Compliance focus: Notifications to the NSW Regulatory Authority

When, how and what to provide when making a notification about an incident, complaint or changes that occur at your service.

18 May 2023

The content of this article was updated on 29 July 2024.

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As approved providers, you are required to notify the regulatory authority of any incidents, risks, complaints or operational changes at your service. This is an important step in supporting the health, safety and wellbeing of all children attending early childhood education and care (ECEC) services.

Notifications must be made to the Department of Education, which is the regulatory authority (NSW Regulatory Authority) for the ECEC sector in NSW.

Guidance on when to lodge a notification

ACECQA has developed an interactive notifications National Decision Tree to help approved providers and their staff identify whether a notification must be made to the regulatory authority.

The tool provides guidance and information about all notifications that must be made under the National Law and National Regulations. It also includes explanations of key terms, such as ‘missing from the service’ and ‘complaint’, and examples of scenarios that must be notified.

If you need to lodge a notification, the National Decision Tree will outline how long you have to notify and the next step to take. Users will be directed to lodge the relevant online form via the National Quality Agenda IT System (NQAITS).

Remember to fill in all relevant form fields and include any required and relevant documentation so the regulatory authority can assess whether it must take any action.  

If you’re still unsure whether you need to submit a notification to the NSW Regulatory Authority after using the tool or require support, you can contact the Information and Enquiries team on 1800 619 113 or at ececd@det.nsw.edu.au.

Notification types at a glance

The Children (Education and Care Services) Law (NSW) and Education and Care Services National Regulations (National Law and Regulations) set out notification and reporting requirements for approved providers and, where applicable, other ECEC staff.

Serious incidents (regulation 12)

You must notify the NSW Regulatory Authority within 24 hours of becoming aware of a serious incident.

In an ECEC context, serious incidents (regulation 12) include but are not limited to:

the death, serious illness or serious injury of a child
any emergency attended by emergency services

incidents where a child appears to be missing, cannot be accounted for or has been taken from the premises unlawfully

when a child is mistakenly locked in or out of the service premises.

Circumstances at the service that pose a risk to the health, safety or wellbeing of children (regulation 175(2)(c))

You are required to notify the NSW Regulatory Authority within 7 days of becoming aware of a circumstance arising at the service that poses a risk to the health, safety or wellbeing of a child. For example, this may include an infectious disease outbreak or changes within the service environment that could pose a risk to children, such as damage caused by natural disasters, like flooding.

When determining whether a circumstance or incident needs to be notified to the regulatory authority, consider whether there was/is a risk to a child or children were directly impacted by the circumstance/incident. Focusing on what impact the incident or risk has/had on the child, will help you determine whether it needs to be notified.

Complaints (National Law section 174(2)(b))

You must notify the NSW Regulatory Authority within 24 hours of any complaint alleging that a serious incident has occurred or complaints alleging that the National Law has been contravened.

Incidents or allegations of physical or sexual abuse of a child (regulation 175(2)(d) and 175(2)(e))

Approved providers must notify the NSW Regulatory Authority if they reasonably believe, or an allegation is made, that a child has been or is being physically or sexually abused while being educated and cared for by the service.

Any incident or allegation must be reported within 7 days.

However, if the incident or allegation meets the criteria for a serious incident, you must notify within 24 hours of the incident.

Additional reporting obligations may apply to approved providers and their staff under other legislation, such as the Children and Young Persons (Care and Protection) Act 1998.

This may include if you reasonably believe or become aware of any allegation of physical or sexual abuse to a child that has occurred or is occurring while the child is not being educated or cared for by the service.

Visit the following webpages for further guidance:

Reporting incidents and concerns.

ACECQA’s Reporting requirements about children.

Department of Community and Justice’s Protecting our kids and the Mandatory Reporter Guide.

Changes to information

Certain changes to an ECEC service or an approved provider must be notified to the NSW Regulatory Authority. This may include but is not limited to the following changes.

Service information

Changes in location.

Changes to the hours and/or days of operation.

Adding or removing a nominated supervisor or changing their details.

If centre-based services begin or cease providing or arranging for the transportation of children.

Approved provider

A change in name or contact details of an approved provider.

Any change relevant to an approved provider’s fitness and propriety.

The appointment or removal of a person with management or control of a service.

Notifications timeframes typically range from 7 to 14 days, depending on the nature of the change.

Visit ACECQA’s notification types and timeframes page for further guidance and information on specific types of notification and the relevant legislation.

Where to lodge a notification

Long day care, family day care, preschool and outside school hours care services can use NQAITS to submit a notification to the NSW Regulatory Authority. Select applications and notifications forms are available to download on the ACECQA website.

Multifunctional Aboriginal Children’s Services (MACS), mobile and occasional care services should use the notification forms available on the department website.

What to include in your incident/risk or complaint notification

To ensure all the relevant and required information is included in your notification, use the following questions to guide you:

What happened? Explain the details of the incident, risk or complaint including any injuries sustained.

Who was involved? Include child, staff or complainant details.

Where did it occur on the service premises? Provide details as to the exact location of the incident or risk.

When did the incident occur? Provide details such as what time of day or during what routine/activity it occurred. Include number of children and staff in the direct area of the incident.

Why did it happen? (e.g. was a procedure not followed correctly? Was there a supervision issue?).

How have you addressed the issue, risk or complaint to minimise the risk of it happening again?

Additional tips

Ensure your service details are up to date in the NQAITS to support timely and effective communication with the NSW Regulatory Authority about incidents or complaints.

Complete all sections and convey the required information using simple, straightforward language. Be thorough yet concise.

If the NSW Regulatory Authority asks you to submit additional information or documents, you can open the original notification and add this information. You do not need to start a new notification.

Further guidance

Use ACECQA’s National Decision Tree to determine whether you must submit a notification to the regulatory authority and when you must submit it by.

Read our article Compliance focus – effective service notifications.

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