Child Care Services Regulations 2007

The Regulations revolve around a set of discrete legal concepts that connect to the Act. The principal concepts are approval, approval to act, supervisor approval, approval criteria, nomination, licensee, and approval document. Regulation 6A defines application and approval, and reg 6C sets out the approval criteria in detail.

Approval criteria (reg 6C)

• Three-part test: (a) ability to supervise and control on a day-to-day basis; (b) fit and proper person; and (c) possession of at least one relevant qualification. The Regulations then specify what counts as a relevant qualification (reg 6C(2)), ranging from degrees and diplomas in early childhood or education, to a certificate evidencing completion of an approved first aid training course. The list is prescriptive; a person lacking any of the listed qualifications will not meet reg 6C(1)(c).

Approval types (regs 6D, 6A)

• Approval to act: an individual may apply to act in place of a licence-holder (reg 6D(1)).
• Supervisor approval: an individual may apply to be suitable to have day-to-day responsibility for supervision and control (reg 6D(2)). These two approvals occupy overlapping functional territory, but the Regulations treat them as distinct approval types for application and administrative purposes.

Application requirements and evidentiary mechanisms (regs 6E, 6F, 6G)

• Applications must be in writing in the approved form and typically must include specified documents including a criminal record check and the licensee’s written consent for approvals to act (reg 6E(1)-(2)).
• The CEO may require additional information or tests before making a decision, including oral or written assessments on the Act and child development, references specified by the CEO, and medical, psychiatric or psychological tests (reg 6F(2)). The CEO can defer consideration until those requests are complied with and the costs of compliance fall to the applicant unless the CEO determines otherwise (reg 6F(3)-(4)).
• Referee rules set minimum types of referees and disqualify certain persons from acting as referees (reg 6G).

CEO decision-making, conditions and review (regs 6H-6P)

• The CEO has an express discretion to grant or refuse (reg 6H(1)), must be satisfied of the approval criteria (reg 6H(2)), and must not grant if the applicant is disqualified under specified sections of the Act (reg 6H(3)).
• Approvals may be made subject to conditions, including mandatory notification of name or address change (reg 6I).
• The CEO can amend conditions, reassess suitability at any time, suspend or cancel approvals where criteria are no longer met or where statutorily disqualified (regs 6J, 6K, 6L). Procedures for show cause and notice of decision are prescribed (reg 6L).
• A person aggrieved by certain decisions may seek review by the State Administrative Tribunal (reg 6P).

Nominations (regs 6R-6U)

• A licensee may nominate a person holding a supervisor approval as the supervising officer (reg 6T). Nominations must be in writing, in the approved form, and accompanied by the nominee’s written consent (reg 6T(2)). The nomination must specify the times the nominee serves, with express prohibition against overlapping nominations where there is more than one nominee (reg 6T(5)).
• Licensees must revoke a nomination when a nominated person ceases to be a member of staff, with a monetary penalty for failure to do so (reg 6U(2)).

Documentary and compliance instruments (regs 6N, 6O, Schedule 1)

• An approval document is required upon grant (reg 6N), must contain the holder’s name and conditions, and must be returned to the CEO if approval is suspended, cancelled or surrendered (reg 6O).
• Schedule 1 provides the prescribed form of entry warrant under s. 43K(3) of the Act, identifying execution period limits and the matters an entry warrant must include.

Transitional concepts (Part 3)

• Rules on how supervising officers and licences under prior legislation are carried forward, and how notified services are treated pending licensing processes, are set out in regs 6 to 11. Regulation 11 treats individuals who were supervising officers under the old definition as if nominated by the licensee from the commencement day.

These concepts together make the CEO the central decision-maker for approving supervising officers and give the CEO procedural powers to assess fitness, impose conditions, and intervene where suitability changes, while specifying administrative duties for licensees to nominate, revoke and notify.

