An Essential Record Book for Regulatory Authority Visits, Evidence & Follow-Up
 
New! Regulatory Authority Visit Record Folder
 
Designed for Early Childhood Education and Care and OSHC services, this practical record book helps services document every Regulatory Authority visit in one clear and organised place. It provides a structured way to record visit details, authorised officer information, the purpose of the visit, areas viewed, records requested, evidence provided, key discussion points, actions required and follow-up completed.
 
More than a simple notes page, this book supports services to respond professionally during and after Regulatory Authority contact. It helps leadership teams keep track of what was discussed, what evidence was sighted or requested, what needs to be actioned, and whether any matters should be linked to the Quality Improvement Plan, policy review, risk assessment or further service improvement.
Regulatory Authority visits may occur for monitoring, Assessment and Rating, complaint follow-up, incident follow-up, compliance checks, investigation or other regulatory contact. This record book gives services a consistent system to document each visit clearly, helping support governance, compliance monitoring, leadership review and continuous improvement.
 
The included 2-page visit record spread allows services to capture the full picture of each visit — from arrival and visit purpose through to evidence, feedback, actions, due dates and review. It is ideal for Directors, Nominated Supervisors, Approved Providers and service leadership teams who want to maintain clear, factual and professional records.
 
Includes
Regulatory Authority Visit Record Page – record visit details, arrival/departure times, authorised officer details and who was present during the visit
Visit Type / Purpose of Visit Section – document whether the visit relates to Assessment and Rating, monitoring, complaint follow-up, incident follow-up, compliance checks, investigation or other regulatory contact
Areas, Records or Practice Viewed / Discussed Checklist – includes environments, programming, child observations, QIP, policies, staff records, ratios, supervision, incidents, medication, sleep/rest, risk assessments, complaints, child safe practices and more
Key Discussion Points Section – record questions, comments, clarification, requests or feedback discussed during the visit
Evidence Requested / Provided Section – document what was requested, sighted, shown or provided during the visit
Feedback, Clarification or Concerns Raised Section – record whether follow-up, further evidence, improvement action, compliance concerns or formal correspondence may be required
Action & Follow-Up Record – assign actions, responsible persons, due dates and completion status
QIP / Continuous Improvement Link – identify whether matters should be added to the Quality Improvement Plan or reviewed as part of service improvement
Review & Sign-Off Section – supports leadership review, follow-up tracking and accountability
Quick Reference Page Included – provides key regulatory visit practices, legislative links, reflective prompts and trusted resources
 
✨ Save 50%! This resource is included in our Governance & Leadership Essentials Bundle — 10 essential tools for leadership, safety and continuous improvement. View this offer here..
 
Regulatory Authority visits can happen for many reasons, including monitoring, Assessment and Rating, complaints, serious incidents, compliance checks or follow-up. Having a dedicated record book helps services stay calm, organised and professional by capturing accurate details while they are fresh.
 
This resource supports services to maintain clear records, strengthen internal communication, track follow-up actions and show how feedback or concerns are reviewed as part of ongoing improvement. It is especially useful for services wanting one central place to record what happened, what was requested, what was provided and what needs to happen next.
 
⚖️ Aligned With
Education and Care Services National Law:
Sections 197, 199, 215 and 216
Education and Care Services National Regulations:
Regulations 168, 170, 171 and 183
National Quality Standard:
QA2 – Children’s Health and Safety
QA4 – Staffing Arrangements
QA7 – Governance and Leadership
'National Child Safe Principles:
Principle 1 – Child safety and wellbeing is embedded in leadership, governance and culture
Principle 5 – People working with children are suitable and supported
Principle 10 – Policies and procedures document how the organisation is safe for children
 
✨ A practical governance and compliance tool for services wanting clear records, stronger follow-up and organised evidence after Regulatory Authority contact.
 
✨ Save 50%! This resource is included in our Governance & Leadership Essentials Bundle — 10 essential tools for leadership, safety and continuous improvement. View this offer here..