Social Services Regulation Act 2021

Part 1—Preliminary

1 Purposes

The main purposes of this Act are—

(a) to establish the Social Services Regulator; and

(b) to specify the objects, functions and powers of the Social Services Regulator; and

(c) to provide for the registration of social service providers; and

(d) to require registered social service providers to comply with the Social Services Standards; and

(e) to establish the worker and carer exclusion scheme; and

(f) to regulate providers of supported residential services; and

(g) to enable the Regulator and authorised officers to ensure compliance with this Act; and

(h) to provide for the collection, use and disclosure of information for the purposes of this Act; and

(i) to make consequential amendments to the Children, Youth and Families Act 2005, the Disability Act 2006, the Supported Residential Services (Private Proprietors) Act 2010 and to other Acts.

2 Commencement

(1) Subject to subsection (2), this Act comes into operation on a day or days to be proclaimed.

S. 2(2) amended by No. 40/2022 s. 66.

(2) If a provision of this Act does not come into operation before 1 July 2024, it comes into operation on that day.

3 Definitions

(1) In this Act—

administration period means the period during which an administrator is appointed to a social service provider under Division 8 of Part 7;

adverse publicity order has the meaning given by section 163;

S. 3(1) def. of Associate Regulator inserted by No. 58/2025 s. 9.

Associate Regulator means an Associate Social Services Regulator appointed under section 18A;

authorised officer means a person appointed under section 103;

business day means a day other than a Saturday, Sunday or public holiday;

care leaver means a person who has been, but is no longer, in out of home care;

Chief Commissioner of Police means the Chief Commissioner of Police appointed under section 17 of the Victoria Police Act 2013;

child means a person who is under the age of 18 years;

Child Safe Standards has the same meaning as in the Child Wellbeing and Safety Act 2005;

civil penalty order means an order made under section 298;

civil penalty provision means a provision set out in the table in section 297;

Commission for Children and Young People means the Commission for Children and Young People established by section 6 of the Commission for Children and Young People Act 2012;

compliance code means a compliance code approved under section 308;

conditions of registration means a condition imposed on a registration under Division 1 of Part 3;

conduct that may lead to exclusion has the meaning given in section 52;

employing or engaging, in relation to a WCES worker or carer, includes (but is not limited to) approving a person to act as a foster carer;

enforceable undertaking has the meaning given by section 152;

S. 3(1) def. of exclusion decision amended by No. 9/2023 s. 238.

exclusion decision means—

(a) a determination by the Panel under section 79(1)(a) that a person is excluded from providing WCES services or a class of WCES services; or

(b) the issue of an interim exclusion under section 70 to a WCES worker or carer; or

(c) the giving of a WWC exclusion or an interim WWC exclusion under the Worker Screening Act 2020; or

(d) a prescribed decision;

harm includes harm of a physical, sexual, emotional, psychological, financial or cultural nature;

identity card means an identity card issued to an authorised officer or an independent investigator under section 105;

improvement notice has the meaning given by section 137;

independent investigator means an independent body or person engaged by the Regulator under section 59;

integrated sector regulator has the same meaning as in the Child Wellbeing and Safety Act 2005;

interim WWC exclusion has the same meaning as in the Worker Screening Act 2020;

S. 3(1) def. of law enforcement agency amended by No. 31/2024 s. 113(Sch. 1 item 33.1).

law enforcement agency means—

(a) Victoria Police; or

(b) the Commissioner employed under section 8A of the Corrections Act 1986; or

(c) the Director, Fines Victoria employed under section 4 of the Fines Reform Act 2014; or

(d) the Business Licensing Authority established under Part 2 of the Business Licensing Authority Act 1998; or

(e) a commission established by a law of Victoria with the function of investigating matters relating to criminal activity generally or of a specified class or classes; or

(f) the Chief Examiner and Examiners appointed under Part 3 of the Major Crime (Investigative Powers) Act 2004; or

(g) the IBAC within the meaning of the Independent Broad-based Anti‑corruption Commission Act 2011; or

(h) the sheriff within the meaning of the Sheriff Act 2009; or

(i) Integrity Oversight Victoria within the meaning of the Integrity Oversight Victoria Act 2011; or

(j) the Adult Parole Board established by section 61 of the Corrections Act 1986; or

(k) the Post Sentence Authority continued in existence by section 290 of the Serious Offenders Act 2018; or

(l) the Youth Parole Board within the meaning of the Children, Youth and Families Act 2005; or

(m) an agency responsible for the performance of functions or activities directed to—

(i) the prevention, detection, investigation, prosecution or punishment of criminal offences or breaches of a law imposing a penalty or sanction for a breach; or

(ii) the management of property seized or restrained under laws relating to the confiscation of the proceeds of crime or the enforcement of such laws, or of orders made under such laws; or

(n) an agency responsible for the execution or implementation of an order or decision made by a court or tribunal; or

(o) an agency that provides correctional services, including a contractor within the meaning of the Corrections Act 1986, or a subcontractor of that contractor, but only in relation to a function or duty or the exercise of a power conferred on it by or under that Act; or

(p) an agency responsible for the protection of the public revenue under a law administered by it;

occupier, in relation to premises, means a person who—

(a) is or appears to be 16 years of age or over; and

(b) is or appears to be in control of the premises;

out of home care means care of a child by a person other than a parent of the child;

Panel means a Panel convened under section 68;

parent, in relation to a child, includes—

(a) the father and mother of the child; and

(b) the spouse of the father or mother of the child; and

(c) the domestic partner of the father or mother of the child; and

(d) any person who has parental responsibility for the child, other than the Secretary; and

(e) a person whose name is entered as the father of the child in the register of births in the Register maintained by the Registrar of Births, Deaths and Marriages under Part 7 of the Births, Deaths and Marriages Registration Act 1996; and

(f) a person who acknowledges that he is the father of the child by an instrument of the kind described in section 8(2) of the Status of Children Act 1974; and

(g) a person in respect of whom a court has made a declaration or a finding or order that the person is the father of the child;

personal support means the provision of one or more of the following—

(a) assistance with personal hygiene, toileting or dressing;

(b) assistance to achieve and maintain mobility;

(c) support to seek out and maintain contact with health professionals, social networks, family, friends and the community;

(d) emotional wellbeing support;

(e) assistance with or supervision in administering medication;

(f) assistance with eating and maintaining adequate nutrition;

prohibition notice has the meaning given by section 142;

protected information has the meaning given in section 188;

public authority means any body (including any trust) established by or under an Act for a public purpose, other than a Council within the meaning of the Local Government Act 2020;

public warning notice has the meaning given by section 160;

registered social service provider means a social service provider registered under Division 1 of Part 3;