Primary affected parties

• Individual applicants for supervising roles: any individual seeking an approval to act or supervisor approval is directly affected by regs 6D to 6Q. They must meet the approval criteria in reg 6C, provide the documents specified in the approved form (reg 6E(2)), possibly undergo assessments or medical tests (reg 6F(2)), and may be subject to conditions, reassessment, suspension or cancellation (regs 6I, 6K, 6L).
• Licensees (corporate licensees and public authorities): a licensee may nominate supervisor-approved individuals as the supervising officer (reg 6T). Licensees must supply consent, specify times, ensure nominations do not overlap, and revoke nominations promptly when staff leave (reg 6U(2) penalty $2,000). Corporate licensees that are incorporated associations are affected by reg 2, which prescribes the class of managerial officer functions that meet the Act’s definition of managerial officer.
• CEO of the Department (or nominated official exercising CEO functions): the CEO is given broad administrative authority to decide, impose and amend conditions, seek further information, and suspend or cancel approvals (regs 6F, 6H, 6I, 6J, 6K, 6L). The CEO also issues approval documents (reg 6N) and handles return requirements (reg 6O).
• Supervising officers in practice: existing supervising officers are affected by transitional provisions (regs 7 and 11), by reassessment powers (reg 6K), and by the requirement to notify changes of name or address (reg 6I(2)).
• Licensing officers and licensing staff: Schedule 1 prescribes the entry warrant form for licensing officers exercising enforcement powers under Pt. 4 Div. 1 of the Act via s. 43K and s. 43I, and sets execution period constraints (Schedule 1 note 3 referencing s. 43K(2)(d)).

Secondary parties and stakeholders

• Service staff and other employees: the nomination regime makes managerial decisions about who is the supervising officer a matter for licensees and the CEO, not merely internal workplace practice. Staff turnover triggers nomination revocation obligations (reg 6U(2)).
• Referees and previous employers: individuals asked to act as referees must meet the eligibility tests in reg 6G, and may be required to provide references or reports specified by the CEO (reg 6F(2)(b)).
• Parents and families using services: while not directly regulated by these Regulations, the supervisory approval scheme intends to affect who legally qualifies as the supervising officer for regulatory compliance and accountability purposes.

Who bears costs and compliance burdens

• Applicants bear the costs of criminal record checks and of complying with any CEO requests for assessments, tests or reports unless the CEO directs otherwise (reg 6E(2)(b), reg 6F(4)). Applicants may therefore incur material financial and time costs in seeking approvals.
• Licensees bear administrative burdens in making nominations in the approved form, obtaining and recording nominee consent, ensuring nomination timing does not overlap, and promptly revoking nominations for departed staff (reg 6T and 6U). There are monetary penalties where obligations are breached (reg 6U(2)).

Disqualification references

• The CEO may not grant an approval where the applicant is disqualified under sections 29(4)(e)(iii) or 30C(4)(d)(iii) of the Act (reg 6H(3)). The Regulations rely on the Act’s disqualification regime to set exclusion parameters; the Regulations themselves do not list disqualifying facts beyond referencing the Act.

Administrative reviewers and enforcement bodies

• The State Administrative Tribunal is the review avenue for certain CEO decisions (reg 6P), and licensing officers may use the entry warrant procedure in Schedule 1 to enter premises for compliance purposes under the Act.

In short, the Regulations primarily restructure who may lawfully be the supervising officer, how that status is evidenced and controlled, and allocate significant procedural duties to applicants and licensees, while placing decision-making power and associated administrative discretion in the CEO.

Key duties imposed by the Regulations

• Duty to apply in approved form: Applicants must submit applications in writing and in the approved form and include specified supporting documentation, including criminal record checks and, for approvals to act, the licence-holder’s written consent (reg 6E(1)-(2)). The CEO may, however, treat substantial compliance as sufficient (reg 6E(3)).
• Duty to comply with CEO information requests and assessments: The CEO can request additional information and require assessments, references or medical or psychological examinations (reg 6F(1)-(2)). The CEO may suspend consideration until compliance and charge the applicant for costs (reg 6F(3)-(4)).
• Duty to provide eligible referees: If referees are nominated, applicants must include a referee experienced in children’s services and a previous employer or person who has worked with the applicant (reg 6G(1)). Certain persons are ineligible to be referees (reg 6G(2)).
• Duty to notify personal details changes: Approval holders must notify the CEO in writing of a change of name or mailing address; this is a mandatory condition of every approval (reg 6I(2)).
• Duty to surrender or return approval documents: Holders must return approval documents to the CEO when the approval is surrendered, suspended, cancelled, or when the CEO requires the document for amendment (regs 6M, 6O). Failure may attract penalties (reg 6O(1)-(2)).
• Licensee nomination duties: Licensees must make nominations in writing, in the approved form, with the nominee’s written consent, and specify the times the nominee will act (reg 6T(1)-(3)). A licensee must revoke a nomination if the nominee ceases to be employed as staff of the service, and failure to do so is an offence attracting a fine (reg 6U(2)).

