The instrument uses and modifies the existing architecture of the National Law and National Regulations. Central concepts and how they are changed or used in the NSW application are:

• National Law (NSW): the regulation repeatedly refers to the National Law as applied in NSW and identifies where NSW substitutes or supplements national provisions. See reg 3 and Schedule 2, which applies amendments of the National Law in NSW with modifications (sch 1 cl 3; sch 2).

• Provider categories and “related providers”: for the purpose of National Law s 5B(d) (related providers), reg 9B prescribes concrete characteristics that create a presumption of relatedness. Those include overlapping management or family relationships in management, financial ties (loans, guarantees, leases, contracts or other financial arrangements), common financial interests or dependencies, previous relatedness that remains substantively relevant, shared branding or marketing, and appearance on the register as a related provider (reg 9B(a)-(f)). The regulation labels this as an additional NSW provision.

• Large child care provider: the instrument introduces differential penalty tiers that distinguish “large child care provider” from “otherwise”. The text uses that label repeatedly in penalty clauses (for example regs 6, 8, 13, 20A, 28A, 28B). The regulation text does not define the term elsewhere in the provided extract; the penalties operate by that label where used.

• Reportable incidents and notifications: the definition of “serious incident” is expanded to include that a child appears to have been involved in a sexual offence or sexual misconduct within the meaning of the Children’s Guardian Act 2019, Part 4 (reg 12). Regulation 175 is amended to require notification to the Regulatory Authority of sexual offences or sexual misconduct committed by persons who engage in work for the service, including employees, volunteers and student participants (reg 175(2)(ea)).

• Quality and compliance history, publication and display: reg 173AA prescribes the content of an approved provider’s “quality and compliance history” for the purposes of National Law (NSW) s 172 and requires digital publication (reg 173AA(2)-(3)). Items to be included range from compliance directions and notices, prosecutions and infringement notices, enforceable undertakings, emergency action notices, amendments of approvals for enforcement purposes, emergency removal of children, exclusion directions under s 171, and prohibition notices (reg 173AA(2)(a)-(i)). Reg 226A prescribes further categories of regulatory decisions and requires publication of specific details once avenues of review have been exhausted or the review period has lapsed, or with caveats where review is possible (reg 226A(1)-(2)).

• Information publication and timing: reg 227 prescribes the compliance and enforcement information to be published (names, addresses, provider numbers, details of actions taken, dates, penalties, remedial steps) and reg 228(6) gives the Regulatory Authority discretion to publish enforcement information earlier than otherwise allowed if satisfied publication is in the public interest.

• Family day care residence assessments: reg 116 is expanded to require assessments to consider all premises, structures or areas that may be accessible to children attending the service, including areas outside but near the residence whether or not proposed to be used for education and care (regs 17-20A). A new requirement mandates that assessments set out the parts of premises used or to be used (reg 116(1C)).

• Records and enrolment information: reg 162 changes enrolment health information to require identification of medical management plan, anaphylaxis medical management plan, and a risk minimisation plan (reg 162(d)(i)-(iii)). Reg 167 expands records of compliance to include evidence of the National Quality Standard rating, details of penalties imposed on the service, and details of penalties imposed on persons connected with the service (reg 167(1)(d)-(f)).

• Penalties and infringement regime: the schedule replaces many existing monetary penalties with higher amounts and multiple tiers. It adds certain offences to the infringement list and prescribes National Law offences to be designated for penalty recovery under National Law s 291 (reg 190 changes and reg 28D).

• Transitional provisions: the instrument contains transitional and savings clauses for family day care assessments and authorisations previously issued under a Ministerial direction (sch.1 sec 31-32). These clauses specify that certain amended rules do not apply to assessments submitted but not determined before commencement, and treat existing ministerial authorisations as authorisations under the new provisions with conditions preserved unless varied, suspended or revoked (sch.1 sec 31, 32).

These concepts create a framework where regulatory transparency (publication), expanded reporting obligations, expanded premises assessment scope, and larger, tiered penalties are the dominant policy levers used by the regulation. The regulation repeatedly ties operational duties (records, notifications, assessments) to enforcement information that must be kept and, in many cases, published.

