Service approvals and amendments

Approved providers should consider the timeframes and requirements when looking to submit service approvals and/or amendments before a specific date. 

Below are the legislative timeframes for:

• service approval
• amendment of service approval
• transfer of service approval
• incomplete applications and requests for further information.

Service approval

A decision must be made within 90 calendar days of the regulatory authority receiving a complete application. This period may be extended with the applicant’s agreement. There is no limit on how long this may be if the applicant agrees. If more information is requested, the time taken to provide it is not included in the 90-day period, referred to as Stopping the Clock (extract from the Guide to the NQF).

When assessing service approvals, the regulatory authority must consider the following:

• the National Quality Framework
• excluding Family Day Care (FDC), the suitability of the service premises, site and location for operating an education and care service
• the adequacy of policies and procedures of the service in accordance with National Regulation 168
• whether the applicant is an approved provider
• whether the nominated supervisor for the service has given their written consent
• any suspension of or conditions on the applicant’s provider approval.

Other matters the regulatory authority may consider include:

• matters that may affect the applicant's ability to operate a service including financial capacity and management ability
• the applicant’s historical compliance with the National Law including other services the provider operates.

The regulatory authority may do the following:

• check the status of any service associated with the approved provider in all jurisdictions
• request proposed budgets for the service
• request the approved provider to submit all policies and procedures set out in regulation 168.

Amendment of service approval

A decision must be made within 60 calendar days of the regulatory authority receiving a complete application.

When assessing amendments of service approval, the regulatory authority may consider the following:

• check the status of any service associated with the approved provider in all jurisdictions
• consider the compliance history of the service
• consider the assessment and rating history of the service
• consider staffing arrangements and historical waiver applications of the service.

Family Day Care

If the application includes a request for an approval of a family day care venue, the application must also include:

• the location and street address of the venue
• a statement that the applicant has the right to occupy and use the place as a venue and any document evidencing this (e.g. a lease of the premises)  
• an assessment (including any risk assessment) of the place conducted by the approved provider to ensure that the health, safety and wellbeing of children is protected under regulation 116.

As part of this assessment (including any risk assessment) for a residence or venue located in a multi-storey building shared with other occupants, the approved provider must consider for each storey on which the residence or venue is located, whether there is direct egress to an assembly area that allows the safe evacuation of children, including any infants and non-ambulatory children.

Transfer of service approval

The transferring and receiving approved providers must jointly notify the regulatory authority of the transfer at least 60 calendar days before it is intended to take effect and specify the intended transfer date.

The regulatory authority may agree in exceptional circumstances to a shorter notification period as below:

• consider if the situation is unusual, not typical – that is, one that cannot ordinarily be planned for. For example:
  • where a management committee must be dissolved suddenly
  • a transferring approved provider has gone into liquidation or receivership
  • the transferring approved provider wants to disband/dissolve the legal entity
  • the approved provider is ill and no longer able to operate the service, and it is in the best interests of the children at the service to ensure continuity by transferring the service to a new approved provider.
• determine the safety, health and wellbeing of children at the service are at risk (for example, continuity of care becomes compromised).

Intervening in a transfer

The regulatory authority may intervene in a transfer if it is concerned about any of the following:

• the receiving approved provider’s capacity to operate the service (financial capacity, fitness and propriety, management ability)
• the receiving approved providers historical compliance history with National Law and Regulations in all other education and care services they operate.

Following regulatory authority intervention, a transfer cannot proceed unless the regulatory authority gives written consent.

Incomplete applications

If an application does not include all the prescribed information, the regulatory authority may treat the application as invalid. The timeframe for processing an application does not begin until an application is complete and therefore valid.

Request for additional information

When the regulatory authority requests additional information to assess the application, the period between making the request and receiving the requested information is not included in the legislative assessment period and the clock is stopped. When the information is received and assessed as adequate/sufficient the legislative clock starts again. The assessing officer then works to the amended due date.

It is also important to remember to be ready for a regulatory officer to visit for pre-approval. This means ensuring building works are completed, resources are in place and staffing is considered.