Authorised officers are regulation and practice experts employed by your state/territory regulatory authority (in NSW, the Early Learning Commission). Most have extensive direct ECEC experience across multiple service types. They undergo intensive ACECQA-led training on evidence collection using 'observe', 'discuss' and 'sight' techniques, and are tested annually to maintain national consistency. They work in regional hubs and are assigned services within their area.
Officers may enter, inspect and search service premises during operating hours — with or without consent of the occupier. They can inspect premises, plant, equipment and vehicles; observe practices; make copies of documents; take photographs or film; speak with any person present; and require assistance and information. Obstructing an officer carries penalties up to $9,100 (individual) or $45,900 (body corporate).
The Commission's approach is education-first and proportionate. Officers are there to assess everyday practice, ensure legislation is being met, identify areas where support might be needed, and uplift quality. Most services are compliant — enforcement action is reserved for those who aren't. Officers will also identify opportunities for quality improvement and may offer guidance on best practice.
Remember: A compliance visit is a routine part of operating an ECEC service. It's not an interrogation — it's a professional conversation about how you care for children. If you're doing the right things every day, a visit simply confirms that.
Types of Regulatory Visits
Different visits serve different purposes — here's what to expect from each
The most common visit type. The Commission aims to visit every service annually. Officers check compliance with the National Law and Regulations, focusing on areas identified through risk analysis, recent complaints, or sector trends.
Notice: Usually unannounced
Focus: Targeted regulatory compliance
Outcome: Compliance advice, compliance notice, or no action required
A scheduled visit to assess and rate your service against all 7 (or 4 for partial) Quality Areas of the NQS. Officers observe practice, discuss with educators and families, and sight documentation. Results in a quality rating from Significant Improvement Required to Exceeding NQS.
Notice: 5 business days
Focus: Quality practice against NQS (7 QAs or 4 for partial)
Outcome: Quality rating + draft report in ~3–5 weeks
New from November 2025. Commonwealth officers (not state officers) visit to verify CCS/CCMS integrity — enrolment records match confirmed enrolments, attendance matches session reports, fee schedules are accurate, and Complying Written Arrangements exist. Target: 1,600 visits nationally per year.
Notice: Unannounced
Focus: CCS records integrity, fees, attendance, CWAs
Outcome: Capability-building, potential compliance referral
Occurs when the Commission reasonably suspects an offence has been or is being committed. Triggered by complaints, notifications, serious incidents, or intelligence. Officers may enter at any reasonable time, gather evidence, photograph/film, interview staff, and seize documents. May involve police or child protection services.
Notice: Unannounced
Focus: Specific incident or alleged breach
Outcome: Compliance notice, conditions, prosecution, or no action
Arrival & Introduction
Officer arrives, shows their official identity card (Section 196), and asks to speak with the Nominated Supervisor or Person in Day-to-Day Charge. They explain the purpose and scope of the visit.
Service Tour
Officer asks for a brief walk-through of the premises. They observe the physical environment, supervision arrangements, educator-child interactions, hygiene practices, and how children are engaged.
Observation of Practice
Officers spend time in each room/area observing everyday practice. They look at ratios, interactions, programming, transitions, mealtimes, rest/sleep, outdoor play, and how educators respond to children's needs. They try to minimise disruption.
Document Review
Officer requests to sight specific records and documentation. This may include enrolment records, attendance rolls, staff files, policies, QIP, programming documentation, incident records, WWCC records, and more. They use a smart device to record findings.
Discussion
Officer has conversations with educators, the NS/PIDTC, and possibly families. They confirm practices, ask about decision-making, explore how the service responds to individual children, and discuss governance and leadership.
Wrap-Up & Feedback
Officer provides broad verbal feedback (for A&R, cannot indicate ratings). They advise of any compliance concerns, mention opportunities for the Minor Adjustment Policy if applicable, and explain next steps. For A&R, a draft report arrives in ~3–5 weeks.