The regulation affects multiple parties within the early childhood education and care sector in NSW. The following groups are directly implicated by the changes and the specific provisions that affect them:

• Approved providers: The central focus of publication, enforcement and penalty changes is the approved provider. Reg 173AA prescribes that an approved provider’s quality and compliance history must include a range of enforcement actions (compliance directions, prosecutions, infringement notices, enforceable undertakings, emergency actions, amendments of approvals for enforcement reasons, emergency removals, exclusion directions under s 171 and prohibition notices) and that this history must be published digitally (reg 173AA(2)-(3)). Reg 227 prescribes publication of identifying details about the approved provider and any enforcement action taken (reg 227(a)-(b)). Many of the penalty increases are expressed directly as amounts payable by approved providers (for example regs 6, 8, 13, 20A, 28A, 28B).

• Centre-based services and family day care services: Both service types are targeted. Family day care residences and venues are subject to expanded assessment requirements: assessments must capture areas accessible to children, including premises, structures or areas outside but near the residence (reg 116(1), (1B), (1C) and 116(2)(b) as substituted , regs 17-20A). For centre-based services, publication requirements include the service address and name when enforcement action is published (reg 227(a)(ii)). Reg 227 also includes specific requirements for family day care services (reg 227(a)(iii)) and excludes home addresses where appropriate.

• Nominated supervisors, staff, volunteers and students: The regulation enlarges duties and reporting obligations that apply to staff, volunteers and students. Reg 84(3) requires providers to ensure specified persons can explain mandatory reporting obligations and how to make reports. Reg 175(2)(ea) requires notification to the Regulatory Authority of sexual offences or sexual misconduct (as per the Children’s Guardian Act 2019, Part 4) committed by any person who “engages in work for the service,” explicitly listing employees, volunteers and students who participate in the service. Reg 173AA(2)(b) includes prosecutions of nominated supervisors within the quality and compliance history.

• Family members and persons with management influence: Reg 9B prescribes characteristics of “related providers” that include family relationships in management or control, and shared names, branding or marketing (reg 9B(a), (e)). This affects entities that share personnel, family ties or financial arrangements with approved providers.

• Parents and guardians: The regulation changes what parents can expect to be told and what will be published about services. Notification to parents is expanded to require reporting of alleged occurrences as well as incidents (reg 86), and quality and compliance histories must be published digitally (reg 173AA(3)). Publication schemes under regs 226A and 227 mean parents can access more enforcement information about providers and individual services.

• Regulatory Authority and decision-makers: The Regulatory Authority is the decision-maker tasked with receiving notifications, assessing compliance, imposing penalties and deciding on publication and disclosure. Reg 228(6) explicitly gives the Regulatory Authority discretion to publish information about enforcement actions before the end of a review period if it is satisfied publication is in the public interest, and regs 226A and 227 prescribe the categories of information the Authority must or may publish.

• Prospective purchasers, transferees and market actors: Decisions to refuse service approvals, amendments or transfers are now prescribed for publication under reg 226A (for example, decisions under s 22, s 48, s 54, s 65 and s 91). This affects the market for sale or transfer of services because such decisions will generate published records once review periods have ended or been resolved (reg 226A(1)(a)-(e)).

• Providers with previous ministerial authorisations: Transitional provisions in sch.1 sec 32 treat certain ministerial authorisations as authorisations under the new Part 6A, continuing their effect subject to conditions and their original expiry unless varied, suspended or revoked (sch.1 sec 32(1)-(3)).

In short, the regulation affects the full ecosystem around education and care services: operators (approved providers and staff), premises (centre and family day care locations), the Regulatory Authority, and service users (children and parents), with particular burdens on providers that are subject to publication and enhanced penalties.

Duties

• Notifications to the Regulatory Authority: Providers must notify the Regulatory Authority of prescribed incidents and events. The changes expand the list to include sexual offences or sexual misconduct by persons engaging in work for the service (reg 175(2)(ea)). The definition of “serious incident” is expanded to include a child who appears to have been involved in sexual offence or misconduct under the Children’s Guardian Act 2019, Part 4 (reg 12).

• Record keeping and content: Providers must maintain enrolment records that include specific plans for a child’s healthcare needs: medical management plan, anaphylaxis medical management plan, and a risk minimisation plan (reg 162(d)(i)-(iii)). Reg 167 expands the required “record of service’s compliance” to include evidence of the National Quality Standard rating, details of any penalties imposed on the service, and details of penalties imposed on persons connected with the service (reg 167(1)(d)-(f)).