CEO rights and discretions

• Grant or refuse approvals: The CEO may grant or refuse approvals and must not grant unless satisfied the applicant meets the approval criteria (reg 6H(1)-(2)). The CEO must not grant an approval if the applicant is statutorily disqualified under specified sections of the Act (reg 6H(3)).
• Impose and amend conditions: The CEO may impose any conditions considered appropriate on approvals (reg 6I(1)) and may amend conditions on the CEO’s own initiative or at the holder’s request (reg 6J).
• Reassess suitability and suspend or cancel approvals: The CEO may reassess at any time whether the holder meets the approval criteria and may suspend or cancel an approval if no longer satisfied or where disqualified under the Act (regs 6K, 6L). The Regulations require the CEO to provide show cause notices and to consider written responses before suspension or cancellation (reg 6L(2)).
• Require information and testing: The CEO can require a wide range of evidence and testing for both applications and reassessments (regs 6F, 6K).

Rights granted by the Regulations

• Right to written notice of decision: The CEO must give written notice of decisions to applicants and approval holders; where refusing an application, granting subject to conditions, amending conditions, or suspending or cancelling an approval, the holder is entitled to written notice and, in suspension/cancellation cases, a notice of decision detailing effective date and suspension period where relevant (regs 6H(4), 6I, 6J, 6L(3)-(4)).
• Right to respond to show cause notice: Before the CEO exercises the power to suspend or cancel, the holder must be given a show cause notice with reasons and an opportunity to respond within 30 days (reg 6L(2)(a)(iii)-(b)).
• Right to review by SAT: Persons aggrieved by defined relevant decisions may apply to the State Administrative Tribunal for review (reg 6P).

Criminal and monetary penalties

• False representation of holding an approval: A person must not represent they hold an approval if they do not, carrying a maximum fine of $6,000 (reg 6Q).
• Contravention of a condition of approval: $2,000 fine (reg 6I(3)).
• Failure to return approval document when required: $2,000 fine (reg 6O(1)-(2)).
• Failure by licensee to revoke nomination when nominee leaves: $2,000 fine (reg 6U(2)).

Operational duties flowing from transitional provisions

• Licensees and supervising officers in existence at commencement must take account of the transitional rules which preserve supervising officer status in certain circumstances until the end of the initial licence period or until a new appointment (regs 7 to 10). Regulation 11 treats certain previously recognised supervising officers as if nominated from the commencement of the Amendment Act.

Procedural protections

• The show cause notice and SAT review regime provide procedural rights to applicants and approval holders before suspension, cancellation or in response to specified CEO decisions (regs 6L, 6P).

Taken together, the Regulations impose duties on individuals seeking supervisory roles and on licensees to document and manage supervisory nominations, while giving the CEO broad investigative and supervisory powers balanced with procedural steps such as show cause notices and appeal rights to SAT.

Prescribed offences and fines in the Regulations

• Offence for contravening a condition of approval: A person who contravenes a condition of his or her approval commits an offence with a prescribed penalty of a fine of $2,000 (reg 6I(3)).
• Failure to return approval document: If an approval has been suspended, cancelled or surrendered, the former holder must return the approval document to the CEO as soon as practicable; penalty $2,000 (reg 6O(1)). If an approval document must be returned for amendment following a condition change, failure to return attracts a further $2,000 penalty (reg 6O(2)).
• Failure to revoke nomination when nominee leaves employment: A licensee who fails to revoke a nomination when the nominated supervising officer ceases to be employed at the service commits an offence carrying a $2,000 fine (reg 6U(2)).
• Offence to pretend to be holder of approval: A person must not hold themself out as being the holder of an approval unless they hold one; penalty $6,000 (reg 6Q).