Register means the Register kept under section 36;

Regulator means the Social Services Regulator established under section 4;

relevant agency has the meaning given in section 189;

relevant entity has the same meaning as in the Child Wellbeing and Safety Act 2005;

reportable conduct scheme has the same meaning as in the Child Wellbeing and Safety Act 2005;

resident (except in Part 9) means—

(a) a resident within the meaning of the Disability Act 2006; and

(b) a resident of a supported residential service within the meaning set out in section 214, other than a designated public hospital;

Secretary means the Secretary to the Department of Families, Fairness and Housing;

sector regulator has the same meaning as in the Child Wellbeing and Safety Act 2005;

serious harm means harm, whether a single instance of harm or repeated or persistent instances of harm, that results in one or more of the following—

(a) death;

(b) loss of a foetus;

(c) permanent or long-term serious impairment;

(d) permanent or long-term serious disfigurement;

(e) permanent or long-term severe psychological injury or developmental delay;

service requirements means service requirements prescribed for the purposes of section 45;

service user means—

(a) a child (including an unborn child) who is at risk of harm or is in need of protection; or

(b) a care leaver; or

(c) a person with a disability within the meaning of section 3(1) of the Disability Act 2006; or

(d) a resident of a supported residential service within the meaning of section 214; or

(e) a person who is at risk of, or who has experienced, family violence (within the meaning of section 5 of the Family Violence Protection Act 2008), sexual assault or any other sexual offence; or

(f) a person who has committed family violence (within the meaning of section 5 of the Family Violence Protection Act 2008), sexual assault or any other sexual offence; or

(g) a person who is experiencing or is at risk of homelessness, including a homeless person within the meaning of section 3(1) of the Children, Youth and Families Act 2005; or

(h) a prescribed person or class of persons who are subject to social disadvantage; or

(i) a family member or other person who has provided support to, or received support or social services with, any person referred to in paragraphs (a) to (h);

social service means a social service or activity that is prescribed to be a social service for the purposes of this Act;

Social Services Standards means the Social Services Standards set out in Subdivision 1 of Division 1 of Part 4;

spouse of a person means the person to whom the person is married;

suspension of intake notice has the meaning given by section 166;

Victoria Police has the same meaning as in the Victoria Police Act 2013;

WCES database means the database established under section 83;

WCES service means a service to which the worker and carer exclusion scheme is prescribed to apply;

WCES service provider means a body that is prescribed to be a WCES service provider for the purposes of this Act;

WCES service user means a person who—

(a) is receiving or has received WCES services from a WCES service provider; or

(b) is seeking or has sought WCES services from a WCES service provider, whether or not the person received those WCES services;

WCES worker or carer means a person employed or engaged to provide a WCES service and includes, but is not limited to, a person approved by a WCES service provider to act as a foster carer;

worker and carer exclusion scheme means the scheme set out in Part 5;

WWC clearance has the same meaning as in the Worker Screening Act 2020;

WWC exclusion has the same meaning as in the Worker Screening Act 2020.

(2) In this Act, domestic partner of a person means—

(a) a person who is in a registered relationship with the person; or

(b) an adult person to whom the person is not married but with whom the person is in a relationship as a couple where one or each of them provides personal or financial commitment and support of a domestic nature for the material benefit of the other, irrespective of their genders and whether or not they are living under the same roof, but does not include a person who provides domestic support and personal care to the person—

(i) for fee or reward; or

(ii) on behalf of another person or an organisation (including a government or government agency, a body corporate or a charitable or benevolent organisation).

(3) For the purposes of the definition of domestic partner in subsection (2)—

(a) registered relationship has the same meaning as it has in the Relationships Act 2008; and

(b) in determining whether persons who are not in a registered relationship are domestic partners of each other, all the circumstances of their relationship are to be taken into account, including any one or more of the matters referred to in section 35(2) of the Relationships Act 2008 as may be relevant in a particular case; and

(c) a person is not a domestic partner of another person only because they are co-tenants.

Part 2—Social Services Regulator

Division 1—Establishment

4 Establishment of Social Services Regulator

(1) The Social Services Regulator is established.

(2) The Social Services Regulator is to be appointed by the Governor in Council on the recommendation of the Minister.

5 Terms and conditions of appointment

(1) The Regulator—

(a) holds office for a term, not exceeding 5 years, specified in the instrument of appointment; and

(b) is appointed on the terms and conditions that are specified in the instrument of appointment.

(2) The instrument of appointment must specify—

(a) the remuneration and allowances (if any) of the Regulator; and

(b) whether the Regulator is appointed on a full‑time or part-time basis.

(3) The Public Administration Act 2004 (other than Part 3 of that Act) applies to the Regulator in respect of that office.

(4) If the Regulator was, immediately prior to appointment to that office, an officer within the meaning of the State Superannuation Act 1988, the Regulator, despite that appointment, continues to be an officer within the meaning of, and subject to, that Act.

(5) The Regulator may be re-appointed.

6 Regulator represents the Crown

In performing its functions and exercising its powers, the Regulator represents the Crown.

7 Objects of Regulator

The objects of the Regulator are—

(a) to monitor and enforce compliance with the requirements of this Act and the regulations relating to the safe delivery of social services; and

(b) to protect the rights of service users; and

(c) to minimise risks of avoidable harm caused by abuse or neglect in connection with the delivery of social services; and

(d) to promote and support the delivery of safe and effective social services; and

(e) to encourage a culture of continuous quality improvement in the provision of social services; and

(f) to provide confidence to service users and the community in the safety and quality of social services.

S. 8 amended by No. 58/2025 s. 129(2) (ILA s. 39B(1)).

8 Guiding principles

(1) The Regulator, in carrying out a function or power under this Act or any other Act, must—

S. 8(1)(a) substituted by No. 58/2025 s. 129(1).

(a) subject to subsection (2), have regard to the paramount consideration of the best interests and the safety, welfare and wellbeing of children and service users; and

(b) enforce compliance by registered social service providers with the Social Services Standards; and

(c) act in a transparent, accountable, efficient, effective and fair way; and

(d) make decisions using an intelligence-led and integrated approach that is proportionate to risk and minimises regulatory burden; and

(e) work collaboratively with other relevant agencies, service users, registered social service providers and the community to ensure the safe delivery of social services; and

(f) ensure that restrictions on registered social service providers or WCES workers or carers are only imposed to the extent necessary or desirable to achieve the Regulator's objects; and

(g) reduce regulatory burden, where appropriate, by—

(i) recognising compliance by registered social service providers with other regulatory schemes; and

(ii) aiming for consistent approaches to decision-making with other regulatory schemes; and

(iii) if possible, giving effect to prescribed decisions about WCES workers or carers made by other relevant regulatory entities; and

(h) liaise with other relevant agencies and regulatory entities to avoid, as far as possible, unnecessary duplication in the investigation of social service providers; and

(i) provide, where appropriate, social service providers with guidance and education regarding their duties and obligations under this Act and how social service providers may comply with those duties and obligations.