• Ensuring understanding of mandatory reporting obligations: A provider is taken to have met its obligation to ensure a specified person understands required matters if the provider can ensure that the person can explain the obligations of a mandatory reporter, the circumstances when a report must be made, and how to submit a report (reg 84(3)(a)-(c)).

• Premises assessments: For family day care, an assessment must set out which parts of the premises are used or to be used for the service (reg 116(1C)), and assessments must consider areas accessible to children, including areas outside but near the residence even if not proposed to be used (reg 116(2)(b) as substituted).

• Soil assessments for proposed premises: Applications for proposed education and care premises must include a soil assessment for the site and any previous soil assessments (reg 25(1)(d) and (da)).

• Compliance with safety and equipment standards: Regulation 103(1) (premises, furniture and equipment to be safe, clean and in good repair) is added to the list of infringement offences in reg 190(ta), making failure in this area subject to infringement notices.

Rights and procedural protections

• Publication timing tied to review: Reg 226A stipulates that certain categories of decisions or information are only to be published once any review or appeal of the decision has been determined, or the period for review/appeal has ended, unless the publication includes a note that the decision may be subject to review or appeal (reg 226A(2)(a)-(c)).

• Right to internal or external review of enforcement action: The regulation recognises existing rights under the Law to internal or external review (reg 228(6) references Law ss 191 and 193). It allows the Regulatory Authority to publish earlier than the default timelines only if satisfied publication is in the public interest, indicating a balancing mechanism between publication and pending review.

• Transitional preservation of prior authorisations: Where a Ministerial direction authorised use/possession/control of a device immediately before commencement, that authorisation is taken to be an authorisation under the new provision and may be varied, suspended or revoked under the relevant provision; subject to conditions, it continues in force and ends on its existing expiry date if applicable (sch.1 sec 32(1)-(3)).

• Publication content and remedies: The regulations require publication to include summaries of reasons and details of remedial steps taken (reg 227(b)(i)(D), 227(b)(ii)(C), 227(b)(iii)(C)), which creates a record that a provider can address publicly and in review processes.

Mechanisms for enforcement and compliance

• Penalties and infringement notices: The instrument updates monetary penalties for many regulations and adds certain National Law offences as prescribed offences for enforcement under National Law s 291 (reg 28D). It also expands the list of infringement offences (reg 190 as amended, and reg 28C adding reg 103(1) as an infringement offence).

• Publication and reputational consequence: Multiple provisions compel or permit publication of enforcement actions and decisions (regs 173AA, 226A, 227, 228(6)), creating a non-monetary enforcement mechanism through public disclosure of a provider’s compliance history.

These duties and rights create operational obligations (records, assessments, notifications), impose heavier financial consequences for non-compliance (tiered penalties), and increase exposure to reputational enforcement through publication of compliance history and enforcement actions.

The regulation substantially revises monetary penalties and the enforcement information regime in the NSW application of the National Regulations and National Law. There are three key features of the revised enforcement landscape: (1) increased monetary penalties with tiering by “large child care provider” and “otherwise”; (2) expansion of the range of offences that may attract infringement notices; and (3) mandatory publication and disclosure of enforcement and compliance information.

Monetary penalty structure (selected provisions)

• Many existing penalties that previously were $2,200, $1,100 or $2,200/$1,100 have been replaced with the following tiered amounts where applicable:

  • For certain higher-tier contraventions the penalty is now: large child care provider $19,800; otherwise $6,600 (see regs 6, 13, 20A, 28A, 28B, 28A insertion).
  • For mid-tier contraventions: large child care provider $9,900; otherwise $3,300 (see reg 8).
  • For lower-tier contraventions: $3,300 (see reg 9 and reg 7 which replaces $2,200 with $6,600 in some contexts and others where $2,200 replaced with $6,600).
  • Several family day care and records offences have specified amounts as substituted NSW provisions (for example reg 116AA penalty substituted to large provider $19,800, otherwise $6,600; reg 183, reg 185 likewise).

