227Compliance and enforcement information

#### 227 Compliance and enforcement information 227 Compliance and enforcement information > > (1) For the purposes of section 270(5)(a) of the Law, the Regulatory Authority may publish the information set out in subregulation (3) in relation to any enforcement action set out in subregulation (2). > > > (2) The enforcement actions are— > > > > > (a) a prosecution for an offence against the Law or these Regulations leading to a conviction or finding of guilt or a plea of guilt; > > > > > (b) the acceptance by the Regulatory Authority of an enforceable undertaking; > > > > > (c) the giving of a compliance notice; > > > > > (d) the suspension or cancellation (other than a voluntary suspension or surrender) of a provider approval or service approval; > > > > > (e) an amendment made to a provider approval or service approval for purposes of enforcement; > > > > > (f) the giving of an emergency action notice under section 179 of the Law. > > > (3) The following information may be published— > > > > > (a) the nature of the enforcement action; > > > > > (ab) where enforcement action has been taken against the approved provider and if the Regulatory Authority is satisfied that it is in the public interest to do so, information which identifies a person with management or control of an education and care service; > > > > > (b) the details of the person in relation to whom the enforcement action was taken, including— > > > > > > > (i) the name and provider approval number of the approved provider; > > > > > > > (ii) for a centre-based service— > > > > > > > > > (A) the address of the service; and > > > > > > > > > (B) the name by which the service is known; > > > > > > > (iii) for a family day care service— > > > > > > > > > (A) the address of the service, unless the address is also the home address of a family day care educator; and > > > > > > > > > (AB) the service approval number; and > > > > > > > > > (B) the name by which the service is known; > > > > > > > (iv) for an individual, the name of the individual; > > > > > (c) the reason for taking the enforcement action, including details of the breach or alleged breach by the person of the Law or these Regulations and the provision that was breached or alleged to be breached; > > > > > (d) details of the enforcement action taken, including— > > > > > > > (i) for a prosecution leading to a conviction or finding of guilt or a plea of guilt— > > > > > > > > > (A) the provision of the Law or these Regulations that the person was convicted or found guilty of, or pleaded guilty to, breaching; and > > > > > > > > > (B) the date of the conviction, finding of guilt or the making of the plea of guilt for the offence; and > > > > > > > > > (C) any penalty imposed for the offence; and > > > > > > > > > (D) information about any steps taken to remedy the subject of the prosecution and the date the steps were taken; > > > > > > > (ii) for an enforceable undertaking— > > > > > > > > > (A) the terms of the enforceable undertaking; and > > > > > > > > > (B) the date of the enforceable undertaking; and > > > > > > > > > (C) information about any steps taken to remedy the subject of the enforceable undertaking and the date the steps were taken; > > > > > > > (iii) for a compliance notice— > > > > > > > > > (A) the steps specified in the compliance notice that the person must take to comply with the provision of the Law or these Regulations; and > > > > > > > > > (B) the date specified in the notice by which the steps must be taken; and > > > > > > > > > (C) information about any steps taken to remedy the subject of the compliance notice and the date the steps were taken; > > > > > > > (iv) for the amendment of a provider approval or service approval— > > > > > > > > > (A) the details of the amendment; and > > > > > > > > > (B) the date on which the amendment took effect; > > > > > > > (v) for a suspension of a provider approval or service approval— > > > > > > > > > (A) the date on which the suspension took effect; and > > > > > > > > > (B) the date on which the suspension ends; > > > > > > > (vi) for a cancellation of a provider approval or service approval, the date on which the cancellation took effect. > > > (4) In this regulation, a reference to information does not include information that could identify or lead to the identification of a child. > > Note. > > Section 270(6) of the Law further restricts the publication of identifying information. > > **Reg 227:** Am 2017 (543), reg 74.