Compliance Bulletin

A change to current ‘Request for information’ letters in relation to non-compliance matters

From 5 March 2024, the Education and Care Regulatory Unit (the Regulatory Authority) will implement a change to the current ‘Request for information’ letters in relation to non-compliance matters.  These letters focus on a confirmed breach/es which refers to an internal finding by the Regulatory Authority that is not published or publishable.

This change will mean that approved providers will no longer be requested to provide evidence of the action they have taken to rectify an identified non-compliances. The onus will be on the approved provider to take the necessary actions to comply with the Education and Care Services National Law (WA) Act 2012 (National Law) and the Education and Care Services National Regulations 2012 (National Regulations).

Subsequently, the Regulatory Authority may undertake follow up actions which may include a service visit to confirm a provider’s compliance with any previous non-compliance, to ensure any confirmed breaches have been rectified.

If an approved provider is found to have repeated confirmed breaches across the same section of the National Law or National Regulations, the Regulatory Authority will consider the use of alternative compliance actions to eliminate any risk to children and to deter any potential unwillingness or inability to comply.

The Regulatory Authority expect that these changes will reduce regulatory burden by supporting approved providers to focus on rectifying non-compliance without the additional task of administrative follow up with the Regulatory Authority.

Frequently Asked Questions

What is a confirmed breach?

When the Regulatory Authority has assessed all of the information available and is satisfied an approved provider has contravened the National Law and/or the National Regulations.

What is a confirmed breach letter?

A confirmed breach letter is a non-statutory action used by the Regulatory Authority to achieve compliance in an effective and efficient manner.

When is a confirmed breach letter used?

A confirmed breach letter is issued to an approved provider in instances where a confirmed breach has been substantiated, however there is no serious risk to children and the approved provider does not have an ongoing history of non-compliance related to specific areas of breach.

Is a Compliance Notice and Compliance Direction letter different to a confirmed breach letter?

Yes, a Compliance Notice or a Compliance Direction is a statutory compliance action which compels the approved provider to submit evidence to the Regulatory Authority.   A confirmed breach letter is an internal finding by the Regulatory Authority that is not published or publishable.

Is this just for non-compliant visits?

No. The revised process will apply to all non-compliance letters irrespective of how it is identified. For example, it will also be used in response to a notification of serious incident or compliant where a breach has been confirmed.

What if I don’t agree with the Regulatory Authority’s confirmed breaches in the letter?

Information will remain in the confirmed breach letter of the approved provider’s right to seek a review of a confirmed breach and details on how to seek such a review.