• National Law penalties substituted by Schedule 2:

  • The new NSW penalty structure for certain National Law insertions includes much larger amounts in Schedule 2. For example:
    • For National Law section 162B (insertion by the Victorian amendment), the penalty for the NSW application is prescribed as: individual $6,600; large child care provider $102,600; otherwise $34,200 (sch 2 item 3).
    • Part 6A insertions and other specified sections have the same substituted penalty amounts noted at sch 2 item 7 (individual $6,600; large $102,600; otherwise $34,200).
    • Section 216C as applied in NSW carries a very large substituted penalty: individual $27,300; large child care provider $413,100; otherwise $137,700 (sch 2 item 10).
  • These substituted penalties are explicitly labelled “substituted NSW provision” (sch 2, items 3, 7, 10).

Infringement offences and prescribed offences for National Law s 291

• Regulation 190 is amended to insert a new infringement ground for regulation 103(1) (premises, furniture and equipment to be safe, clean and in good repair) (reg 28C). This makes non-compliance with basic premises safety subject to infringement notices (reg 190(ta)).

• Reg 28D prescribes a set of National Law offences to be enforced under National Law s 291 (penalty recovery) including child protection training offences, notification obligations, contravention of supervision directions, false or misleading information about notices, contravention of emergency orders, insurance indemnifying against financial penalties, providing education and care in residence of service providers, incentive schemes, and a policy about protected disclosures (reg 28D(2)(a)-(j)). These categories (as additional NSW provisions) make them subject to enforcement mechanisms under National Law s 291.

Publication and non-monetary enforcement

• Quality and compliance history must be published for approved providers and include a wide range of enforcement actions (reg 173AA(2)-(3)). Reg 227 requires publication of details of enforcement action including name, provider approval number, address of service, details of the offence, date, penalty imposed and remedial steps (reg 227(a)-(b)). Reg 226A prescribes publication of decisions to refuse approvals or transfers, and imposes timing constraints linked to review and appeal rights (reg 226A(1)-(2)).

• Reg 228(6) gives the Regulatory Authority power to publish information before the end of the review/appeal period if satisfied publication is in the public interest. This creates discretionary early publication power.

Enforcement mechanisms and remedies

• The regulation references the full suite of existing enforcement tools of the National Law as applied in NSW: prosecutions, infringement notices, compliance directions and compliance notices, enforceable undertakings, emergency actions including emergency removal of children, prohibition notices, imposition or amendment of conditions on approvals, suspension or cancellation of approvals (reg 173AA(2), reg 227(b)). The published information must include whether conditions are currently in force or have been removed (reg 226A(1)(g)(vi)).

• Transitional provisions for previously issued Ministerial authorisations allow the Regulatory Authority to treat existing authorisations as authorisations under the new Part 6A, and to vary, suspend or revoke them under the new provisions (sch.1 sec 32).

Practical effect

• Providers face larger monetary exposure, amplified reputational exposure via mandatory or discretionary public disclosures, and an expanded list of offences that can attract infringement notices. For certain new National Law offences the substituted penalties for NSW are materially higher than the standard fines noted elsewhere in the Regulations, notably where “large child care provider” penalties reach six figures for certain National Law offences (sch 2 items 3, 7, 10). The Regulatory Authority’s discretion to publish early in the public interest narrows the protective effect of review periods in some cases (reg 228(6)).

The regulation is a NSW application and modification of the national scheme created by the Education and Care Services National Law and National Regulations. It also cross-references and aligns with other NSW statutes. The key legal interactions are:

• National Law and National Regulations: The instrument modifies how the National Regulations operate in NSW (reg 3: “The national regulations apply in New South Wales with the modifications set out in Schedule 1”) and applies specified amendments to the National Law as enacted in Victoria but modified for NSW (reg 4; Schedule 2, which lists the National Law insertions and substitutions). Many provisions cite specific National Law sections (for example National Law (NSW) sections 5B(d), 172, 171, 270, 270(6)(a)(iv), 291, 191, 193).

• Children’s Guardian Act 2019: The regulation expands “serious incident” to include sexual offences or sexual misconduct under the Children’s Guardian Act 2019, Part 4 (reg 12). It also requires notification of sexual offence or sexual misconduct committed by persons engaging in work for the service (reg 175(2)(ea)). The regulation thus imports the Children’s Guardian Act 2019’s definitions and meaning for the purpose of applying the National Law in NSW.

• Education and Care Services National Law Act 2010 (Victoria): The National Law itself is a Victorian Act applied in each jurisdiction by their own application acts. This regulation implements amendments made by the Early Childhood Legislation Amendment (Child Safety) Act 2025 of Victoria into the NSW application while modifying penalties and certain procedural details (Schedule 2). The instrument therefore operates at the intersection of interjurisdictional legislative frameworks.

