Understanding Common Compliance Actions

The Education Standards Board (ESB) is responsible for the administration of the National Quality Framework (NQF). This includes monitoring and enforcing compliance with the National Law and Regulations for South Australian Early Childhood Education and Care (ECEC) services. 

Consistent with the objectives of the NQF, the approach to enforcement and compliance is to: 

• Ensure the safety, health and wellbeing of children 
• Improve children’s educational and developmental outcomes 
• Promote continuous quality improvement in education and care services

The ESB has a range of approaches and tools to facilitate these objectives and consistently reinforces the requirements of the NQF. 

Compliance notices 

A compliance notice is a written notice issued to an approved provider when the ESB is satisfied a provision of the National Law or Regulations is not being complied with. The notice outlines the steps required to be completed by the service to be deemed as compliant. 

Approved providers must comply with compliance notices within the period (being not less than 14 days) specified in the notice. Further compliance action may occur if the provider does not address the steps set out in the notice, or within the designated timeframe. 

Compliance notices are reviewable under the National Law and must be applied in writing within 14 days of the notice. 

Emergency Action Notices

An Emergency Action Notice (EAN) is a written notice issued to an approved provider where the ESB is satisfied that a service is operating in a manner that poses, or is likely to pose, an immediate risk to the safety, health or wellbeing of a children or children being educated or cared for by the service. 

The ESB directs the approved provider of the service to take the steps specified in the notice to remove or reduce the risk within the time specified (not more than 14 days). Further compliance action may occur if the provider does not address the steps set out in the notice or within the designated timeframe. 

Emergency Action Notices are not reviewable under the National Law. 

Power of authorised officers to obtain information, documents and evidence 

ESB Authorised Officers may request from a specified person (approved provider, nominated supervisor, staff member or volunteer) that they provide information which must be provided to the ESB in the manner specified in the notice and signed by the person (or competent officer if the person is not an individual). 

Information is requested for the following purposes: 

• Monitoring compliance 
• Rating and Assessment 
• Obtaining information

The person is given a minimum of 14 calendar days to respond to the request. 

Power of Regulatory Authority to obtain information, documents and evidence by notice

If the ESB reasonably believes an offence has been committed, it may, by written notice require a specified person to: 

• Provide any relevant information, within the time and in a manner specified in the notice and signed by the person (or a competent officer if the person is not an individual) 
• Produce to the ESB any relevant documentation
• Appear before the ESB at a specified time or place to give evidence or produce any relevant documents 

It is an offence to fail or refuse to comply with a notice to obtain information, documents and evidence. 

More information about compliance actions can be found in Section 5: Regulatory Authority Powers of the Guide to the National Quality Framework and the Education and Early Childhood Services (Registration and Standards) Act 2011.