Enforcement mechanisms and procedural steps

• CEO decision-making backed by procedural obligations: The CEO’s power to suspend or cancel approvals is subject to procedural steps set out in reg 6L. Before suspension or cancellation the CEO must give a show cause notice that states the intention, reasons, and provides 30 days for a written response. The CEO must consider any timely written response. The decision to suspend or cancel must then be given in writing and must state the day the decision takes effect and, for suspension, the suspension period (reg 6L(2)-(4)). The decision takes effect at the end of 14 days after the giving of the notice of decision unless a different period is specified (reg 6L(5)).
• Administrative review: Persons aggrieved by relevant decisions,refusal to grant approval (reg 6H), approvals granted subject to particular conditions (reg 6I), amendment or refusal to amend conditions (reg 6J), and suspension or cancellation decisions (reg 6L),may seek review by the State Administrative Tribunal (reg 6P). The Regulations define who counts as a person aggrieved and the relevant decisions that are subject to review (reg 6P(1)-(2)).
• Entry warrants: Schedule 1 prescribes the form of entry warrant for licensing officers under s. 43K(3) of the Act. The warrant authorises entry to exercise powers under Pt. 4 Div. 1 of the Act for compliance purposes, must indicate suspected contraventions and has an execution period that must not exceed 14 days (Schedule 1 and note referencing s. 43K(2)(d)). That is an enforcement tool available to licensing officers working under the authority of the Act and the Regulations.

Allocation of enforcement costs

• The Regulations place the direct cost of complying with CEO information requests and testing on the applicant unless the CEO determines otherwise (reg 6F(4)). This means applicants typically fund medical or psychological assessments and other testing required to demonstrate suitability.

Discretion and evidentiary thresholds

• Many enforcement outcomes flow from administrative discretion. The CEO’s satisfaction that an applicant meets approval criteria is the legal threshold for grant (reg 6H(2)), and the CEO may at any time reassess suitability (reg 6K(1)). Enforcement actions such as suspension or cancellation follow the CEO determining non‑satisfaction of criteria or statutory disqualification (reg 6L(1)).

Record-keeping and documentary evidence

• The requirement for issuance and return of approval documents (regs 6N, 6O) serves both as a record-keeping device for the regulator and as an enforcement lever. Failure to return documents is itself an offence with a specified fine.

Practical enforcement dynamics and risks

• Enforcement will commonly involve administrative processes rather than immediate criminal prosecution. The show cause regime, SAT review right, and the fact that the CEO may defer consideration pending compliance indicate a process-oriented model in which the CEO can seek corrective measures and procedural compliance prior to imposing penalties or pursuing prosecution.

In short, enforcement is a mix of administrative regulatory actions backed by monetary penalties for certain failures, with the CEO given layered procedural powers, and with judicial or tribunal reviewability for several types of decisions.

Direct cross-references to the Act

• The Regulations operate as subordinate legislation to the Child Care Services Act 2007 (WA). Many provisions explicitly reference sections of the Act. For example:
  • Reg 2 interprets the definition of managerial officer in section 3 of the Act for incorporated associations.
  • Reg 6B and reg 6S tie the Division’s purpose to section 5A(1)(a)(ii), (b)(i) and (b)(ii) of the Act.
  • Reg 6H(3) prevents grant of an approval where the applicant is disqualified under sections 29(4)(e)(iii) or 30C(4)(d)(iii) of the Act.
  • Reg 6AA prescribes the form of entry warrant for the purposes of section 43K(3) of the Act, and Schedule 1 cross-references s. 43K(2)(d) as to the execution period.
  • The entry warrant form references exercise of powers under Pt. 4 Div. 1 of the Act.

Transitional interaction with prior legislation

• The Regulations implement transitional arrangements following repeal of Part 8 of the Children and Community Services Act 2004 (see Part 3 Division 1, regs 6 to 10). For example, reg 7 preserves supervising officer status for persons taken to be supervising officers immediately before commencement day, until specified events occur. Reg 8 saves operation of section 18 of the Act where section 212 of the old Act did not previously apply. These transitional provisions make the Regulations a bridge between the prior regulatory regime and the present one.

Procedural interaction with the State Administrative Tribunal

• Reg 6P expressly provides for review by the State Administrative Tribunal for persons aggrieved by specified CEO decisions. That means tribunal practice and rules will interface with the administrative decisions made under these Regulations.

Interaction with Interpretation and Reprints Acts

• The notes at the end reference the Interpretation Act 1984 section 25(3) and the Reprints Act 1984 for commencement and reprint status. These are housekeeping interactions that determine commencement timing and reprint validity.