What Officers Check
Comprehensive breakdown across every compliance area — organised by Quality Area and operational requirements
- Educational program based on approved learning framework (EYLF V2.0 / MTOP V2.0)
- Programming is child-centred, based on each child's knowledge, strengths, ideas, culture, abilities and interests
- Assessment and planning cycle visible — observe, analyse, plan, implement, evaluate
- Documentation available showing individual children's learning (learning stories, portfolios, observations)
- Critical reflection by educators on curriculum decisions and practice
- Educators can articulate their curriculum decisions and intentional teaching strategies
- Families informed about and contribute to the educational program
- Health & hygiene: Handwashing, food safety, nappy change procedures, illness exclusion, safe water access
- Nutrition: Food appropriate to children's needs, menu displayed, allergy management plans, medical conditions plans
- Sleep & rest: Safe sleep practices, regular checking, compliance with Red Nose guidelines, risk assessment (Reg 84B/84C)
- Incident management: Incident, injury, trauma and illness records complete and current (Reg 85–87)
- Emergency plans: Emergency and evacuation procedures practised every 3 months, documented (Reg 97)
- Medical conditions: Policies for asthma, anaphylaxis, diabetes, epilepsy; medical management plans; communication plans (Regs 90–96)
- NEW 2026 Child safety & protection (2.2.3): Staff aware of roles/responsibilities regarding child safety, identifying and responding to every child at risk of abuse or neglect
- Supervision: Adequate supervision at all times, including transitions, outdoor play, sleep (Section 165)
- Physical environment: Premises maintained, hazard-free, adequate space, fencing, pool safety if applicable (Regs 103–115)
- Indoor space meets minimum 3.25m² unencumbered per child (Reg 107)
- Outdoor space meets minimum 7m² per child (Reg 108)
- Premises, furniture and equipment safe, clean, maintained and age-appropriate
- Natural and built environments support play, learning and development
- Adequate shade for outdoor play
- Fencing and gates secure — pool/water hazard fencing compliant if applicable
- Toilet and hygiene facilities accessible, child-sized, maintained
- Laundry, admin and kitchen facilities adequate and maintained
- Environmental sustainability practices embedded
- Ratios met at all times — including during breaks, transitions, excursions:
- Birth–24 months: 1:4
- 24–36 months: 1:5
- 36 months–preschool: 1:10 (NSW) / 1:11 (national)
- Over preschool age (OSHC): 1:15
- Qualification requirements: 50% diploma or higher, all others minimum Cert III (or actively studying)
- Responsible person on premises at all times (NS, PIDTC, or certified supervisor)
- First aid, anaphylaxis and asthma management qualifications current — at least one person with each, on site at all times
- Staff records current and complete (Reg 147): full name, WWCC, qualifications evidence, training records, employment dates
- Staff roster maintained showing who is working, when, and in which role
- Professional development records for all educators
- Warm, respectful, responsive interactions between educators and children
- Each child's dignity and rights maintained
- Behaviour guidance positive, consistent, and promotes self-regulation
- No use of any form of corporal punishment, unreasonable discipline, or humiliation
- Children supported in building positive relationships with peers
- Educators are responsive to children's cues and adjust interactions accordingly
- Supportive relationships with families established and maintained
- Families are active contributors to the educational program and service decisions
- Current family information including authorised persons, custody arrangements, court orders
- Enrolment records complete with all required information (Reg 160)
- Transition to school processes and community partnerships
- Cultural competency and inclusive practices
- NEW 2026 Governance supports a quality service that is child safe
- NEW 2026 Systems manage risk and enable effective operation of a quality service that is child safe
- All 20+ mandatory policies in place, current, and reviewed regularly (Reg 168)
- Quality Improvement Plan (QIP) current, identifies strengths and areas for improvement, informed by self-assessment
- Nominated Supervisor and Person in Day-to-Day Charge details current and correct
- Provider and service approvals displayed and current
- NEW NSW Compliance and quality history displayed at service entrance (from 20 Nov 2025)
- Notification requirements understood and met (serious incidents, complaints, changes to operation)
- Complaints and investigations records maintained (Reg 168(2)(o))
- Educational leader appointed and able to articulate their role in guiding curriculum
- Complying Written Arrangements (CWAs) for every family
- Confirmed CCS enrolments in CCMS match physical records
- Daily sign-in/out records match what's reported to CCMS
