Notifying the Regulatory Authority of Persons with Management or Control
What is a PMC and what is their role in an early childhood education service?
Visit the roles and repsonsibilities webpage for the definition of person with management or control and their roles and responsibilities.
What are my responsibilities as an approved provider when adding a PMC?
If you are an approved provider and need to notify the Regulatory Authority of the addition of a Person with Management or Control (PMC), you must first determine whether the individual you nominate is a suitable candidate and has the management capability to perform the role of a PMC. Your decision can be guided by a review of the declaration and supporting documents provided by the candidate.
What steps do I take before nominating a PMC?
When determining whether the individual you are nominating as a PMC is a suitable candidate to perform the roles and responsibilities required of a PMC, you should consider the following:
- The nominee fully understands the legal responsibilities (and penalties for non-compliance) of a PMC
- The nominee could sufficiently demonstrate their knowledge and understanding of the National Law, the National Regulations and effective leadership if formally tested
- The nominee has demonstrated (through providing the below relevant copies of their criminal history, WWCC, management capability and other supporting documents) that they:
- are a fit and proper person to be involved in an education and care service.
- evidence of fraud, dishonesty, financial management, compliance with the law and /or the administration of funds
- evidence of activity that does not comply with criminal or civil law, including (but not limited to) activity related to children or indicating dishonesty or violence
- court proceedings and convictions or findings of guilt, including (but not limited to) activity related to children or indicating dishonesty or violence
- any past administrative decisions relating to a person's suitability to be involved in an education and care service
- the person's history of managing public funds; and any past or current debts to the Commonwealth
- the person's record of financial management, including any instances of bankruptcy, insolvency or external administration
- any potential conflicts of interest between managing or delivering the child care service and other business or financial interests of the person
- any other matter relevant to the suitability of the provider and their staff.
- the person’s compliance with the National Law and Regulations.
- have demonstrated management capability that would add value to the service(s).
- a resume – that itemises the roles (paid / volunteer) and duties that demonstrate management capability. Evidence may include previous expertise, experience and/or qualification in a leadership, governance, administrative or management role
- qualifications/transcripts of study – a formal record showing significant progress towards or completion of a recognised early childhood and/or management qualification awarded through a recognised Registered Training Organisation or other.
What happens next and how long do I have to wait?
Once the approved provider has identified a suitable candidate with the demonstrated ability and skills to manage the delivery of the education and care service, they must notify the Regulatory Authority.
Relevant legislation: Section 173(1)(b) of the Children (Education and Care Services) National Law
Responsibility: Approved provider
Timeframe: within 14 days
Once the notification is lodged, the approved provider has met its obligations under the national law.
On receipt of the notification, the Regulatory Authority will undertake an assessment of the candidate’s fitness and propriety. The approved provider will then be notified of the outcome of the assessment. The approved provider is then required to take the appropriate action, depending on the outcome received.
Tips when notifying
Being prepared can save you time during the notification process. Your notification can take longer if we don’t have all of the details we need to assess it. Although we will contact you to obtain missing information, you can help us to speed up the process by:
- providing all the correct information and documents at the time you notify
- responding to any request for missing information as soon as possible after we contact you.
What you’ll need
When lodging the notification, you must include the following documents (depending on individual circumstances) in the notification adding a person with management or control:
PA08 – Notification of Change of Information About Approved Provider (appointment or removal of a person with management or control) This is the notification to be made electronically on the ACECQA Portal
PA02 – Declaration of Fitness and Propriety – Download from the ACECQA website for each nominated PMC to complete prior to making the notification on the ACECQA Portal.
For further tips, click to view the PA02 sample form.
Guidance for question 15 (PA02 form)
Under question 15 of the PA02 form, a provider must select the relevant boxes when nominating a new PMC. The boxes you will select for each PMC at your service may differ based on their roles and responsibilities.
To complete the form you need to indicate if you are:
- an individual applying to be the approved provider of an education and care service, or a constituent individual member of a non-individual entity applying to be an approved provider of an education and care service
- an individual who will have management or control of an education and care service as defined by section 5 of the National Law
- an individual who will have management or control of an education and care service as defined by section 194F of the Family Assistance Law.
Explaining question 15
- Box one applies to all individuals applying for provider approval.
- Box one also applies to all persons who are officers, executive committee members or partners of an entity, such as a company, incorporated association or partnership. These persons will typically be the company directors, executive committee members of incorporated associations and the partners of partnerships.
- Box 2 applies to all persons who will have management or control of an education and care service as defined in section 5A of the National Law. These persons could be company directors, executive committee members and partners, but may also be other persons. Each company director, executive committee member or partner will not necessarily tick this box because, while they may form part of the “mind of the applicant” they will not necessarily have management or control of the education and care service.