• Administrative and review law: The regulation repeatedly refers to internal and external review mechanisms under the National Law (NSW) sections 191 and 193 (reg 228(6), reg 226A(2)). Publication timing rules are explicitly tied to the availability and outcome of reviews and appeals, indicating interaction with administrative law remedies and timelines.

• Ministerial directions and transitional arrangements: The transitional provision treats existing Ministerial directions that authorised device use, possession or control at a service as authorisations under the new Part 6A and allows continuation subject to existing conditions or expiry dates until varied (sch.1 sec 32(1)-(3)). This creates a legal bridge between prior executive directions and the new regulatory scheme.

• Privacy and other statutory obligations: The regulation does not itself restate privacy laws, but the publication requirements (regs 173AA, 226A, 227) require the Regulatory Authority to publish identifying information about providers and, in some cases, individuals (for example, reg 226A(1)(f) regarding training directions includes the name of the individual). Where personal data is published, the Regulatory Authority and providers will need to ensure compliance with applicable privacy law; the instrument itself does not amend privacy legislation.

• National Register and National Early Childhood Worker Register: Schedule 2 explicitly refers to the insertion of a definition for “National Early Childhood Worker Register” into the National Law (sch 2 item 2). Other National Law insertions deal with training, notification and worker registration requirements, indicating interaction with national workforce registration frameworks.

Overall, the regulation is integrative: it adapts a national statutory scheme to NSW conditions, imports external definitions (Children’s Guardian Act 2019), modifies penalty amounts and publication regimes, and creates transitional treatment for prior executive authorisations, while preserving and interacting with the National Law’s review and enforcement architecture.

This regulation is itself an amending instrument that adapts the Education and Care Services National Regulations for NSW and applies recent National Law amendments in NSW. The source provides the immediate legislative antecedents and scheduling details:

• Commencement: The regulation commences on the day the Children (Education and Care Services National Law Application) Amendment Act 2025, Schedule 1[10] commences (cl 2). The National Law is defined in the regulation as set out in the Schedule to the Education and Care Services National Law Act 2010 (Vic) (reg 2A).

• Schedule 1 modifications: Schedule 1 lists modifications to the Education and Care Services National Regulations as they apply in NSW. The Schedule carries the notation “sch 1: Am 2026 (54), Sch 1[1]-[13]”, indicating these changes are recorded in the 2026 amending instrument (the Children (Education and Care Services) NSW Regulation 2025/2026 reference in the headnote). Specific items amend regulation 4 (excursion definition), insert regulation 9B (related providers), amend regulation 12 (serious incident), regulation 25 (site information and soil assessments), multiple penalty substitutions across many regulations (regs 55(2), 72 etc.), and various family day care assessment and record-keeping changes (reg 116 and related clauses). Schedule 1 also contains additions for publication and disclosure regimes (regs 173AA, 226A, 227, 228(6)) and transitional provisions (sch.1 sec 31-32).

• Schedule 2 application: Schedule 2 applies amendments to the National Law made by the Early Childhood Legislation Amendment (Child Safety) Act 2025 of Victoria. The Schedule is labelled “sch 2: Ins 2026 (54), Sch 1[14]” and sets out insertion of the National Early Childhood Worker Register, section 162B, insertion of Part 6A, insertion of sections 178D/178E, and other National Law insertions and amendments. For several newly inserted National Law sections, Schedule 2 substitutes NSW penalty provisions (e.g., sch 2 items 3, 7, 10 specifying substituted penalties for sections 162B, Part 6A and 216C respectively).

• Transitional and savings provisions: Schedule 1 adds Chapter 7 jurisdiction-specific transitional and saving provisions. Notably, sch 1 sec 31 provides a transitional rule that the amended reg 116(1), (1B), (1C) do not apply to an assessment submitted but not determined before commencement. Sch 1 sec 32 creates a transitional provision treating existing Ministerial authorisations to use, possess or control a device at a service as authorisations under the new Part 6A, with continuation subject to existing conditions and expiry dates unless varied (sch.1 sec 32(1)-(3)).

• Multiple substituted NSW penalty notes: Throughout Schedule 1 and Schedule 2 the instrument repeatedly annotates “This penalty is a substituted NSW provision” when replacing national penalties with NSW-specific amounts (see sch 1 cl 6, 8, 13, 20A, 28A, 28B and sch 2 items 3, 7, 10).

