private interest.

All departmental employees are required to be familiar and comply with their obligations under the department’s Conflict of Interest (COI) policy. This policy identifies the responsibilities of employees and their managers for managing risks relating to conflict of interest. It provides a comprehensive definition of ‘conflict of interest’ and outlines the required process for managing conflict-of-interest risks. Identified conflicts of interest must be formally declared in the department’s COI Declaration system in eduPay. The declaration form sets out specific instructions for completing and submitting the COI Declaration, including proposing a COI management plan to mitigate the identified COI risks. COI declaration forms and proposed management plans must be submitted to managers for approval before they are formally recorded in eduPay. Refer to the department’s COI policy for further information.

Evaluation and continuous improvement

Ongoing review and evaluation supports the continuous improvement of Early Learning Victoria centres. Each Early Learning Victoria centre has an effective self-assessment and quality improvement process in place, including the Quality Improvement Plan, led by the Early Learning Victoria centre director with contribution from all stakeholders.

The performance of educators and centre staff is evaluated and managed systematically. This includes the creation of individual development plans for staff that support performance improvement.

3. Actions and procedures

3.1 Responsibilities of families

Families play an important role in ensuring that communication remains positive, respectful and courteous. Families are responsible for informing their child’s educators if there is a change in their child’s regular routine or needs. See the Family Handbook for more information.

Families are encouraged to familiarise themselves with the Handling complaints and feedback policy, noting that relevant contact details are available in the foyers of Early Learning Victoria centres.

3.2 Responsibilities of staff

The approved provider and persons with management control are responsible for:
Overarching governance
- ensuring that obligations under the National Law and Regulations are met, as well as all other laws relevant to governance and management of the Early Learning Victoria centre
- displaying all prescribed information required by section 17 of the National Law
- providing information in relation to being a fit and proper person to the Regulatory Authority upon request
- ensuring that Early Learning Victoria centres are insured, and keeping evidence to confirm this
- ensuring that the number of children at the Early Learning Victoria centre does not exceed the maximum stipulated in the Early Learning Victoria centre’s service approval
- ensuring that guardians of children being educated and cared for at Early Learning Victoria centres are allowed to enter the premises during their child’s attendance, unless prohibited by a court order
- adopting quality governance and management processes, procedures and practices, that align with the National Quality Standard, in particular quality area 7 (Governance and leadership)
- establishing systems of risk management, financial and internal control and performance reporting
- monitoring management and financial performance to ensure the solvency, financial strength and good performance of Early Learning Victoria centres
- developing, reviewing and approving the Early Learning Victoria philosophy, centre philosophies, purpose, strategic direction and initiatives
- taking reasonable steps to ensure that nominated supervisors, educators, staff and volunteers follow the Governance and management policy and its procedures
- ensuring that copies of the policy and procedures are readily accessible to nominated supervisors, educators, staff, volunteers and families, and available for inspection
- notifying families at least 14 days before changing the policy or procedures if the changes will:
  - affect the fees charged or the way they are collected
  - significantly impact the Early Learning Victoria centre’s education and care of children
  - significantly impact the family’s ability to utilise the Early Learning Victoria centre.
Notifications and reporting
- ensuring that all reporting requirements are met regarding the National Quality Framework, family assistance, taxation, child protection and other relevant laws
- notifying the Regulatory Authority about the approved provider and operational changes, and changes in relation to the nominated supervisor, as detailed in section 173 of the National Law
- notifying the Regulatory Authority about changes to the ‘fit and proper’ status of the approved provider, any serious incidents, and complaints relating to a serious incident, or that the National Law has been contravened.
Health, safety and wellbeing
- ensuring the health, safety and wellbeing of children in the service and taking every reasonable precaution to protect children from harm and hazard.
Quality Improvement Plan
- ensuring there is an effective self-assessment and quality improvement process in place, including a Quality Improvement Plan (QIP) that is kept at the premises and is made available for families to inspect
- ensuring that the QIP is reviewed at least annually.
Space, equipment and facilities
- ensuring that all requirements relating to the Early Learning Victoria centre’s physical environment, space, equipment and facilities are met
Educational needs and program
- ensuring that educational and developmental needs of children at Early Learning Victoria centres are met.
Early childhood teachers, educators and staff
- ensuring that staffing requirements are met, including implementing the Staffing overview policy
- ensuring that roles and responsibilities of Early Learning Victoria centre staff are clearly defined, understood and support effective decision-making and operation of the Early Learning Victoria centre
- ensuring that the performance of Early Learning Victoria centre staff is regularly evaluated and individual plans are in place to support learning and development
- ensuring that a nominated supervisor, educators, staff, volunteers and contractors to whom a prohibition notice applies are not engaged by the Early Learning Victoria centre
- ensuring the educational leader is supported to lead the development and implementation of the educational program and assessment and planning cycle.
Nominated supervisors and responsible person
- ensuring that requirements relating to the nominated supervisor and responsible person are met, including implementing the Staffing overview policy and procedures.
Records and confidentiality
- keeping a record of the Early Learning Victoria centre’s compliance with the information listed in Regulation 167
- keeping a record of enrolment and other documents listed in section 175 of the National Law at the Early Learning Victoria centre, available for inspection by an authorised officer
- ensuring that records are kept confidential and not divulged, except as permitted under Regulations 181 and 182
- ensuring that records are stored safely and securely for the period set out in Regulation 183
- keeping enrolment and attendance records and other documents as outlined in Regulations 160, 177 and 178, ensuring that they are accurate and available to families on request. If a service approval is transferred, the documents must be transferred to the receiving approved provider.
The nominated supervisor is responsible for:
- ensuring that regulatory obligations are met in relation to governance and management
- adopting high-quality governance and management processes, procedures and practices, in line with the National Quality Standard, in particular quality area 7 (Governance and leadership)
- implementing systems of risk management, financial and internal control and performance monitoring and reporting
- monitoring management and financial performance to ensure the solvency, financial strength and good performance of the Early Learning Victoria centre
- implementing the Early Learning Victoria philosophy and purpose, strategic direction and initiatives
- ensuring that guardians of children being educated and cared for at Early Learning Victoria centres are allowed to enter the premises during their child’s attendance, unless prohibited by a court order.
Notifications and reporting
- ensuring that all notification and reporting requirements are met, in line with the National Quality Framework and other relevant laws.
Health, safety and wellbeing
- ensuring the health, safety and wellbeing of children in the Early Learning Victoria centre and taking every reasonable precaution to protect children from harm and hazard.
Quality Improvement Plan
- ensuring an effective self-assessment and quality improvement process is in place.
Educational needs and program
- ensuring that the educational and developmental needs of children at Early Learning Victoria centres are met.
Educators and staff
- ensuring that roles and responsibilities of Early Learning Victoria centre staff are clearly defined, understood and support effective decision-making and operation of the centre
- ensuring that the performance of Early Learning Victoria centre staff is regularly evaluated and individual plans are in place to support learning and development
- ensuring that staffing requirements are met, including implementing the Staffing overview policy
- ensuring the educational leader is supported to lead the development and implementation of the educational program and assessment and planning cycle.
Records and confidentiality
- ensuring that records and confidentiality requirements are met.
Educators are responsible for:
- being aware of and following the Governance and management policy and its procedures
- being familiar with and implementing the centre’s policies and procedures, philosophy, QIP and code of conduct
- ensuring the health, safety and wellbeing of children in the Early Learning Victoria centre and taking every reasonable precaution to protect children from harm and hazard
- ensuring that the educational and developmental needs of children at Early Learning Victoria centres are met
- ensuring that all requirements relating to records and confidentiality are met.