S. 8(2) inserted by No. 58/2025 s. 129(2).

(2) The paramount consideration in subsection (1)(a) does not apply to the Regulator in carrying out functions or powers under the Worker Screening Act 2020 in relation to NDIS checks, NDIS clearance holders, WWC checks or WWC clearance holders.

Notes

Section 10 of the Worker Screening Act 2020 sets out paramount considerations for the Regulator in relation to NDIS checks and NDIS clearance holders.

Section 11 of the Worker Screening Act 2020 sets out paramount considerations for the Regulator in relation to WWC checks and WWC clearance holders.

9 Regulator is a body corporate

(1) The Regulator and the Regulator's successors in office, subject to this Act, are to be a body corporate under the name of the "Social Services Regulator" and by that name—

(a) has perpetual succession; and

(b) has an official seal; and

(c) may sue and be sued; and

(d) may acquire, hold and dispose of real and personal property; and

(e) may do and suffer all acts and things that a body corporate may by law do and suffer.

(2) The official seal must be kept as directed by the Regulator and must not be used except as authorised by the Regulator.

(3) All courts must take judicial notice of the official seal on a document and, until the contrary is proved, must presume that the document was properly sealed.

10 Vacancy and resignation

(1) The office of the Regulator becomes vacant if the Regulator—

(a) resigns by notice in writing to the Minister; or

(b) becomes insolvent under administration; or

(c) is convicted or found guilty of an indictable offence (or an offence that, if committed in Victoria, would be an indictable offence); or

(d) is removed from office under subsection (2); or

(e) nominates for election for, or is elected to—

(i) the Parliament of Victoria; or

(ii) the Parliament of the Commonwealth or of another State or Territory of the Commonwealth; or

(iii) a Council within the meaning of section 3(1) of the Local Government Act 2020.

(2) The Governor in Council, on the recommendation of the Minister, may remove the Regulator from office.

(3) The Minister may recommend that the Governor in Council remove the Regulator from office on any of the following grounds—

(a) misconduct in carrying out the duties of the office;

(b) failing to disclose a material conflict of interest;

(c) neglect of duty;

(d) inability to perform the duties of the office;

(e) the Regulator has engaged in paid employment outside the duties of the office without the consent of the Minister.

11 Acting Regulator

(1) The Governor in Council may appoint a person to act as the Regulator for a period of not more than 6 months if—

(a) the office of the Regulator is vacant; or

(b) the Regulator is absent or, for any other reason, is unable to perform the duties of the office of the Regulator.

(2) The Minister may appoint a person to act as the Regulator for a period of not more than 6 months if the Regulator is absent.

(3) The acting Regulator has and may exercise all the powers, and must perform all the functions and duties, of the Regulator.

(4) A person appointed as acting Regulator by the Governor in Council is entitled to any remuneration and allowances determined from time to time by the Governor in Council.

(5) A person appointed as acting Regulator by the Minister is entitled to any remuneration and allowances determined by the Minister.

(6) The Governor in Council may at any time revoke an acting appointment made by the Governor in Council.

(7) The Minister may at any time revoke an acting appointment made by the Minister.

12 Staff

(1) There may be employed under Part 3 of the Public Administration Act 2004 any persons who are necessary to assist the Regulator in exercising a power or performing a duty or function under this Act or any other Act.

(2) The Regulator may enter into an agreement or arrangement with any person for the use of services by that person to assist the Regulator in exercising a power or performing a duty or function under this Act or any other Act.

(3) An agreement or arrangement under subsection (2)—

(a) must be with a person who has suitable qualifications or experience to provide the service; and

(b) is to be subject to any terms and conditions that the Regulator is satisfied are appropriate; and

(c) may include, but is not limited to, services provided by—

(i) Australian legal practitioners; and

(ii) independent investigators in relation to worker and carer exclusion scheme investigations.

Division 2—Functions and powers

13 Functions and powers of Regulator

(1) The Regulator has the following functions—

(a) to monitor and enforce compliance with the Social Services Standards;

(b) to register providers of social services;

(c) to publish information about registered social service providers on, and maintain, the Register;

(d) to support registered social service providers' compliance with this Act by providing information, support and guidance to service providers, including by issuing—

(i) guidelines; and

(ii) compliance codes;

(e) to administer the worker and carer exclusion scheme (including the database of excluded workers and carers), based on a procedurally fair process for investigating and determining whether workers pose unjustifiable risks of harm to service users;

(f) to collect and analyse information about whether the Regulator's objects are being achieved;

(g) to share information for the purposes of—

(i) effectively utilising regulatory intelligence; and

(ii) coordinating government responses in relation to social services; and

(iii) reducing regulatory burden (where appropriate);

(h) to provide recommendations, reports and advice at the request of the relevant Minister;

S. 13(1)(i) amended by No. 58/2025 s. 130.

(i) any other functions conferred under this Act, the Child Wellbeing and Safety Act 2005, the Worker Screening Act 2020 or any other Act.

S. 13(2) amended by No. 58/2025 s. 130.

(2) The Regulator has all the powers that are necessary or convenient to perform the functions of the Regulator under this Act, the Child Wellbeing and Safety Act 2005, the Worker Screening Act 2020 or any other Act.

14 Functions as integrated sector regulator

(1) The Regulator has the following functions—

(a) in relation to relevant entities for which the Regulator is an integrated sector regulator—

(i) provide education, information and advice on the Child Safe Standards to promote consistency in child safety outcomes; and

(ii) investigate, monitor and enforce compliance with the Child Safe Standards by relevant entities for which it is an integrated sector regulator; and

S. 14(1)(a)(iii) amended by No. 58/2025 s. 131(1).

(iii) collect, analyse and publish information and data regarding compliance with the Child Safe Standards by those relevant entities; and

(iv) promote continuous improvement by relevant entities in relation to the safety of children, the prevention of child abuse and the proper response to allegations of child abuse;

(b) exchange information and collaborate with persons and bodies in relation to the safety of children and compliance with the Child Safe Standards;

S. 14(1)(c) amended by No. 58/2025 s. 131(2).

(c) work collaboratively with sector regulators and other integrated sector regulators in relation to the safety of children and compliance with the Child Safe Standards.