- Session reports submitted weekly and accurately
- Fee schedules displayed and match what's charged
- Gap fees correctly managed (no waived/discounted gap fees without legitimate reason)
- 3-Day Guarantee: 72 hours/fortnight minimum (from Jan 2026)
- Provider and service certificates current
- Records retained for 7 years (Commonwealth requirement)
Key Regulations Quick Reference
The most commonly checked regulations during compliance visits — with penalty information
| Regulation | Requirement | Priority | Penalty |
|---|---|---|---|
| S.165 | Adequate supervision of children at all times | Critical | $13,200 / $66,000 |
| S.166A | Protection of children from harm and hazards likely to cause injury NEW NSW | Critical | New provision |
| S.167 | Offence relating to protection of children from harm and hazards | Critical | $13,200 / $66,000 |
| S.169 | Offence — NS and others must ensure compliance with National Law | Critical | $4,400 / $22,000 |
| S.170 | Offence — NS must be present or PIDTC appointed | Important | $4,400 |
| S.172 | Display of rating certificate and compliance history | Important | $2,200 |
| S.223B | NSW Ministerial Direction — personal devices banned NEW NSW | Critical | $3,420–$51,600 |
| R.73 | Educational program — based on approved framework for each child | Important | $2,200 |
| R.84 | Staff awareness of child protection law obligations | Critical | $2,200 |
| R.84B–C | Sleep and rest risk assessment and policy | Critical | $2,200 |
| R.85–87 | Incident, injury, trauma and illness — policies, records, notifications | Critical | $2,200 |
| R.97 | Emergency and evacuation procedures — practised every 3 months | Important | $2,200 |
| R.99 | Children not to be alone with visitors | Critical | $2,200 |
| R.102 | Authorisation for excursion — risk assessment & written consent | Important | $2,200 |
| R.115 | Premises designed for adequate supervision | Important | $2,200 |
| R.118 | Certified supervisor — current first aid, anaphylaxis, asthma | Important | $2,200 |
| R.123 | Educator-to-child ratios (centre-based) | Critical | Compliance direction |
| R.126 | 50% of educators must hold diploma or higher | Important | Compliance direction |
| R.136 | First aid, anaphylaxis and asthma qualifications — person with each, at all times | Critical | $2,200 |
| R.147 | Staff records — name, WWCC, qualifications, training, employment dates | Important | $2,200 |
| R.160 | Child enrolment records — complete, current, accessible | Important | $2,200 |
| R.162 | Notification of serious incidents — within 24 hours CHANGED | Critical | $2,200 |
| R.167 | Record of compliance — maintained at premises | Standard | $1,100 |
| R.168 | All mandatory policies current — now includes digital technology policy AMENDED | Critical | $2,200 |
| R.170 | Policies and procedures available for inspection | Standard | $1,100 |
| R.173 | Prescribed information to be displayed (ratings, approvals, insurance) | Standard | $1,100 |
| R.177 | Records retention — 3 years children, 3 years staff, 25 years injury/illness | Important | $2,200 |
Penalties shown as individual / body corporate where applicable. Penalty amounts are indicative and subject to court determination. Check legislation for current penalty units.
Documents Officers Will Ask to Sight
Have these accessible and well-organised — officers will need to view them during any visit
📋 Governance & Approvals
- Service approval certificate
- Provider approval certificate
- Current quality rating certificate
- Compliance and quality history (displayed at entrance)
- Public liability insurance certificate
- NS and PIDTC consent forms and details
- Approved provider fitness and propriety documentation
📜 Policies & Procedures
- All Reg 168 mandatory policies (20+), including:
- Health and safety (inc. sleep/rest, water safety)
- Incident, injury, trauma and illness
- Infectious diseases & exclusion
- Emergency and evacuation
- Delivery and collection of children
- Interactions with children (behaviour guidance)
- Enrolment and orientation
- Governance and management
- Complaints handling
- Child protection
- Excursions (inc. transport)
- Digital technology & online environments (NEW Sep 2025)
- Policy review dates and evidence of review process
- Evidence policies are provided to families
👤 Staff Records (Reg 147)
- Full name, date of birth, address
- WWCC number, verification date, expiry date
- Qualification certificates & transcripts
- First aid, anaphylaxis, asthma management certificates (with expiry dates)
- Child protection training records (S162A approved course for NS/PIDTC)
- Geccko child safety training completion (from 27 Feb 2026)
- Reg 84 child protection awareness record
- Professional development log
- Employment contract / start date
- Staff roster / timesheet records
👶 Children's Records
- Enrolment records for every child (Reg 160):
- Full name, date of birth, address
- Parents/guardians details, work contacts
- Emergency contacts & authorised persons
- Custody/court orders
- Medical conditions, allergies, dietary requirements