Interaction with health, employment and privacy laws

• The CEO’s power to require medical, psychiatric or psychological tests (reg 6F(2)(c)) and to order criminal record checks (reg 6E(2)) will operate alongside privacy and health record laws. The Regulations do not expressly state how medical information is to be handled beyond permitting the CEO to request it; applicants and approval holders will need to consider obligations under the Privacy Act and health privacy principles when supplying medical records. The Regulations do not prescribe permitted uses or data retention periods for such information.

Interaction with employment law and industrial frameworks

• The nomination articles have implications for employment relationships. For example, when a nominated person ceases to be employed, the licensee must revoke the nomination (reg 6U(2)). That creates an administrative obligation on employers in child care to coordinate licensing compliance with employment terminations, resignations and redeployments. The Regulations do not themselves create employment rights or obligations beyond the nomination obligation; employment law continues to regulate the contractual relationship.

Interaction with criminal law and background checking regimes

• The requirement for criminal record checks as part of the approved form interacts with criminal record checking regimes and any national policing information systems. The Regulations do not set the scope of allowable convictions but require the check as evidence. Disqualification references in the Act sections mentioned will determine effect.

Interaction risks and implementation friction

• The CEO’s unspecified discretion to require psychological or psychiatric tests may give rise to procedural friction where applicants or medical providers question the legitimacy or scope of a request. Similarly, the Regulations leave specifics such as timeframes for CEO responses, the content of approved forms and processes for handling medical and criminal records to administrative practice, creating potential interface issues with other statutory frameworks governing health, privacy and data handling.

Overall, the Regulations are tightly integrated with the Act’s supervising officer and licensing architecture, and they also intersect operationally with tribunal, privacy, employment and criminal record checking regimes, without fully spelling out cross‑cutting standards beyond procedural requirements.

The Regulations include a compilation table and reprint information that record legislative amendments and their commencement. The table in the notes provides the following amendment history and reprints:

• Child Care Services Regulations 2007: Gazetted 7 August 2007 p. 4059-70; commenced 10 August 2007 (see Gazette 9 Aug 2007 p. 4071).
• Child Care Services Amendment Regulations 2007: Gazetted 30 November 2007 p. 5929-30. Commencement: rr 1 and 2 commenced 30 November 2007; other regulations on 1 December 2007 (see r 2).
• Child Care Services Amendment Regulations 2008: Gazetted 26 February 2008 p. 659. Commencement: rr 1 and 2 on 26 February 2008; other regulations on 27 February 2008.
• Reprint 1: The Child Care Services Regulations 2007 as at 6 March 2009 (includes earlier amendments).
• Child Care Services Amendment Regulations 2011: Gazetted 6 January 2012 p. 4-14. Commencement: rr 1 and 2: 6 January 2012; other regulations: 7 January 2012 (see r 2(b) and Gazette 6 Jan 2012 p. 3). These amendments inserted Part 3A (Supervising officers) and related provisions; see heading insertions dated Gazette 6 Jan 2012.
• Child Care Services Amendment Regulations 2012: Gazetted 6 July 2012 p. 3021-3. Commenced rr 1 and 2 on 6 July 2012; other regs 7 July 2012. These amendments inserted reg 6AA and Schedule 1 Form 1 prescribing the entry warrant.
• Child Care Services Amendment Regulations (No. 2) 2012: Gazetted 5 March 2013 p. 1110. Commencement: rr 1 and 2 on 5 March 2013; other regs 6 March 2013.

Reprint 2: The Child Care Services Regulations 2007 as at 17 May 2013 consolidates the changes up to that date.

Within the Regulations, the Gazette insertion notes indicate the following specific insertions and deletions:

• Regulation 2 was inserted by Gazette 6 Jan 2012 p. 4.
• Regulations 3-5 and 5A were deleted by Gazette 5 Mar 2013 p. 1110.
• Regulation 6AA (form of entry warrant) was inserted by Gazette 6 Jul 2012 p. 3021.
• Part 3A and its Divisions were inserted by Gazette 6 Jan 2012 p. 5-14.
• Schedule 1 was inserted by Gazette 6 Jul 2012 p. 3022-3, prescribing the entry warrant and execution details.

Commencement and statutory context

• A note clarifies that under the Interpretation Act 1984 s. 25(3), these Regulations took effect on the day the Child Care Services Act 2007 s. 52 commenced. The compilation table also identifies exact Gazettal pages and commencement dates for each amending instrument.