(2) In carrying out functions under subsection (1) in respect of a relevant entity for which the Regulator is an integrated sector regulator, the Regulator must consider the most effective means of promoting compliance by the relevant entity with the Child Safe Standards.

(3) In carrying out functions under subsection (1) in respect of a relevant entity for which the Regulator is an integrated sector regulator, the Regulator may exercise any power of the Regulator under Part 6 or 7 (other than Subdivision 2 of Division 1 of Part 7 and Divisions 4, 6, 7 and 8 of Part 7) as if—

(a) a reference to "a registered social service provider" were a reference to "a relevant entity"; and

(b) a reference to a contravention of or failure to comply with (however described) "a provision of this Act" were a reference to a contravention of or failure to comply with "the Child Safe Standards".

(4) Without limiting subsection (3), the Regulator may, when appointing an authorised officer under section 103, specify functions, duties or powers for that authorised officer that relate to the investigation, monitoring or enforcement of the Child Safe Standards.

(5) An authorised officer described in subsection (4) may, subject to the instrument of their appointment, exercise any power of an authorised officer under Part 6 or 7 (other than Subdivision 2 of Division 1 of Part 7 and Divisions 4, 6, 7 and 8 of Part 7) as if—

(a) a reference to "a registered social service provider" were a reference to "a relevant entity"; and

(b) a reference to a contravention of or failure to comply with (however described) "a provision of this Act" were a reference to a contravention of or failure to comply with "the Child Safe Standards".

(6) Without limiting subsection (1)(b), the Regulator may exchange information and collaborate with persons and bodies with functions or powers under a law of another State, a Territory or the Commonwealth relating to the monitoring or enforcement of compliance with standards (however described) that correspond to the Child Safe Standards.

15 Delegation

S. 15(1) amended by No. 58/2025 s. 10(1)(a).

(1) The Regulator, by instrument, may delegate to any of the following persons or class of persons any function, duty or power of the Regulator under this Act or any other Act, other than a prescribed function, duty or power or this power of delegation—

S. 15(1)(aa) inserted by No. 58/2025 s. 10(1)(b).

(aa) an Associate Regulator;

S. 15(1)(a) amended by No. 58/2025 s. 10(1)(c).

(a) a person or class of persons employed under Part 3 of the Public Administration Act 2004 for the purposes of the Regulator's functions;

S. 15(1)(ab) inserted by No. 58/2025 s. 10(2).

(ab) a person engaged by the Regulator for the purposes of the Regulator's functions;

(b) a person or class of persons that the Regulator has entered an agreement or arrangement with under section 12(2).

Section 42A(1)(b) of the Interpretation of Legislation Act 1984 provides that a person delegating a power or function may specify conditions or limitations on the exercise of the power or function by the delegate.

S. 15(2) substituted by No. 58/2025 s. 10(3).

(2) Subject to any conditions to which a delegation under subsection (1)(aa) is subject, an Associate Regulator may sub‑delegate that function, duty or power to a person or class of persons specified in subsection (1)(a) or (b).

S. 15(3) inserted by No. 58/2025 s. 10(3).

(3) Sections 42 and 42A of the Interpretation of Legislation Act 1984 apply to a sub‑delegation authorised by subsection (2) in the same way as they apply to a delegation.

S. 15(4) inserted by No. 58/2025 s. 10(3).

(4) A person to whom a function, duty or power is delegated under this section must ensure that any actual or perceived conflicts of interest are avoided in the performance of the person's duties and functions and in the exercise of the person's powers under the delegation.

16 Ministerial directions

(1) The Regulator is subject to the general direction and control of the Minister.

(2) The Minister is not to give directions to the Regulator about a specific regulatory matter.

(3) The Regulator must publish any directions given by the Minister under subsection (1)—

(a) on the Internet site of the Regulator; and

(b) in the Regulator's annual report.

17 Validity of acts or decisions

An act or decision of the Regulator is not invalid merely because of a defect or irregularity in, or in connection with, the appointment of the Regulator.

18 Guidelines

(1) Subject to subsection (5), the Regulator may from time to time issue guidelines in relation to matters relevant to the exercise of its functions under this Act.

(2) Guidelines issued under subsection (1) must not—

(a) be inconsistent with this Act or the regulations; and

(b) extend, change or limit any other Act or law.

(3) The Regulator must publish guidelines issued under subsection (1) on the Internet site of the Regulator.

(4) Guidelines issued under subsection (1) are admissible as evidence in proceedings under this Act or regulations made under this Act, including evidence of what a registered social service provider knew, or ought reasonably to have known, about—

(a) the risks of harm to service users; and

(b) ways of removing or reducing the risks referred to in paragraph (a); and

(c) the risks of contravening the rights of service users.

(5) The Regulator must not issue guidelines under subsection (1) unless the Regulator has first consulted on the proposed guidelines in accordance with the prescribed requirements (if any).

Pt 2 Div. 2A (Heading and ss 18A–18D) inserted by No. 58/2025 s. 11.

Division 2A—Appointment of Associate Social Services Regulators

S. 18A inserted by No. 58/2025 s. 11.

18A Appointment of Associate Social Services Regulators

On the recommendation of the Minister, the Governor in Council may appoint one or more persons to be Associate Social Services Regulators.

S. 18B inserted by No. 58/2025 s. 11.

18B Terms and conditions of appointment

(1) An Associate Regulator—

(a) holds office for a term, not exceeding 5 years, specified in the instrument of appointment; and

(b) is appointed on the terms and conditions that are specified in the instrument of appointment.

(2) The instrument of appointment must specify—

(a) the remuneration and allowances (if any) of the Associate Regulator; and

(b) whether the Associate Regulator is appointed on a full‑time or part‑time basis.

(3) The Public Administration Act 2004 (other than Part 3 of that Act) applies to an Associate Regulator in respect of that office.

(4) If an Associate Regulator was, immediately prior to appointment to the office of Associate Regulator, an officer within the meaning of the State Superannuation Act 1988, the Associate Regulator, despite that appointment, continues to be an officer within the meaning of, and subject to, that Act.

(5) An Associate Regulator may be re‑appointed.