• Legislative instruments referenced for effect: The instrument explicitly incorporates amendments made by the Early Childhood Legislation Amendment (Child Safety) Act 2025 (Vic) and the Children (Education and Care Services National Law Application) Amendment Act 2025 (the latter providing commencement and related local application specifics).

The regulation functions as a consolidation and localisation of recent national amendments, combined with targeted NSW-specific modifications and penalty substitutions. The text supplied does not provide a chronology of predecessor NSW regulations beyond the notations that these are amending entries (for example “Am 2026 (54)”), but it does document which national inserts and penalty substitutions are being adopted for NSW.

The regulation text supplied contains no citations to judicial decisions and does not reference any litigation history or cases. It is an administrative regulatory instrument and the schedule and clauses show where National Law provisions are being adopted or modified, but the text does not list any court rulings, judicial interpretations, or prior contested decisions.

Nevertheless, the instrument creates features that are likely to intersect with review and litigation forums under the National Law framework:

• Internal and external review references: The regulation explicitly links publication timing to internal or external review processes under the National Law (NSW) (reg 226A(2) refers to publication only after review or appeal is determined or the period for making an application has ended; reg 228(6) references Law ss 191 and 193). These references indicate that decisions subject to publication will commonly be those that are also subject to statutory review pathways under the National Law, which in practice can involve administrative review and merits review pathways.

• Publications, reputational effects and procedural challenges: The new publication and disclosure regimes create platform for procedural challenges. For example, reg 226A(2) requires publication only when review avenues are exhausted or a notice that review may be possible is included. Yet reg 228(6) allows early publication if satisfied publication is in the public interest. Disputes could arise about whether the Regulatory Authority correctly applied the “public interest” threshold or whether publication before the resolution of review rights was lawful and compatible with procedural fairness; such disputes would be litigable in the relevant review forum or courts, but none are recorded in the supplied instrument.

• Penalty substitutions and enforcement: Large substituted penalty amounts for certain National Law offences as applied in NSW (Schedule 2 items) may lead to challenge on procedural or reasonableness grounds, or on the question of whether the instrument correctly applied the National Law amendment process and penalty substitution power. The regulation itself does not cite any case law on these points.

In short, the source contains no litigation history. Practitioners should note the built-in avenues for administrative review referenced in the instrument and expect that the publication regime and new penalty structure are likely to generate review and potential litigation, but the supplied text contains no judicial answers to those questions.

The regulation contains numerous practical traps and less-obvious changes that operational staff and advisers should note and explicitly address; these are grounded in the text and identify concrete mechanisms that will change provider behaviour, risk exposure, and compliance workload.

• Expansion of the “serious incident” definition: The insertion at reg 12 extends the serious incident definition to include a child who “appears to have been involved in a sexual offence or sexual misconduct” as defined in the Children’s Guardian Act 2019, Part 4 (reg 12(e)(iv)). That triggers immediate notification obligations and potential enforcement actions. The phrase “appears to have been involved” is an evidential threshold that can be triggered by suspicion or allegation rather than a proven fact. The consequence is an expanded set of reportable events leading to Regulatory Authority involvement and possible publication.

• Notification of sexual offences by staff, volunteers and students: Reg 175(2)(ea) requires notification to the Regulatory Authority of sexual offences or sexual misconduct committed by any person who “engages in work for the service,” explicitly including volunteers and students (reg 175(2)(ea)(i)-(iii)). Providers may need new screening, supervision and incident response procedures for non-paid participants and placements.

• Broad publication obligations with timing caveats: Reg 173AA and reg 226A require publishing quality and compliance history and specific decisions once review avenues are resolved or the review period ends. However, reg 228(6) permits early publication in the “public interest.” Providers should not assume non-publication until the review window closes; the Authority can publish earlier if satisfied of public interest. Items that must be published are detailed and include enforcement steps, dates, penalties and remedial steps (regs 173AA(2), 226A(1), 227(b)). Publication extends to data such as the names and addresses of services and approved providers (reg 227(a)).

• Records must contain ratings and penalties: Reg 167 now requires retention of evidence of National Quality Standard ratings and details of penalties imposed on the service and individuals connected to the service (reg 167(1)(d)-(f)). Providers must ensure record-keeping systems retain and make available such items for inspectors and for publication purposes.