Consequences for practice

• The 2011 amendments are particularly material because they introduced the supervising officer approval and nomination scheme (Part 3A). The 2012 amendments added practical enforcement tools such as the prescribed entry warrant form (reg 6AA and Schedule 1). Subsequent technical amendments in 2013 removed certain earlier regulations and continue the reprinting process to present the consolidated regulatory text.

Users should rely on the most recent reprint date shown (Reprint 2 as at 17 May 2013) for the consolidated text provided, and consult the Gazette notices and the WA Legislation website for any subsequent amendments beyond that reprint date.

The Regulations themselves do not record any judicial or tribunal decisions. The text provides no citations to cases, and the compilation table and notes do not record litigation outcomes. The Regulations do, however, set out an administrative review route and procedural protections which are relevant to potential litigation or tribunal challenges:

• State Administrative Tribunal review: Regulation 6P expressly authorises persons aggrieved by "relevant decisions" of the CEO to apply to the State Administrative Tribunal for review. The regulation defines the relevant decisions that are reviewable: refusal to grant an approval (reg 6H), approvals granted subject to a condition (reg 6I), amendment or refusal to amend condition (reg 6J), and decisions to suspend or cancel an approval (reg 6L). The identity of the person aggrieved includes either the applicant or the person to whom the decision relates (reg 6P(1)).

• Procedural protections before suspension/cancellation: Regulation 6L requires a show cause notice and a 30 day opportunity to provide written submissions before the CEO may suspend or cancel an approval. That procedural requirement may form the basis of a judicial review or administrative law challenge if the procedures are not followed, or if the CEO’s decision is legally unreasonable, although the Regulations themselves do not provide case law.

Absence of cases in the source

• Because the provided text is a reprint of the Regulations and does not include any case citations, there is no litigation history to summarise from this source. The Regulations supply the statutory framework that would generate tribunal or court challenges so that disputes about CEO decisions, adequacy of show cause processes, or the lawfulness of conditional approvals could proceed to SAT or the Supreme Court under judicial review principles, but no decisions are recorded in the Regulations.

Practical implications for practitioners

• Practitioners should note the defined list of reviewable decisions and the statutory timeframes and content required for show cause notices and decision notices (see regs 6L(2)-(4), 6P). When advising clients, prepare for tribunal proceedings by assembling application material that addresses the approval criteria (reg 6C), any assessments or tests required by the CEO (reg 6F), and by documenting compliance with notification and return obligations (regs 6I, 6O). Records showing timely responses to show cause notices will be material evidence in any SAT review.

If a practitioner needs to identify case law applying or challenging these Regulations, they must consult external legal databases and tribunal records beyond the text of the Regulations reprint; the Regulations themselves do not contain litigation history.

Several practical traps and friction points flow directly from the Regulations’ text. These are not value judgments but operational risks and compliance vulnerabilities to flag when advising clients.

1. CEO’s expansive and flexible powers to require assessments and tests (reg 6F)

• The CEO may require oral or written assessments on the Act and child development, referees, and even medical, psychiatric or psychological tests. The Regulation gives the CEO broad discretion as to the type and content of required testing (reg 6F(2)). The immediate gotcha is cost and privacy: unless the CEO directs otherwise, the applicant pays (reg 6F(4)). Applicants should budget for potential assessment and medical costs and be prepared to address how sensitive health information will be handled.

2. Approved form and document dependencies (reg 6E)

• Applications must be in the approved form and accompanied by specified documents, including criminal record checks and, for approvals to act, the licensee’s written consent (reg 6E(2)). The CEO may treat substantial compliance as sufficient (reg 6E(3)), but there is practical uncertainty about what counts as substantial compliance. Practitioners should not rely on informal completion; use the approved form and attach all required documents.

3. Definition‑linked exclusions: statutory disqualifications outside the Regulations (reg 6H(3))

• The CEO cannot grant an approval where the applicant is disqualified under sections 29(4)(e)(iii) or 30C(4)(d)(iii) of the Act. The Regulations do not list the disqualifying facts; those are in the Act. Advisers must check the Act’s disqualification provisions to assess eligibility.