S. 18C inserted by No. 58/2025 s. 11.

18C Vacancy and resignation of Associate Regulators

(1) An Associate Regulator ceases to hold office if the Associate Regulator—

(a) resigns by notice in writing to the Minister; or

(b) becomes an insolvent under administration; or

(c) is convicted of an indictable offence or an offence that, if committed in Victoria, would be an indictable offence; or

(d) is removed from office under subsection (2); or

(e) nominates for election for, or is elected to—

(i) the Parliament of Victoria; or

(ii) the Parliament of the Commonwealth or of another State or a Territory of the Commonwealth; or

(iii) a Council within the meaning of section 3(1) of the Local Government Act 2020.

(2) On the recommendation of the Minister, the Governor in Council may remove an Associate Regulator from office.

(3) The Minister may recommend that the Governor in Council remove an Associate Regulator from office on any of the following grounds—

(a) misconduct in carrying out the duties of the office;

(b) failing to disclose a material conflict of interest;

(c) neglect of duty;

(d) inability to perform the duties of the office;

(e) the Associate Regulator has engaged in paid employment outside the duties of the office without the consent of the Minister.

S. 18D inserted by No. 58/2025 s. 11.

18D Acting Associate Regulator

(1) The Governor in Council may appoint a person to act as an Associate Regulator for a period of not more than 6 months if—

(a) the office of an Associate Regulator is vacant; or

(b) an Associate Regulator is absent or, for any other reason, is unable to perform the duties of the office of Associate Regulator.

(2) The Minister may appoint a person to act as an Associate Regulator for a period of not more than 6 months if an Associate Regulator is absent.

(3) The acting Associate Regulator has and may exercise all the powers, and must perform all the functions and duties, of an Associate Regulator.

See also section 42A(2) of the Interpretation of Legislation Act 1984.

(4) A person appointed as an acting Associate Regulator by the Governor in Council is entitled to any remuneration and allowances determined from time to time by the Governor in Council.

(5) A person appointed as an acting Associate Regulator by the Minister is entitled to any remuneration and allowances determined by the Minister.

(6) The Governor in Council may at any time revoke an acting appointment made by the Governor in Council.

(7) The Minister may at any time revoke an acting appointment made by the Minister.

Division 3—Reporting obligations of Regulator

19 Annual report

(1) Before 31 October in each year the Regulator must give to the Minister a report relating to the 12 months ending on 30 June in that year concerning—

(a) a review of the activities and outcomes of the Regulator in performing the Regulator's functions; and

S. 19(1)(ab) inserted by No. 58/2025 s. 12(1).

(ab) the number of adverse decisions made on the basis of child safety risk information not disclosed in accordance with section 66(6), 69(3), 71A(3), 79(6), 88(5A) or 91(2A) of the Worker Screening Act 2020; and

(b) prescribed information relating to the exercise of specific powers; and

(c) any other information required by the Minister.

(2) The Minister must cause a copy of a report under subsection (1) to be laid before each House of Parliament within 14 sitting days of each House of Parliament after the report is received by the Minister, or if neither House is sitting, to be given to the clerk of each House.

(3) If the Minister proposes to give the report to the clerk of each House, the Minister must—

(a) give at least one business day's notice of the Minister's intention to do so to the clerk of each House; and

(b) give a copy of the report to the clerk of each House on the day indicated in the notice; and

(c) cause the report to be published on an Internet site of the Victorian Government as soon as practicable after giving the report to the clerk of each House.

(4) The clerk of each House must—

(a) notify each member of the House of the receipt of notice under subsection (3)(a) on the same day that the clerk receives that notice; and

(b) make available copies of the report for each member of the House as soon as practicable after the report is received under subsection (3)(b); and

(c) cause the report to be laid before the House on the next sitting day of the House.

(5) A copy of a report that is given to the clerks under subsection (3)(b) is taken to have been published by order, or under the authority, of the Houses of Parliament.

(6) The publication of a copy of a report in accordance with this section is absolutely privileged and the provisions of sections 73 and 74 of the Constitution Act 1975 and of any other enactment or rule of law relating to the publication of the proceedings of Parliament apply to and in relation to the publication of the copy of the report as if it were a report to which those sections applied and had been published by the Government Printer under the authority of Parliament.

S. 19(7) inserted by No. 58/2025 s. 12(2).

(7) In this section—

adverse decision means a decision under the Worker Screening Act 2020—

(a) to refuse to give a WWC clearance to a person; or

(b) to give a WWC exclusion or an interim WWC exclusion to a person; or

(c) to suspend a person's WWC clearance; or

(d) to place an interim bar within the meaning of the Worker Screening Act 2020 on a person.

20 Other reports

(1) When required by the Minister, the Regulator must give the Minister a report on—

(a) the operation of the Regulator's functions and powers; and

(b) subject to subsection (2), any other information required by the Minister.

(2) The Regulator is not required to give the Minister a report about a current regulatory matter if that report may compromise an investigation under this Act.

Part 3—Registration of social service providers

Division 1—Registration of social service providers

21 Application for registration

(1) A person, or a person on behalf of an unincorporated body, may apply for registration to provide one or more types of social service as a registered social service provider.

(2) An application must—

(a) be in the form approved by the Regulator; and

(b) be accompanied by—

(i) the relevant fee; and

(ii) the prescribed information (if any); and

(iii) any other information that the Regulator considers is reasonably required to determine the application.

(3) The Regulator, by written notice given to the applicant, may request further information from an applicant to support the application.

(4) On a request under subsection (3) and subject to subsection (5), the applicant must give the Regulator the further information, in writing, within the prescribed time.

(5) The Regulator may refuse to grant an application for registration if an applicant does not give the further information requested under subsection (3) to the satisfaction of the Regulator within the prescribed time.

22 Applications withdrawn in certain circumstances

(1) If—

(a) the Regulator has given an applicant 2 or more notices in writing requesting further information under section 21(3); and

(b) the applicant has failed to provide the requested information, in writing, within the prescribed time—

the Regulator may give notice in writing to the applicant requiring that the requests be complied within 14 days after the date of that notice or the application will be taken to have been withdrawn.

(2) An application under this Part is taken to be withdrawn if an applicant fails to comply with a request for further information within 14 days of the date of a notice given under subsection (1).

23 Decision about application for registration

After considering an application for registration that meets the requirements of section 21(2) and any further information under section 21, the Regulator must either—

(a) if the applicant meets the prescribed requirements for registration, register the applicant in the class of social service for which the application was made; or

(b) if the applicant does not meet the prescribed requirements for registration, refuse to register the applicant.

24 Notice of decision to be given to applicant

(1) The Regulator must give the applicant written notice of the Regulator's decision on the application for registration within the later of—

(a) 60 days after receiving an application, being an application in accordance with the requirements of section 21(2); or

(b) if the Regulator has requested any further information under section 21(3), 28 days after the information last requested is given to the Regulator.