• Soil assessments and prior assessments: Reg 25 requires a soil assessment for proposed premises and any previous soil assessments (reg 25(1)(d) and (da)). This imposes a pre-approval step that may introduce costs, delays or complications when premises have a complex history. Old soil assessments must be disclosed, which could expose historical contamination issues.

• Family day care assessment scope expanded beyond proposed areas: The assessment requirement now explicitly includes areas outside but near the residence that are accessible to children even if not proposed to be used (reg 116(2)(b) and related insertions). Practically this can extend regulatory scrutiny to neighbouring yards, local parks or external structures, potentially limiting where family day care can be operated without mitigation works or restrictions.

• Provider obligation to ensure understanding by explanation, not mere training: Reg 84(3) states a provider is taken to have met its obligation if the specified person “can explain” the mandatory reporter obligations, circumstances and how to submit a report (reg 84(3)(a)-(c)). This creates a higher administrative standard than mere provision of written information; providers must have demonstrable evidence that staff or volunteers can explain the required matters.

• Differential penalty tiers and large-provider impacts: Many penalties are increased and split into “large child care provider” versus “otherwise.” The text does not define “large child care provider” within the extract provided; practitioners must locate the definition elsewhere in applicable legislation or guidance (the instrument uses the term but does not provide the threshold here). The penalty scale creates much higher exposure for providers categorised as “large,” including substituted NSW penalties in Schedule 2 that place very large amounts on certain offences (sch 2 items 3, 7, 10).

• Added infringement offence for premises safety: Regulation 103(1) (premises, furniture and equipment safe, clean and in good repair) has been added to the infringement offences list (reg 190(ta)). Routine premises failings can now attract infringement notices rather than only higher-level enforcement action.

• Early publication despite review: The Authority’s power under reg 228(6) to publish information before the end of review periods if satisfied the public interest requirement is met introduces uncertainty about when publication will occur. The test “satisfied that publishing the information is in the public interest” is discretionary and could lead to disputes about the exercise of that discretion.

• Transitional exceptions: The transitional provision for family day care assessments excludes assessments submitted but not determined before commencement from the new reg 116 rules (sch.1 sec 31). Providers with pending assessments must be careful about whether the pre-commencement process applies to them or whether the new, broader assessment standard applies to new submissions.

• Publication of individual training directions and names: Reg 226A(1)(f) requires publication about training directions given to individuals, including the name of the individual. This brings personal identifiers into public regulatory records, increasing privacy and reputational risk for individual staff members.

These “gotchas” are concrete, textually grounded changes that alter reporting thresholds, increase the scope of premises assessment, enlarge record-keeping obligations, add new disclosure pathways and impose higher and tiered monetary sanctions.

The regulation creates a set of discrete compliance tasks for providers, nominated supervisors, family day care educators and compliance teams. Below is a practical compliance checklist derived from the text, arranged by domain, with references to the relevant regulation clauses.

Governance and policy

• Review and update your compliance register to reflect the NSW-specific changes set out in Schedule 1 and Schedule 2 (see reg 3 and schs 1-2). Ensure the register flags where penalties differ for “large child care providers” versus “otherwise” and where provision is an “additional NSW provision”.

• Update internal procedures for notification to the Regulatory Authority to capture the expanded “serious incident” definition and the new mandatory notification of sexual offences or misconduct by staff, volunteers, or students (reg 12; reg 175(2)(ea)). Ensure a documented workflow exists for immediate reporting and internal escalation.

• Incorporate the publication regime into risk management: map what events will be published under regs 173AA, 226A and 227, and maintain documentary evidence of remedial steps and dates as the regulations require those details for publication (reg 227(b) and reg 226A(1)(g)(v)).

Staff training and mandatory reporter capability

• Design and document training that produces demonstrable evidence that designated persons can explain mandatory reporter obligations, the circumstances requiring a report, and how to submit it, per reg 84(3)(a)-(c). Keep records showing staff can explain these matters (for example, assessment checks, dated verbal or written confirmations).

• Update volunteer and student induction packs to include mandatory reporting obligations and the process for reporting, since reg 175(2)(ea) explicitly includes volunteers and students.