4. Time specificity in nominations (reg 6T)

• Nominations must specify the times a nominated supervising officer is to be the supervising officer, and nominations for multiple nominees must not overlap (reg 6T(3), (5)). This creates administrative complexity where shift patterns or part-time work are involved. Licensees should design rostering and nominations to avoid inadvertent overlap which could render the nomination non‑compliant.

5. Revocation obligation on termination (reg 6U(2))

• If a nominated person ceases to be employed, the licensee must revoke the nomination and notify the CEO in the approved form promptly; failure to do so attracts a $2,000 penalty. Employers must integrate licensing obligations into HR exit processes to avoid this penalty.

6. Return of approval documents on surrender, suspension or cancellation (regs 6M, 6O)

• Approval holders must return approval documents when their approval is suspended, cancelled or surrendered. Failure attracts a $2,000 fine (reg 6O(1)). Practically, approval holders should retain a checklist for licence document handling and ensure timely return where required.

7. Criminal and registry checks not fully specified for scope

• The required criminal record check is specified as an item to accompany the approved form (reg 6E(2)(b)), but the Regulations do not state which convictions are determinative. This requires cross-reference to the Act and possibly to policy guidelines. Applicants should obtain the check early and seek regulatory guidance on the implications of specific offences.

8. Show cause and delay risks (reg 6L)

• The CEO must provide a show cause notice and consider written responses, but the Regulations permit the CEO to defer consideration of an application until additional evidence is provided (reg 6F(3)). Applicants who fail to respond promptly may face suspension or cancellation. The show cause window is 30 days for written response (reg 6L(2)(a)(iii)); practitioners should ensure timely and substantive responses are lodged.

9. Risk of misrepresenting approval status (reg 6Q)

• The offence of holding oneself out as an approval-holder where one is not carries a $6,000 penalty. That is a relatively large financial exposure; businesses should ensure staff do not use titles or describe roles in a way that could be interpreted as claiming an approval they do not have.

10. Transitional ambiguity for legacy supervising officers (regs 7, 11)

• Regulations 7 and 11 preserve certain supervising officer statuses on commencement and following the Amendment Act. Practically, licensees should audit historical appointments to confirm whether a person’s supervising officer status was carried forward and whether any action is needed to convert the status into a formal nomination under reg 6T.

11. Interaction with privacy and health law when medical/psych tests are requested

• The Regulations permit the CEO to require medical, psychiatric or psychological tests (reg 6F(2)(c)). The Regulations do not specify confidentiality or data retention rules, creating a potential compliance gap with privacy obligations. Applicants and licensees should document consent and consider confidentiality protections when providing medical evidence.

12. Approved form content and administrative detail left to the CEO

• Many operational mechanisms depend on the "approved form" and CEO instructions (reg 6E). Where forms and instructions are silent or change over time, administrative uncertainty can create compliance risk. Practitioners should retain copies of all forms and any associated instructions, and verify whether the CEO has published standard operating procedures.

These points highlight where administrative discretion, procedural requirements and monetary penalties intersect to create tangible compliance risks. Practitioners should plan for document management, HR coordination, budgeting for tests and checks, and timely responses to CEO correspondence.

Practical compliance checklist for applicants and licensees based on the Regulations:

Applicants for approval to act or supervisor approval (regs 6A, 6D, 6E, 6F)

1. Use the approved form
   • Complete the approved form in writing, follow the instructions on or attached to the form, and include all specified information and documents (reg 6E(1)-(2)).
2. Attach required documents
   • Criminal record check and other documents specified in the approved form. For approvals to act, obtain the licensee’s written consent in advance and attach it (reg 6E(2)(b)-(c)).
3. Provide eligible referees
   • Nominate referees that include a person experienced in children’s services and a previous employer or colleague. Ensure referees are not ineligible persons such as an employee of the applicant, a family member, a de facto partner, or another applicant (reg 6G).
4. Prepare for additional CEO requirements
   • Be prepared to undertake oral or written assessments on the Act and child development, provide further references, or undergo medical, psychiatric or psychological tests if requested (reg 6F(2)). Budget for these costs, as they fall to the applicant unless the CEO directs otherwise (reg 6F(4)). If requested, comply promptly because the CEO may defer consideration until compliance (reg 6F(3)).
5. Understand disqualifications in the Act
   • Check whether any disqualification under the Act applies, since the CEO must not grant an approval in those circumstances (reg 6H(3)). Cross-reference sections 29 and 30C of the Act to identify relevant disqualifying criteria.

