Guide to Provider Approvals Under the National Law

Approvals under the Education and CareServices National Law (National Law)

Last updated: 13 December 2013

Guide to provider approvals under the National Law

Purpose

The purpose of this guideline is to provide guidance to central and regional office Department of Education, Training and Employment (Regulatory Authority) officers on the management of Approved Providerapplications and notificationsunder the National Law. This guideline falls under the Regulatory Authority’s procedure forApprovals under the Education and Care Services National Law.

Background

A provider approval is required for a person to obtain approval to operate an education and care service. The applications associated with Approved Providers are as follows:

PA01 Application for provider approval
PA03 Application for amendment of provider approval
PA04 Application for voluntary suspension of provider approval
PA06 Application for provider approval by executor of estate of Approved Provider
PA07 Application for provider approval by legal personal representative or guardian on incapacity of Approved Provider.

In addition to Approved Provider applications, the following Approved Provider notifications may be made to the Regulatory Authority:

PA05 Notification of surrender of provider approval
PA08 Notification of change to information about Approved Provider.

Further information on these applications and notifications is in:

Section 10 – 42, 173 and 174of the National Law
Regulation 14 - 23 of the Education and Care Services National Regulations (National Regulations)
The Applications and Approvals chapter of the national Operational Policy Manual (OPM)
The National Quality Agenda IT System OnePortal team site(DETE employees only).

Templates

Templates for use by the Regulatory Authority which relate to provider approvals are as follows:

Deciding an application for Provider Approval / PT001 – Registration email
PT002 – Confirmation of use account creation email
PT003– Acknowledge Provider Approval application
PT004 – General request for information
PT005 – Extension of time for processing application
PT006 – Enquiry regarding the establishment of a service
PT007 – Provider approval withdrawn non-provision of info
PT008 – Acknowledgement of withdrawn application
PT009– Provider Approval granted letter
PT010 – Provider Approval Certificate
PT011 – Provider Approval refused letter
PT031 – Recommendation Form – Provider Approvals
PT032 – Replacement Provider Approval
Deciding an application to amend Provider Approval / PT033 – Acknowledge application to amend Provider Approval
PT013 – Provider Approval amendment approved
PT014 – Provider Approval amendment refused
Accepting a notification to surrender Provider Approval / PT030 – Confirm surrender of Provider Approval
Deciding an application to voluntarily suspend Provider Approval / PT034 – Acknowledge application to voluntary suspend Provider Approval
PT015 – Refuse to voluntary suspend Provider Approval
PT016 – Notice of voluntary suspension of Provider Approval
PT035 – Acknowledge application to revoke voluntary suspension of Provider Approval
PT017 – Revocation of Provider Approval voluntary suspension approval
PT018 – Revocation of Provider Approval voluntary suspension refused
Deciding an application to approve an executor, representative or guardian as Approved Provider / PT027 – Information for executor after death of Approved Provider
PT028 – Provider Approval granted after death/incapacity of previous Approved Provider
PT029 – Provider Approval refused – death/incapacity of Approved Provider

The role of Regulation, Assessment and Service Quality (RASQ) in Approved Provider applications

The Approvals and Reviews team in RASQ is responsible for the intake, assessment and decision of all Approved Provider applications, except as detailed in the Role of regional offices in Approved Provider applications and notifications.

1)Intake

Approvals and Reviews, Regulation, Assessment and Service Quality (A&RRASQ) must:

a)Process the application:

i)Create an application record on theNational Quality Agenda Information Technology System (NQA ITS) (DETE employees only), if the application was not lodged through the NQA ITS.

ii)Process the fee. Further information on fees is contained in Schedule 2 of the National Regulations and in the Fees chapter of the OPM.

b)Review the application for completeness. The statutory timeframe for processing the application will not commence until the application is complete and therefore valid. When reviewing the application for completeness:

i)Check that all required sections on the form have been completed, and all required attachments are attached. Provider approval application checklists are contained in the OPM.

ii)Contact the applicant and request missing information if necessary.

c)Ascertain the applicable statutory timeframes and the delegated officer for deciding the application:

i)Consult the Summary of Timeframes and Delegations under the National Law.

ii)Calculate the timeframe for determination (use a date calculator if needed).

d)Acknowledge receipt of the complete application.

