National Quality Framework
Serious incidents and complaints
Fact sheet | April 2012
Last updated April 2015
Education and care services, including preschools, long day care and family day care services , are required to
operate under the Education and Care Services National Law Act 2010 (National Law) and the Education and
Care Services National Regulations 2011 (National Regulations).
The National Law and National Regulations include requirements for service providers and Regulatory Authorities
in relation to serious incidents and complaints. These requirements are outlined in this fact sheet.
Meeting these requirements will help to ensure that the objectives of the National Law are met including that:

education and care services are operated in a way that ensures the safety, health and wellbeing of
children attending education and care services

educational and developmental outcomes for children attending education and care services are
improved.
The Regulatory Authority’s responsibilities
The Regulatory Authority receives and investigates complaints arising under National Law and National
Regulations (section 260).
The Approved Provider’s responsibilities
In relation to serious incidents and complaints, the approved provider must:

display the name and telephone number of the person at the education and care service to whom
complaints may be addressed (regulation 173(2)(b))

display the contact details of the Regulatory Authority (regulation 173(2)(e))

develop policies and procedures in relation to dealing with complaints (regulation 168(2)(o))

notify the Regulatory Authority of:


serious incidents and any complaints which allege a breach of legislation (section 174(2)(a) and (b),
regulation 12, element 7.3.3)

information in respect of any other prescribed matters (section 174(2)(c))
have processes in place to ensure that all grievances and complaints are addressed, investigated fairly
and documented in a timely manner (element 7.3.4).
Requirements for notifying Regulatory Authority of serious incidents, complaints and any
circumstances that poses a risk to the health, safety or wellbeing of a child
An approved provider must notify the Regulatory Authority of:

serious incidents and complaints in relation to an approved education and care service operated by the
approved provider (section 174(2)(a) and (b) and regulation 12)

any circumstances arising at the service that poses a risk to the health, safety or wellbeing of a child or
children attending the service (regulation 175(2)(c)).
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Serious incidents
A serious incident is any serious incident at the approved education and care service including (regulation 12):


the death of a child –

while being educated and cared for by an education and care service; or

following an incident while being educated and cared for by an education and care service.
any incident involving serious injury or trauma to, or illness of, a child while being educated and cared for
by an education and care service–

which a reasonable person would consider required urgent medical attention from a registered
medical practitioner; or
Examples include Whooping cough, broken limb and anaphylaxis reaction.

for which the child attended, or ought reasonably to have attended a hospital.

any incident where the attendance of emergency services at the education and care service premises was
sought, or ought reasonably to have been sought

any circumstance where a child being educated and cared for by an education and care service –

appears to be missing or cannot be accounted for

appears to have been taken or removed from the education and care service premises in a manner
that contravenes the National Regulations

is mistakenly locked in or locked out of the education and care service premises or any part of the
premises.
Complaints
A complaint (section 174(2)(b)) is a complaint that alleges:

the safety, health or wellbeing of a child or children was or is being compromised while that child or
children is or are being educated and cared for by the approved education and care service ; or

the National Law and/or National Regulations has been contravened.
Circumstances that poses a risk to the health, safety or wellbeing of a child
An approved provider must notify the Regulatory Authority of information in respect of any other prescribed
matters (section 174(2)(c)). Set out in regulation 175(2) are a number of prescribed matters, one of which
includes circumstances arising at the service that pose a risk to the health, safety or wellbeing of a child or
children attending the service (regulation 175(2)(c)).
The types of circumstances that the approved provider should notify the Regulatory Authority (in addition to
reporting to any relevant external agency) include:

occurrences of sexualised play between children

where children are being or may be at risk of being subjected to physical, emotional or sexual abuse,
including instances where children are observed displaying concerning behaviour that may indicate they
are being subjected to abuse

where the education and care service premises is in a state of disrepair or has experienced a natural
disaster, such as flooding which has damaged the premises in such a way that it poses a risk to children .
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Notification of serious incidents and complaints to the Regulatory Authority
The Regulatory Authority must be notified of a serious incident (section 174(2)(a))
or complaint
(section
174(2)(b)) in writing in the case of:

the death of a child, as soon as practicable but within 24 hours of the death, or the time that the person
becomes aware of the death

any other serious incident, within 24 hours of the incident or the time that the person becomes aware of
the incident

a complaint within 24 hours of the complaint or incident (regulation 176(2)(a)(i) and (ii)) and (b)).
Notification of serious incident – form SI01 is available at: http://www.acecqa.gov.au/notifications
Notification of complaints, non-serious incidents and additional children in an emergency – form NL01 is available
at: http://www.acecqa.gov.au/notifications
Direct complaints to the Regulatory Authority
Direct complaints can be made to the Regulatory Authority where the complaint alleges that:

the safety, health or wellbeing of a child or children was or is being compromised while that child or
children is or are being educated and cared for by the approved education and care service

the National Law and/or National Regulations has been contravened.
Which notifications must be investigated?
Notifications of serious incidents and complaints, that allege the safety, health or wellbeing of a child or children
was or is being compromised while that child or children is or are being educated and cared for by the approved
education and care service and/or the National Law and/or National Regulations may have been contravened, will
be investigated by the Regulatory Authority.
There are some instances however, where a detailed investigation may not be required, including where:

there is minimal or no impact on the safety, health and wellbeing of a child or children being educated and
cared for by the service

there has been no contravention of the National Law and/or National Regulations.
In these cases the notification will be recorded against the service’s record, however there will be no further
action taken.
Examples of notifications which may not be investigated by the Department include:

Routine medical attention is provided by a qualified staff member for a small cut after a child trips over
their own feet. Parents are appropriately notified and any relevant authorisations are given.

Medical attention is provided by the relevant medical experts after a child known to have epilepsy has an
epileptic fit. Parents are appropriately notified, management plans followed and any relevant
authorisations are given.

Emergency services are called to the service following an altercation between parents at the service.
In these instances, the approved provider is still required to meet their obligations to notify the Regulatory
Authority, however may only be contacted by the Regulatory Authority where further information is required.
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The Regulatory Authority in Victoria
The Department of Education and Training, Quality Assessment and Regulation Division can be contacted on
1300 307 415 or by email at licensed.childrens.services@edumail.vic.gov.au.
Serious incidents and complaints should be directed to the relevant Quality Assessment and Regulation area
team. Details of area offices are available in the fact sheet Quality Assessment and Regulation – Regional Offices
available at: http://www.education.vic.gov.au/childhood/providers/regulation/Pages/nqffactsheets.aspx
Further information
The Australian Children’s Education and Care Quality Authority is the national statutory authority governing
the National Quality Framework.
Phone: 1300 422 327
Email: enquiries@acecqa.gov.au
Web: www.acecqa.gov.au
The Department of Education and Training is the Regulatory Authority in Victoria.
Phone: 1300 307 415
Email: licensed.childrens.services@edumail.vic.gov.au
Web: www.education.vic.gov.au/childhood/providers/regulation
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