Enrolment records and health care planning

• Ensure enrolment records contain required health documents: medical management plan, anaphylaxis medical management plan, and a risk minimisation plan for children with specific healthcare needs or allergies (reg 162(d)(i)-(iii)). Ensure a secure system for keeping these plans and for staff to access and implement them.

• Review risk minimisation and sleep/rest policies to ensure risk assessments reflect the inserted conjunction amendment in reg 84C(2)(g)(i) that requires combined consideration (reg 12 changes to 84C).

Premises, site and family day care assessments

• For proposed service premises, commission a soil assessment and include any prior soil assessments in submissions for service approval (reg 25(1)(d), (da)). Maintain copies of prior site assessments.

• For family day care residences and venues, prepare comprehensive assessments that specify the parts of the premises used or to be used (reg 116(1C)), and explicitly address areas outside but near the residence that may be accessible to children, whether or not proposed for use (reg 116(2)(b) as amended). Consider perimeter risks, access by neighbours, public footpaths, driveways and nearby open spaces.

• Map premises, structures and areas accessible to children, and include this mapping in assessments and service documentation (reg 116 changes at regs 17-20A).

Record-keeping, publications and remedial evidence

• Update record-keeping systems to include evidence of the National Quality Standard rating, and all penalties imposed on the service and on persons connected with the service (reg 167(1)(d)-(f)). Make these records retrievable for inspection and publication purposes.

• If compliance action is taken, retain evidence of remedial steps and completion dates; reg 227(b)(i)(D), (ii)(C), (iii)(C) requires publication of remediation information where prosecutions, enforceable undertakings or compliance notices are involved.

• Ensure law and regulations are available to staff and parents in a format and location that meets the updated law/regulations availability requirement and associated penalties (reg 185; reg 28B substitution).

Premises safety and infringement exposure

• Conduct regular audits of premises, furniture and equipment to ensure compliance with reg 103(1) (safe, clean, in good repair), noting that this regulation has been added to infringement offences (reg 190(ta)). Treat routine defects as high-priority rectification items to avoid infringement notices.

• Implement a preventive maintenance and cleaning schedule: document inspections, repairs and dates to demonstrate ongoing compliance and to have evidence to counter any potential infringement notices.

Staffing, training directions and notifications

• Be prepared to receive and, where applicable, publish details of training directions issued to individuals (reg 226A(1)(f)). If the Regulatory Authority issues a training direction under National Law ss 178D or 178E, the published information will include the individual’s name, employer and the reason for the direction.

• For family day care services, update approval applications and service approvals to identify the specific areas within a residence to be used for the service (reg 116(1C) and reg 20A).

Penalties and financial planning

• Review insurance cover and reserves in light of higher and tiered penalties. Schedule 2 substituted penalties for certain National Law offences create exposures significantly larger than typical fines referenced previously (sch 2 items 3, 7, 10). Confirm with insurers whether policies respond to regulatory fines and whether any exclusions apply.

• Identify whether your operation would be classified as a “large child care provider” for the statutory penalty scale, and adopt risk mitigation accordingly. The text uses the label but does not define it in the provided extract, so obtain the statutory definition or guidance from the Regulatory Authority.

Publication, communication and reputational management

• Prepare a communications protocol for situations that would result in publication under regs 173AA, 226A and 227. Ensure timely and accurate public statements and coordinate with legal counsel in case of review or appeal.

• Maintain up-to-date contact details, provider approval numbers and service addresses within the register and public-facing materials to ensure published information is accurate (reg 227(a)).

Transitional cases and pending assessments

• If you have submitted family day care assessments that are not yet determined before commencement, check sch.1 sec 31 to see whether the prior rules apply to your pending application.

• If you held a Ministerial direction authorisation relating to devices before commencement, identify whether that authorisation is covered by the transitional provision (sch.1 sec 32) and document any conditions or expiry dates that continue to apply.

Legal and compliance support

• Establish or refresh a compliance matrix that maps each amended regulation to the operational control that ensures compliance, and schedule periodic internal audits.

• Engage legal counsel to interpret the interplay between publication timing and review rights (reg 226A(2) and reg 228(6)), especially where early publication would be particularly damaging.

These steps translate the textually grounded duties into operational programmes: update policies, train staff and volunteers to be able to explain mandatory reporting roles, extend and record family day care site assessments to cover accessible external areas, obtain and retain soil assessments, and prepare for larger pecuniary exposure and publication-based enforcement.