Navigating Regulation 170: six steps to ensure policy compliance in early childhood services

Regulation 170 of the National Quality Framework requires approved providers to take “reasonable steps” to ensure educators and staff follow service policies and procedures. Understanding what this looks like in practice is critical for maintaining compliance, strengthening governance, and protecting children’s safety in early childhood education and care.

Under the Education and Care Services National Regulations, approved providers of centre-based and family day care services must take reasonable steps to ensure policies and procedures are followed.

If services fail to do so, regulators may issue a compliance direction or impose a penalty.

For many services, the challenge is understanding what counts as a “reasonable step”. The regulation also applies to a broad group of people working within a service.

In this context, “staff” includes educators, nominated supervisors and assistant educators, as well as family day care coordinators, volunteers, contractors and agency educators.

This means approved providers must ensure every person working within the service understands and follows the service’s policies and procedures, this includes casual and agency staff.

For early childhood services seeking to strengthen compliance under the Education and Care Services National Law, the following six steps can help ensure policies are embedded in daily practice, not simply stored in a folder.

1. Ensure policies are easy to access

Childcare policies only work when educators can quickly locate and understand them.

Regulation 171 requires that service policies and procedures are readily accessible to staff at all times.

Services should ensure all educators, including casual and agency staff – know exactly where the most current policies are located.

Many services now store policies digitally through shared drives or internal platforms. Others maintain printed policy folders in staff areas.

Accessibility may also involve supporting diverse staff and family needs through translated materials, plain language summaries or alternative formats such as audio versions.

Maintaining version control is also important. Clearly dated documents help demonstrate that policies are current and regularly reviewed.

During assessment or compliance visits, authorised officers may ask educators to demonstrate how they independently locate service policies.

2. Provide thorough induction and ongoing training

A brief policy review on the first day of employment is rarely enough to support meaningful understanding.

Effective induction programs help educators understand not only what the policy says, but why the procedure exists and how it supports children’s safety and wellbeing.

Staggering induction across several weeks can help new educators absorb key information without becoming overwhelmed.

Regular refresher training is particularly important for higher-risk areas such as:

• supervision
• safe sleep practices
• medication administration
• transport procedures
• incident reporting.

Using a mix of learning methods, such as face-to-face discussions, video demonstrations and online training modules, can support different learning styles.

Some services also pair new educators with an experienced colleague until competence is demonstrated.

Training attendance records, staff meeting minutes and professional development plans provide valuable evidence of compliance.

3. Review policies regularly

Policies should not remain static. They must evolve alongside legislative updates and emerging best practice.

For example, safe sleep guidance may change as organisations such as Red Nose Australia update their advice.

Many services schedule policy reviews annually, or sooner if an incident, complaint or near miss occurs.

Involving educators in the review process can also help ensure policies reflect the realities of daily practice.

Under Regulation 172, services must notify families at least 14 days before implementing policy changes that significantly affect the provision of care.

Evidence of policy governance may include:

• policy review schedules
• incident investigation records
• meeting minutes showing educator input.

4. Monitor practice and audit compliance

Approved providers cannot assume policies are being followed. They must actively monitor compliance.

This may occur through:

• daily conversations with educators
• performance reviews
• family day care monitoring visits
• internal compliance audits.

Some services also review documentation such as medication records, incident reports or excursion risk assessments to identify patterns or gaps.

Where appropriate and compliant with privacy requirements, technology such as CCTV may also support monitoring.

Maintaining records of audits, coaching conversations and feedback to educators demonstrates that the service actively monitors practice.

5. Respond quickly to non-compliance

When policies are not followed, services must respond promptly.

The response should address the underlying cause of the issue. This may include:

• additional training
• closer supervision
• formal performance management
• disciplinary action where necessary.

Equally important is creating a workplace culture where educators feel safe raising concerns.

Services should ensure staff understand how to report potential breaches or risks,  including through confidential or anonymous channels if needed.

Documentation may include improvement plans, performance review records and evidence of additional training.

6. Ensure educators have the resources to follow policies

Policies cannot be followed effectively if educators lack the time, staffing or equipment needed to meet expectations.

Approved providers should ensure rosters allow educators to complete required tasks while maintaining appropriate supervision.

Services should also consider whether certain responsibilities create incompatible duties.

For example, an educator responsible for checking a transport vehicle after children disembark should not simultaneously supervise those children.

In family day care services, coordinators play a key role in supporting educators and ensuring adequate resources are available during higher-risk activities.

Evidence may include staffing rosters, family day care support visit records and documentation relating to equipment maintenance.

Meeting Regulation 170 compliance in early childhood education and care requires more than simply writing policies.

Approved providers must demonstrate that policies are accessible, understood and consistently followed in practice.

By embedding strong induction processes, regular policy reviews, active monitoring and adequate resourcing, services can show regulators they are taking genuine and reasonable steps to ensure policies are implemented.

Most importantly, these processes support the core goal of the National Quality Framework, protecting the safety, health and wellbeing of children in early childhood services.