2)Assessment

A&RRASQ must:

a)Assess the application by taking necessary steps as permitted by the National Law:

i)For a PA01 Application for provider approval, PA06 Application for provider approval by executor of estate of Approved Provider or PA07 Application for provider approval by legal personal representative or guardian on incapacity of Approved Provider:

Assess the fitness and propriety of the applicant or each person who will have management or control of the service. Refer to section 13 of the National Law for a non-exhaustive list of relevant considerations.
If the information provided in the application does not provide sufficient information, request further information from the applicant or undertake enquiries in relation to the person under section 14 of the National Law.
If additional information is requested for the applicant under section 14, the period between making the request and the provision of information is not included in the timeframe for deciding the application.
If external consultation is required (for example - financial, medical or legal advice), undertake a cost/benefit analysis and obtain expenditure approval from the Executive Director, RASQ prior to incurring any costs. Ensure that the applicant is afforded procedural fairness and given the opportunity to respond to any adverse information.

ii)For a PA03 Application for amendment of provider approval:

Consider consulting the Regulatory Authority in each jurisdiction where the Approved Provider operates an education and care service, to ensure that the implications of the proposed amendment are understood.
Consider the impact of the Approved Provider’s compliance history or assessment and ratings outcomes on the amendment application.
Consider whether the provider approval should be amended in some other way, including varying a condition on the provider approval or imposing a new condition.

iii)For a PA04 Application for voluntary suspension of provider approval:

Ensure the Approved Provider has provided evidence that parents of children enrolled at the service/s were notified at least 14 days prior of the intended voluntary suspension.

Consult the Regulatory Authority in each jurisdiction where the Approved Provider operates an education and care service, to ensure that all jurisdictions are aware of the suspension.

Consider when the date of the suspension should commence and conclude. The maximum period of voluntary suspension is 12 months.

b)Record the steps taken during the assessment of the application:

i)Use the NQAITS and TRIM to record all steps taken during the assessment.

ii)Submit a recommendation and required documentation to the delegated officer for consideration.

3)Decision

The delegated officer must:

a) either:

i)Approve the application and

issue a new provider approval
amend a provider approval
voluntarily suspend a provider approval

and contact all affected regional offices and jurisdictions to ensure that service approvals are amended, reissued or suspended as required; or

ii)Refuse the application; or

iii)Make another decision, if permitted by the National Law.

b)Inform the applicant of the decision, including avenues for review.

If the application relates to the voluntary suspension of a provider approval, the Approved Provider may apply to the Regulatory Authority to revoke the voluntary suspension before the voluntary suspension period ends.

The role of RASQ in Approved Provider notifications

The Approvals and Reviews team in RASQ is responsible for the intake, assessment and decision of all Approved Provider notifications, except as detailed in the Role of regional offices in Approved Provider applications and notifications.

1)Intake

A&RRASQ must:

a)Process the notification by creating a notification record on theNQA ITS (DETE employees only), if the notification was not lodged through the NQA ITS.

b)Review the notification for completeness:

i)Check that all required sections on the form have been completed, and all required attachments are attached.

ii)Contact the notifier and request missing information.

2)Assessment

A&RRASQ must:

a)Assess the notification by taking necessary steps as permitted by the National Law:

i)Assess the impact of the notification. The impact may be:

Minor - i.e. change of contact details of Approved Provider, appointment or removal of person with management or control of a service
Moderate - i.e. surrender of provider approval, appointment/removal of receivers or liquidators, death of Approved Provider
Major - i.e. change to fitness and propriety.

ii)The impact of the notification will determine how the Regulatory Authority will respond to the notification. For more major notifications, a service visit may be warranted.

b)Record the steps taken during the assessment of the notification using theNQA ITS and TRIM.

3)Decision

A&RRASQ must:

a)Update records as required, including amending and reissuing the provider approval if necessary; and/or

b)Commence a reassessment of fitness and propriety of the Approved Provider under section 21 of the National Law, if considered necessary.

The role of regional offices in Approved Provider applications and notifications

Although the Approvals and Reviews team in RASQ is responsible for the intake, assessment and decision of all provider approval applications and notifications, regional offices have some role in certain circumstances. The role of regional offices is limited to the circumstances below:

1)Applications

a)PA03 Application for amendment of provider approval:

i)If the application relates to an Approved Provider having changed its legal name, relevant regional offices will be notified following A&RRASQ’s decision and required to make any necessary amendments to any service approvals held by the Approved Provider.

b)PA04 Application for voluntary suspension of provider approval:

i)If the Approved Provider holds any service approvals, relevant regional offices will be contacted during the assessment of the application.

ii)If the application is approved, regional offices will again be contacted following A&RRASQ’s decision and required to suspend any service approvals held by the Approved Provider. Further contact will also be made with regional offices if the voluntary suspension is later revoked.

c)PA06 Application for provider approval by executor of estate of Approved Provider or PA07 Application for provider approval by legal personal representative or guardian on incapacity of Approved Provider:

i)If the application is granted, relevant regional offices will be notified following A&RRASQ’s decision and required to make any necessary amendments to any service approvals held by the new Approved Provider.

Regional offices do not have any role in the intake, assessment or decision of aPA01 Application for provider approval.

2)Notifications

a)PA05 Notification of surrender of provider approval:

i)If the Approved Provider holds any service approvals, relevant regional offices will be contacted during the assessment of the notification.

ii)Relevant regional offices will be required to cancel any service approvals held by the Approved Provider.

b)PA08 Notification of change to information about Approved Provider:

i)If the notification results in a negative reassessment of fitness and propriety, relevant regional offices will be advised.

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