(2) A notice under subsection (1) must include the reasons for the decision.

25 Provisional registration

(1) The Regulator may grant a person providing a social service, or a person on behalf of an unincorporated body providing a social service, provisional registration in the prescribed circumstances.

(2) The Regulator may make a provisional registration granted under subsection (1) subject to conditions.

(3) The Regulator may exempt a person granted provisional registration from complying with any prescribed requirement under this Part.

(4) The Regulator may grant a provisional registration for a period of not more than 88 days.

26 Conditions of registration

(1) The Regulator may impose a condition on a registration of a social service provider under this Part at any time.

(2) Without limiting subsection (1), the Regulator may impose a condition on a registration that relates to—

(a) the types of social services the registered social service provider may provide; or

(b) operating hours in which social services are provided; or

(c) the premises from which social services are provided; or

(d) the number of service users being provided a social service; or

(e) classes of service users to whom social services may be delivered.

(3) The Regulator may vary a condition on a registration imposed under subsection (1) at any time.

(4) If a registered social service provider is a relevant entity for which the Regulator is an integrated sector regulator, it is a condition on the registration of the social service provider that it must comply with the Child Safe Standards.

(5) Before imposing or varying a condition on the registration of a registered social service provider under subsection (1) or (3), the Regulator must give written notice to the service provider of its intention to impose or vary the condition.

(6) The service provider may make written submissions to the Regulator on the proposed imposition or variation of a condition within 28 days after receiving a notice under subsection (5).

(7) The Regulator must consider any submission received under subsection (6) before imposing or varying a condition under subsection (1) or (3).

27 Application for variation or revocation of condition of registration

(1) A registered social service provider may apply to the Regulator for a variation or revocation of any condition imposed under section 26(1) to which the service provider's registration is subject.

(2) An application must—

(a) be in the form approved by the Regulator; and

(b) be accompanied by—

(i) the relevant fee; and

(ii) the prescribed information (if any); and

(iii) any other information that the Regulator considers is reasonably required to determine the application.

(3) The Regulator, by written notice given to the applicant, may request further information from an applicant to support the application.

(4) On a request under subsection (3) and subject to subsection (5), the applicant must give the Regulator the further information, in writing, within the prescribed time.

(5) The Regulator may refuse to grant an application for a variation or revocation of the condition if the applicant does not give the further information requested under subsection (3) to the satisfaction of the Regulator within the prescribed time.

28 Decision on application for variation or revocation of condition of registration

(1) After receiving an application for variation or revocation of a condition of registration under section 27, the Regulator must—

(a) grant the variation or revocation (as the case requires); or

(b) refuse the variation or revocation (as the case requires).

(2) The Regulator may only grant a variation or revocation under subsection (1) if it is reasonably satisfied that there has been, or if the variation or revocation is granted, will be a change that materially impacts the services delivered by the registered social service provider.

29 Notice of decision to be given to applicant

(1) The Regulator must give the applicant written notice of the Regulator's decision on the application for variation or revocation of a condition of registration within 60 days after receiving an application in accordance with the requirements of section 27(2).

(2) A notice under subsection (1) must include the reasons for the decision.

30 Regulator may require notice of change to condition on registration to be given to service users

(1) The Regulator may require a registered social service provider to give notice of any of the following to any or all service users who have been provided a social service by the registered social service provider—

(a) an imposed or varied condition on the registered social service provider's registration under section 26(1);

(b) a varied or revoked condition on the registered social service provider's registration under section 28.

(2) A notice under subsection (1) must be given to the persons and in the manner determined by the Regulator.

(3) A registered social service provider must comply with a requirement under subsection (1).

31 Duration of registration

Registration (other than provisional registration) as a social service provider continues in force until the registration is suspended, cancelled or revoked in accordance with this Act.

32 Exemption—registration

The Regulator may exempt a person or class of person providing a social service, or a person on behalf of an unincorporated body or class of unincorporated bodies providing a social service from any requirement of registration under this Part that is specified in a written notice given to the person.

Division 2—Cancellation of registration and winding up

33 Application—cancellation

(1) A registered social service provider may apply to the Regulator to cancel the registration of the social service provider.

(2) On an application under subsection (1), the Regulator may—

(a) cancel the applicant's registration as a social service provider; or

(b) refuse to cancel the applicant's registration as a social service provider.

(3) The Regulator must give the applicant written notice of the Regulator's decision under subsection (2).

34 Cancellation of registration by Regulator

(1) The Regulator may cancel the registration of a registered social service provider—

(a) if the registered social service provider no longer provides the services for which it is registered to provide; or

(b) in any other circumstances that the Regulator considers it appropriate to do so.

(2) Before the Regulator cancels registration under subsection (1)—

(a) the Regulator must give written notice to the service provider of—

(i) its intention to cancel the registration; and

(ii) the reason for the cancellation; and

(b) the service provider must be given the opportunity to make submissions to the Regulator for a period of 14 days after receiving the notice.

(3) The Regulator must consider any submission received under subsection (2)(b) before cancelling registration under subsection (1).

35 Notice of winding up

(1) A registered social service provider must give at least 28 days written notice to the Regulator before commencing any proceeding to wind up the registered social service provider.

(2) A registered social service provider, as soon as reasonably practicable after becoming aware of the existence of any circumstance giving rise to an obligation on the service provider under a law of a State or Territory or of the Commonwealth to commence winding up proceedings, must give notice to the Regulator of the circumstance.

(3) A registered social service provider, after becoming aware of the commencement of proceedings by any other person to wind up the service provider, must immediately give notice to the Regulator of the proceedings.

(4) If the registered social service provider gives notice under this section and the service provider provides a service user with accommodation, the service provider must take all reasonable steps to arrange the provision of the following to the service user by another service provider—

(a) accommodation;

(b) any other services that the registered social service provider was providing to the service user before giving notice under this section.

Division 3—The Register

36 The Register

(1) The Regulator must keep a Register that includes the following information about each registered social service provider—

(a) the name of the registered social service provider, including any trading name;

(b) the street address of the registered social service provider;

(c) the contact information of the registered social service provider;

(d) each type of social service for which the registered social service provider is registered;

(e) any conditions of registration;

(f) details of any enforceable undertaking given by the registered social service provider under this Act;

(g) details of any conviction or finding of guilt in relation to the registered social service provider for an offence against this Act or an order imposing a civil penalty for a contravention of this Act;

(h) if the registration of the registered social service provider has been suspended, the reason for the suspension and the period of suspension;

(i) if the registration of the service provider is cancelled or revoked;

(j) the date and reasons for any cancellation or revocation of registration of the registered social service provider;

(k) any rating given to the registered social service provider in accordance with any prescribed rating system;

(l) any other prescribed information.