- Immunisation status (AIR)
- Medical management plans (signed by doctor)
- Authorisations (medical, excursion, transport, photography)
- Cultural/language background
- Daily attendance records (sign-in/sign-out with times)
- Incident, injury, trauma and illness records
- Individual learning documentation
- Medication administration records
📊 Quality & Improvement
- Quality Improvement Plan (QIP) — current and regularly updated
- Self-assessment documentation
- Educational program documentation
- Critical reflection records
- Evidence of family engagement in program decisions
- Previous A&R report and evidence of actions taken
- Educational leader appointment and role description
- Complaints register & resolution records
🏗️ Environment & Safety
- Emergency evacuation plan (displayed & current)
- Emergency evacuation drill records (every 3 months)
- Risk assessments (environment, excursions, sleep/rest, water)
- Maintenance logs / hazard reports
- Fire safety certificate / fire equipment service records
- Service-issued device register (with unique accounts, audit schedule)
- CCTV policy and risk assessment (if applicable)
- Food safety supervisor certificate (if food prepared on-site)
- Chemical register / safety data sheets (SDS)
Compliance-Ready Checklist
Track your readiness — tick off items as you confirm them. Progress is saved to your browser.
🔥 2026 Hot Focus Areas
These are the areas officers will be most closely scrutinising — all are new or significantly changed requirements
What officers will check: No personal phones, smartwatches, tablets, camera glasses or wearable devices in any area where educators work directly with children. Service-issued devices have unique accounts (no shared iCloud), are password-protected, stored securely, and never taken into bathrooms, nappy change areas, or sleep rooms. Device register maintained.
Penalties (NSW):
What officers will check: All staff, volunteers, and students have individual Geccko accounts (personal emails, not shared). Foundation module enrolment underway or complete. This does NOT replace S162A child protection training for NS/PIDTC — both are needed. Officers may ask staff to demonstrate awareness of child safe principles covered in the training.
What officers will check: Approved Provider has registered on the National Worker Register and entered workforce data (identity, contact, WWCC, qualifications, employment dates) for all staff within the required timeframe (1 month from commencement). Changes updated within 14 days.
What officers will check: Element 2.2.3 is now explicitly "Child Safety and Protection" — officers will ask educators about their roles and responsibilities in identifying and responding to children at risk. QA7 now explicitly references child safe governance. QIP should address child safety as a distinct focus area.
What officers will check: Notification timeframe reduced from 7 days to 24 hours for allegations or incidents of physical or sexual abuse. Officers will review your incident register and check timeliness of past notifications. Ensure all staff know the 24-hour requirement and the process for escalating concerns immediately.
What officers will check: Service has a specific policy covering: taking, use, storage and destruction of images; parental authorisation for photography; CCTV usage; personal device restrictions; service-issued device management; and children's use of digital technology. Policy must be current, reviewed, and known to staff.
What officers will check: Compliance and quality history displayed at the entrance of the service using the approved short-form template. Must include current quality rating and any compliance actions. Officers will check this is visible to families entering the service.
What officers will check: No staff member, volunteer, or student is working with children without a current WWCC clearance held BEFORE their start date. Changes to WWCC status (e.g., bar, revocation) must be reported. Officers will cross-reference staff records with WWCC verification dates and employment start dates.
Your Rights & Responsibilities
What you're entitled to during a visit, and what's expected of you
✅ Your Rights
⚠️ Your Responsibilities
Downloads & Print Options
Export sections for staff meetings, office display, or on-the-go reference
Export the full 40-item checklist with current progress, priority flags, and regulation references. Perfect for walk-throughs.
One-page summary of all new 2025–26 requirements with deadlines and what officers will specifically check. Great for staff room or office wall.
All key regulations in one printable table with priority levels and penalty information. Keep in the office for quick reference during visits.
Simple one-pager for educators: what to expect, how to behave, what they might be asked, and key things to know. Perfect for team meetings.
🔗 Official Resources
NSW Early Learning Commission: 1800 619 113 · [email protected]
Child Protection Helpline: 132 111
ACECQA: 1300 422 327 · [email protected]