Licensee obligations for nominations (regs 6R, 6T, 6U)

1. Nomination documentation
   • Make nominations in writing in the approved form and secure the nominee’s written consent (reg 6T(2)). Specify explicitly the times when the nominee will act as supervising officer and avoid overlapping times with other nominees (reg 6T(3)-(5)).
2. Manage staff changes
   • Implement HR processes that trigger licence administration steps when a nominated supervising officer’s employment ceases. Promptly give written notice to the CEO revoking the nomination in the approved form (reg 6U(2)). Failure to revoke attracts a $2,000 fine.
3. Retain records
   • Keep copies of nominations, consents, approval documents and any communications with the CEO, including show cause responses and notices of decisions.

Approval holders and holders of approval documents (regs 6I, 6N, 6O)

1. Observe conditions
   • Ensure ongoing compliance with any conditions imposed on the approval, including the mandatory condition to notify the CEO of any change of name or mailing address (reg 6I(1)-(2)). Contravention of a condition is an offence with a $2,000 fine (reg 6I(3)).
2. Keep the approval document safe and compliant
   • When an approval is granted, the CEO will issue an approval document containing the holder’s name and any conditions (reg 6N). Return it promptly when the approval is surrendered, suspended or cancelled, or when requested for amendment, to avoid a $2,000 fine (reg 6O).

Responding to show cause and decision notices (reg 6L)

1. Timely and substantive response
   • If the CEO issues a show cause notice, respond in writing within 30 days with detailed submissions addressing the reasons given and any remedial steps proposed (reg 6L(2)).
2. Preserve evidence for review
   • Retain copies of the show cause notice, evidence provided to the CEO, and proof of delivery. These will form the record for any State Administrative Tribunal review if the decision is unfavourable.

Dealing with reassessment and suspension/cancellation risks (regs 6K, 6L)

1. Monitor continuing suitability
   • Approval holders should monitor any change in circumstances that could affect their ability to meet the approval criteria (reg 6C): qualifications, fitness and capacity to supervise daily. Notify the CEO proactively where appropriate to avoid surprise reassessments.
2. Prepare for reassessment
   • Keep CVs, continuing professional development records, first aid certification and other documentation that evidences ongoing qualification and competence for quick production to the CEO when requested (reg 6K).

Managing privacy and medical information

1. Secure informed consent
   • If the CEO requests medical or psychological tests, obtain the applicant’s informed consent in writing before sharing sensitive health information. Consider redacting unrelated clinical information and request the CEO’s written specification of the medical information required.
2. Retain confidentiality safeguards
   • Use secure channels for transmission of sensitive documents and retain copies demonstrating consent and secure handling.

Entry warrant and licensing inspections (reg 6AA, Schedule 1)

1. Be prepared for inspections
   • Licensing officers may enter under an entry warrant in the Schedule 1 form to exercise powers under Pt. 4 Div. 1 of the Act. Ensure premises allow lawful entry to authorised licensing officers and maintain records to show compliance with suspected contraventions identified in any warrant.
2. Manage execution period constraints
   • Note that an entry warrant must be executed within the period specified, not exceeding 14 days in accordance with s. 43K(2)(d); preserve records of any entry and interaction with licensing officers.

Procedural and tribunal readiness (reg 6P)

1. Build the administrative record
   • Keep copies of all applications, CEO requests and responses, notices and approvals. A well-documented administrative record is essential if an SAT review is necessary.
2. Seek early legal advice
   • If the CEO issues a refusal, a condition that affects operations materially, or a suspension or cancellation, consider early tribunal or legal advice because reg 6P permits SAT review and timeframes for reviewability will be governed by SAT practice.

Audit and internal compliance

1. Internal compliance checklists
   • Implement checklists that map staff roles to regulatory requirements, ensure up-to-date copies of qualifications and first aid certificates, and track nomination times and consents.
2. Training and policy updates
   • Train managers and HR on nomination obligations, the need to revoke nominations on staff termination, and the financial penalties for non-compliance.

By following these concrete steps aligned to the specific regulatory text, applicants and licensees can reduce the risk of fines, administrative delay and enforcement action. Documentation, prompt compliance with CEO requests, and coordination between HR and licensing functions are recurrent compliance themes in the Regulations.