(2) If the registration of a registered social service provider is cancelled, suspended or revoked, any information about that person in the Register is to be kept on the Register.

(3) The Regulator may keep any information about any of the following on the Register if the Regulator considers it appropriate to do so—

(a) the revocation of registration of a community service within the meaning of section 3(1) of the Children, Youth and Families Act 2005 under that Act before the commencement of this Part;

(b) the revocation of registration of a disability service provider within the meaning of section 3(1) of the Disability Act 2006 under that Act before the commencement of this Part;

(c) the revocation of registration of a supported residential service within the meaning of section 5 of the Supported Residential Services (Community Visitors) Act 2010 under that Act before the commencement of this Part.

(4) The Regulator must include the details of any exemption of a person providing a social service, or a person on behalf of an unincorporated body providing a social service, from any requirement of registration under this Part.

(5) Information in the Register may be made public in accordance with the prescribed requirements (if any).

37 Regulator may decide not to publish certain information in Register

The Regulator may decide not to publish certain information in the Register—

(a) in prescribed circumstances; or

(b) if, in a particular case, the Regulator considers that publication of the information is not appropriate having regard to the circumstances.

Part 4—Standards and notifications

Division 1—Social Services Standards

Subdivision 1—Social Services Standards

38 Effect of this Subdivision

The Parliament does not intend by this Subdivision—

(a) to create in any person any legal right or give rise to any civil cause of action; or

(b) to affect in any way the interpretation of any Act or law in force in Victoria.

39 Standard—safe service delivery

Social services are to be safely delivered based on assessed needs.

40 Standard—service user agency and dignity

Social services are to be person‐centred and respect and uphold service user rights and agency.

41 Standard—safe service environment

Social services are to be provided in a safe, secure and fit‐for‐purpose environment.

42 Standard—feedback and complaints

Service users are to be supported to provide feedback, complaints or concerns about service safety.

43 Standard—accountable organisational governance

Effective governance and organisational systems are to support safe delivery of social services.

44 Standard—safe workforce

Social services are to be delivered by a workforce that has the knowledge, capability and support to deliver safe social services with care and skill.

Subdivision 2—Compliance with Social Services Standards

45 Compliance with Social Services Standards

(1) A registered social service provider, as far as is reasonably practicable, must comply with the Social Services Standards in delivering the social services for which the provider is registered under this Act to deliver.

(2) A registered social service provider who meets all of the prescribed service requirements in delivering a social service is taken to comply with the Social Services Standard to which those service requirements relate.

(3) A registered social service provider who fails to comply with a prescribed service requirement is taken to fail to comply with the Social Services Standard to which the prescribed service requirement relates.

(4) For the purposes of subsection (1), in determining whether or not a registered social service provider's compliance with the Social Services Standards in delivering a social service is, or was at a particular time, reasonably practicable, regard must be had to—

(a) the likelihood of any risk that—

(i) a service user's rights would be contravened; or

(ii) a service user would suffer avoidable harm caused by abuse or neglect in connection with the delivery of the social service; and

(b) the extent of the impact on a service user if a contravention of the service user's rights referred to in paragraph (a)(i), or harm to the service user referred to in paragraph (a)(ii), occurred; and

(c) what the registered social service provider knew or ought reasonably to have known about—

(i) any harm or risks of harm referred to in paragraph (a); and

(ii) any ways of eliminating or reducing the risks referred to in paragraph (a); and

(d) the availability, suitability and costs of any ways to remove or reduce the risks referred to in paragraph (a).

Section 297 provides that this section is a civil penalty provision. The penalty for contravention of this civil penalty provision is set out in the table in section 297.

46 Aggravated contravention of duty to comply with Social Services Standards

(1) A registered social service provider commits an offence if—

(a) the registered social service provider, without lawful excuse, intentionally or recklessly contravenes section 45(1); and

(b) the contravention results in serious harm to, or is likely to result in serious harm to, a service user; and

(c) the registered social service provider knew, or ought reasonably to have known, that the contravention would, or would be likely, to result in serious harm to a service user.

Penalty: 5 years imprisonment or 1200 penalty units, in the case of an individual;

6000 penalty units, in the case of a body corporate.

Section 297 provides that this section is a civil penalty provision. The penalty for contravention of this civil penalty provision is set out in the table in section 297.

(2) An offence under subsection (1) is an indictable offence.

This offence may be heard and determined summarily (see section 28 of the Criminal Procedure Act 2009).

Division 2—Notifications

47 Registered social service provider to notify Regulator of certain matters

(1) A registered social service provider must notify the Regulator of the following matters in relation to a social service for which the registered social service provider is registered to provide—

(a) changes to the volume and type of social service provided;

(b) staffing changes that materially impact service delivery;

(c) organisational changes that materially impact service delivery;

(d) changes to premises at which the social services are provided that materially impact service delivery;

S. 47(1)(e) amended by No. 6/2024 s. 102(1).

(e) changes to information provided on registration that materially impact service delivery;

(f) any prescribed criminal conviction of—

(i) the registered social service provider, if that provider is an individual; or

(ii) a director of the registered social service provider, if that provider is a body corporate; or

(iii) any prescribed key personnel of the registered social service provider;

(g) any change to the information recorded in the Register in relation to the registered social service provider;

(h) any prescribed matter.

S. 47(2) amended by No. 6/2024 s. 102(2)(a).

(2) A notification under subsection (1) must be made—

S. 47(2)(a) amended by No. 6/2024 s. 102(2)(b).

(a) in a manner and form approved by the Regulator; and

(b) within the prescribed period (if any).

48 Notifiable incidents

(1) Subject to subsections (2) and (3), a registered social service provider, as soon as reasonably practicable, must notify the Regulator of any serious incident that has occurred, or may pose a serious risk to service users, during the delivery of a social service.

(2) For the purposes of subsection (1), serious incidents include—

(a) an incident that results in serious harm to a service user or WCES service user; and

(b) an incident that is reasonably likely to cause serious harm to a service user or WCES service user; and

(c) any other prescribed incident.

(a) be given in the manner approved by the Regulator; and

(b) include any prescribed information.

S. 48(4) amended by No. 6/2024 s. 103.

(4) The Regulator may exempt a registered social service provider or class of registered social service providers from the notice requirement under subsection (1), either generally or in relation to a class of serious incident, if the Regulator is satisfied that the registered social service provider or class of registered social service providers are required to give notice of the relevant incidents to another State or Commonwealth regulator or public entity.