- Box 3 applies for the purposes of the Family Assistance Law.
John and Michelle are company directors of 123 Childcare Pty Ltd (the applicant for provider approval). Amanda is not a company director of 123 Childcare Pty Ltd, but is the National Operations Manager and, along with Michelle, will make the executive decisions in relation to the provision of the education and care services proposed to be operated by the company. John will not have any responsibilities in relation to the delivery of any proposed education and care services. Only Michelle will be responsible for administration of the childcare subsidy under the Family Assistance Law.
John, Michelle and Amanda will all complete a PA02:
- Michelle will tick boxes one, 2 and 3.
- Amanda will tick box 2.
- John will tick box one.
You will need to provide documents to prove your identity. These names must match all forms and documents exactly. Acceptable format and documents include:
Please attach ONE form of photo ID. The photo and all details must be clear and legible and can include either:
- Current Driver's Licence. The document must include:
- the front and back of the card OR
- Digital Driver's Licence must include signature
- Current Passport
Any change of name
If you have had a legal change of name, you must also provide documented evidence of each change, including one or more of the following:
- full birth certificate issued by the NSW Registry of Births, Deaths & Marriages. If you were born overseas, you need to provide your full, foreign birth certificate. The certificate must clearly show your full name at birth (extracts and commemorative certificates are not acceptable).
- Change of Name certificate issued by the NSW Registry of Births, Deaths & Marriages
- Marriage certificate(s) issued by the NSW Registry of Births, Deaths and Marriages, or, if you were married elsewhere, a copy of the marriage certificate issued by the celebrant or church.
If you have any alias (i.e. a preferred / informal name) you must provide a statutory declaration confirming all aliases you have ever been known as and you must confirm that the alias/es are not used legally. Forms are available at Service NSW
If you have been subject to bankruptcy proceedings, you must satisfy the Regulatory Authority that you are a fit and proper person to be involved in the provision of an education and care service.
IMPORTANT: To support your declaration of fitness and propriety if you have been the subject of bankruptcy proceedings, you will need to provide the following information and documents in addition to completing Q.11 of the PA02 form:
Bankruptcy information required
- When the bankruptcy or insolvency occurred
- The period when the bankruptcy or insolvency was discharged
- Past circumstances that led to the bankruptcy or insolvency
- Changes of circumstances since the bankruptcy or insolvency
- Confirm whether the bankruptcy occurred as an individual or as part of a business/company
- If the bankruptcy occurred as part of a business / company, outline:
- your role at the time
- the name and registration details of the business/company
- the industry in which the business/company operated.
Bankruptcy documents required
- Statement of Affairs lodged with the Australian Financial Securities Agency (if the bankruptcy occurred less than five years before the Notification is lodged)
- Evidence of discharge of the bankruptcy
- Evidence of ability to manage the finances of the business
- Evidence of ability to run a service which can provide the education and developmental outcomes for the children attending the service
- Evidence of ability to fund the costs of the business such as the lease, equipment, employees etc
- Bank statements for cash flow and liquidity
- Business plan for the new service(s)
- Evidence of business or personal loans
- Credit score
- If you are currently operating an existing business; profit and loss statements and statements of solvency.
Why do I need a criminal history check?
When assessing whether an applicant is a fit and proper person to be involved in an education and care service, the Regulatory Authority must consider the applicant’s relevant criminal history as set out in section 12(2)(a) and section 13 of the National Law.
What type of Criminal History Check should I request?
Checks take into account the specific purpose for which the check is requested and are conducted in accordance with relevant spent conviction legislation. Checks fall into three broad categories – employ / volunteer / probity.
The following table clarifies each type and purpose.
|Employment check||To be used when the applicant is seeking paid employment|
To be used to check the suitability of a person for personal reasons, or acquiring a position of trust.
'Probity' is the only category within the check type 'volunteer' and is used for the following reasons:
Note: Checks are released based on the defined purpose, therefore, it is recommended that the applicant and employer request a new check for each new position applied for to ensure the results being released are in accordance with the legislation and purpose supplied.
Criminal History Checks NOT accepted include:
- checks issued by the Australian Federal Police (these are issued for immigration or visa purposes only).
The Criminal History Check must:
- be issued by an accredited organisation
- be issued within six months of the date that the PA02 notification is signed and lodged.
Note: A Criminal History Check is considered a ‘point in time’ check only, which means that the results only reflect police records on the date and time the result is released. Therefore, if you have been charged and/or convicted of any offences between the date of issue of the Check and the date of the application, you must, in accordance with Reg 14(h) of the National Regulations provide a criminal history statement at question 6, Part A of the PA02 form detailing the offences and/or court results.
- the category must state employ/probity
- list all names you have ever been known by (previous name, maiden name, alias etc)
- the address recorded on the Check must match all other documents exactly.