4. Resources

Legislation and standards

Relevant legislation and standards include:

Public Administration Act 2004
Education and Training Reform Act 2006
Education and Care Services National Law Act 2010
Education and Care Services National Regulations 2011
National Quality Standard quality area 7 (Governance and leadership).

Staff code of conduct policy
Staffing overview policy
Privacy policy
Records management policy
Handling complaints and feedback policy
Statement of philosophy

Definitions

Continuous improvement: Ongoing improvement in the provision of quality education and care services. The National Quality Framework aims to raise quality and drive continuous improvement through the National Quality Standard and quality rating processes. Quality rating encourages continuous improvement and engages the approved provider and their services teams in self-assessment and documenting their performance against the National Quality Standard. Providers of high-quality services regularly monitor and review their performance to guide planning and make improvements.

Governance: The process by which organisations are directed, controlled and held to account. It encompasses authority, accountability, stewardship, leadership, directions and control exercised in the organisation.

Quality Improvement Plan (QIP): A document created by an approved provider to help services assess their performance in delivering high-quality education and care and to plan improvements. The Regulatory Authority considers the service’s QIP as part of its quality assessment and rating process.

The QIP does not have to be provided in any specific format, but must include:

an assessment of the quality of service practices against the National Quality Standard and the National Regulations
areas identified for improvement
a statement of the service’s philosophy.

Regulatory Authority: The Regulatory Authority is established by the National Law. It regulates providers of early childhood education and care services to ensure they protect children’s safety, health and wellbeing and comply with the Child Safe Standards. The department is the Regulatory Authority for early childhood services in Victoria under a range of regulatory schemes.

Education

Updated 11 August 2025