A list of accredited organisations, including further information regarding probity-related criminal history checks is available at the Australian Criminal Intelligence Commission National Police Checking Service.
In accordance with section 12 of the Children (Education and Care Services) National Law (NSW) an Approved Provider nominating a Person with Management or Control (PMC) must satisfy the Regulatory Authority that each candidate of an education and care service to be operated by the applicant is a fit and proper person to be involved in the provision of an education and care service.
PMCs participate in decision-making that affects (or has capacity) to significantly impact the financial position. Importantly, PMCs have the same legal responsibilities as an Approved Provider. The Regulatory Authority looks for evidence that an applicant can demonstrate abilities in ensuring the effective and efficient operation of an education and care service. Skills may include (but are not limited to) business planning, decision-making, communication, delegation and problem-solving. Evidence of these skills should be included in the resume. The below list provides guidance in this regard.
This document must include:
- dates of employment and contact details of all employers
- details of any management capabilities, including (but not limited to) management roles in education and care services
- the following details relating to any role in education and care services:
- duration worked at the service and name of supervisor reported to
- hours worked per week
- your role and responsibilities at the service
- the Service name and number registered with ACECQA (f you are not aware of the service number).
You should include copies of one or more of the following documents issued by a Registered Training Organisation (RTO) or authorised body:
- current early childhood and/or management qualifications (e.g. a degree, diploma or certificate issued by a university, TAFE or other RTO)
- transcripts of enrolment
- evidence of current enrolment in a university college
- subjects results for completed units.
Why must I provide a Working With Children check/Card (WWCC)?
When assessing whether an applicant is a fit and proper person to be involved in an education and care service, the Regulatory Authority must consider the person’s compliance with a children’s services law of a participating jurisdiction in accordance with 13(1)(c)(ii) of the National Law.
The requirements are set out in 16(a)(i) of the National Regulations.
As NSW has a working with children law, all applicants engaged in children-related work within NSW must provide a valid and current WWC Check in support of their fitness and propriety to perform the role of a PMC.
Which WWCC should I lodge with my PMC notification?
- NSW WWCC
- If you are currently engaged in paid child-related work anywhere in NSW, you must provide your current employee WWCC regardless of if your role as PMC is volunteer or not
- If you are applying as volunteer PMC and you are not currently employed in any child-related work in NSW, you may submit a volunteer WWCC. However, if you commence paid child-related work either as a PMC or elsewhere in NSW, you must:
- upgrade your WWCC from volunteer to paid within 30 days of beginning the paid work; AND
- notify the Regulatory Authority of the change to your WWCC status within 7 days of the upgrade of your WWCC.
WWCC forms are available at NSW Office of the Children's Guardian.
- Interstate WWCC
If you are exempt from holding the NSW WWCC, you must provide the following:
- a Statutory Declaration stating that under the Child Protection (Working with Children) Regulation 2013:
- you are exempt from holding the NSW WWCC
- the reason for the exemption
- the number of days per calendar year you intend to engage in child-related work in NSW (limited to 30 days)
- confirmation that if your engagement in child-related work in NSW changes and you require the WWCC, you will inform the NSW Regulatory Authority within 7 days and will provide a NSW WWCC.
- where applicable a copy of the jurisdictional equivalent of the NSW WWCC (e.g. a QLD Blue Card/NT WWC Clearance/VIC WWCC/SA WWC Check/WA WWC Check/TAS Registration).
- a Statutory Declaration stating that under the Child Protection (Working with Children) Regulation 2013:
Statutory Declaration forms are available at Service NSW.
Before you notify
You can save a lot of time if you check all of the following before lodging the notification:
- all sections of the PA02 Declaration of Fitness and Propriety forms have been completed for each candidate
- all names match exactly across all forms and documents
- all required supporting documents have been uploaded to NQAITS within document standard guidelines (see below for further details)
- all documents are clear and legible
- you are confident that the documents you have uploaded clearly demonstrate how you reached the decision to nominate the PMC(s).
How to notify
When you are satisfied that you have identified a suitable candidate and have collected all required information and documentation to demonstrate your decision, it’s time to notify the Regulatory Authority.
Simply log into your portal account on NQAITS and make a PA08 Notification of Change About an Approved Provider. Detailed instructions can be found in the National Quality Agenda IT System User Guide (PDF 13.9MB).
When uploading supporting information:
- save each document-type separately. For example, a four-page resume should be saved as one document (rather than four separate pages)
- save each document-type according to its usual name (for example: Resume, Criminal History Check etc).
Note: please avoid uploading documents as either:
- single pages (for multiple-paged documents)
- bulk upload (with all forms and documents included in one bundle) with no (or an unrelated) file name.
Once your notification is submitted, you will receive an email confirmation.