49 Compliance statement

(1) The Regulator, in writing, may request a registered social service provider to provide a compliance statement that the registered social service provider is complying with any or all provisions of this Act or the regulations.

(2) A compliance statement requested under subsection (1) must—

(b) contain a statement which describes how the registered social service provider is complying with any or all provisions of this Act or the regulations; and

(c) contain the information requested by the Regulator; and

(d) must be witnessed in a manner approved by the Regulator.

(3) A registered social service provider must comply with a request under subsection (1).

50 Regulator may request further information

(1) The Regulator, in writing, may request a registered social service provider to provide further specified information that the Regulator considers necessary about a matter referred to in section 47(1), 48 or 49 within—

(a) a time specified in the request that is not less than 10 business days after the request is made; or

(b) if no time is specified in the request, a prescribed time.

(2) The registered social service provider must provide the information referred to in subsection (1) within the required time.

Part 5—Worker and carer exclusion scheme

51 Definitions—worker and carer exclusion scheme

characteristics of a WCES service user means the characteristics of a person in relation to which a WCES service is provided including, but not limited to, age and disability;

excluded worker or carer means a person—

(a) who is excluded from providing a WCES service or a class of WCES services under section 79(1)(a); or

(b) in relation to whom an interim exclusion is in force;

interim exclusion means an interim exclusion issued under section 70;

member, in relation to a Panel, means a member of a Panel appointed under section 68(1)(b) or (c);

Panel candidate means a person appointed under section 67;

regulatory entity, in relation to a WCES worker or carer, means any of the following, other than the Regulator—

(a) a Department that is responsible for regulating the WCES service provider by which the WCES worker or carer is employed or engaged;

(b) a body—

(i) that regulates or funds the WCES service provider by which the WCES worker or carer is employed or engaged; and

(ii) that is prescribed to be a regulatory entity in respect of that WCES service provider;

(c) any other body that is prescribed to be a regulatory entity in respect of the WCES worker or carer.

Division 2—Conduct that may lead to exclusion

52 Conduct that may lead to exclusion

A person engages in conduct that may lead to exclusion if at any time (whether before, on or after the commencement of this Part) the person engages in any of the following—

(a) conduct that causes serious harm to—

(b) conduct that a reasonable person would consider likely to cause serious harm to—

(c) persistent or repeated conduct that results in harm to—

(d) prescribed conduct.

53 Regulator to report to Chief Commissioner of Police

(1) On becoming aware that a WCES worker or carer may be involved, or may have been involved, in criminal conduct, the Regulator must report the matter to the Chief Commissioner of Police.

(2) Subsection (1) does not apply if the Regulator reasonably believes that Victoria Police is already aware of the matter.

54 Regulator may obtain information from Victoria Police

(1) If the Regulator reasonably believes that a WCES worker or carer is engaging, or has engaged, in conduct that may lead to exclusion, the Regulator may request the Chief Commissioner of Police to provide the following information in relation to the worker or carer—

(a) whether Victoria Police is investigating the worker or carer;

(b) the result of the investigation as soon as practicable after its completion.

(2) The Chief Commissioner of Police must comply with a request under subsection (1) unless providing the information would be reasonably likely to prejudice—

(a) the investigation of a breach or possible breach of the law or a civil order; or

(b) the enforcement or proper administration of the law or a civil order in a particular instance.

Division 3—Preliminary assessment of conduct that may lead to exclusion

55 Preliminary assessment by Regulator

(1) The Regulator may undertake a preliminary assessment to determine whether it is appropriate to investigate whether a WCES worker or carer is engaging, or has engaged, in conduct that may lead to exclusion.

(2) The Regulator may undertake a preliminary assessment under subsection (1)—

(a) at any time after receiving or becoming aware of information that suggests that the WCES worker or carer is engaging, or has engaged, in conduct that may lead to exclusion; or

(b) in response to information obtained or considered during the undertaking of any preliminary assessment, whether or not that preliminary assessment relates to the same WCES worker or carer.

(3) For the purposes of undertaking a preliminary assessment under subsection (1), the Regulator may—

(a) consider any information the Regulator holds or to which the Regulator has access that relates to any WCES worker or carer; and

(b) consider any information disclosed to the Regulator under this or another Act that relates to any WCES worker or carer; and

(c) request information from any person or body about—

(i) the conduct of the WCES worker or carer who is the subject of the preliminary assessment; or

(ii) information that the Regulator may consider under paragraph (a) or (b).

(4) After undertaking a preliminary assessment, the Regulator may—

(a) determine that the conduct of the WCES worker or carer be investigated under section 57; or

(b) refer the matter for determination by a Panel; or

(c) determine that the matter does not require an investigation or a determination under this Part on the basis that—

(i) information disclosed to the Regulator appears to be vexatious, misconceived or does not indicate that the WCES worker or carer is engaging, or has engaged, in conduct that may lead to exclusion; or

(ii) the Regulator is satisfied that the matter is being adequately dealt with by another body; or

(iii) the Regulator is satisfied that the matter is more appropriately dealt with other than by an investigation or determination under this Part.

56 Notice of investigation or referral

(1) This section applies if the Regulator—

(a) determines under section 55(4)(a) that the conduct of a WCES worker or carer be investigated; or

(b) refers a matter relating to the conduct of a WCES worker or carer to a Panel under section 55(4)(b) for determination.

(2) The Regulator must, as soon as practicable after making the determination or referral, give notice in writing of the determination or referral to the WCES worker or carer.

(3) The Regulator may give notice in writing of the determination or referral to any WCES service provider that is engaging or employing the WCES worker or carer to provide a WCES service.

(4) If the Regulator gives notice under subsection (3), the notice must be given as soon as practicable after the Regulator makes the determination or referral.

(5) The Regulator may give notice in writing of the determination or referral to any WCES service provider who has at any time engaged or employed the WCES worker or carer to provide a WCES service.

(6) A notice under subsection (2) or (3) must set out—

(a) details of the WCES worker or carer's conduct that is the subject of the investigation or referral (as appropriate); and

(b) the nature and purpose of the investigation or referral; and

(c) in the case of a determination under section 55(4)(a)—

(i) the matters to be considered during the investigation; and

(ii) the information that the Regulator considers may be relevant to the investigation; and

(d) in the case of a referral under section 55(4)(b), factors and information that the Panel may consider relevant when determining whether the worker or carer is to be excluded under section 79.

(7) If the Regulator reasonably believes that giving notice under subsection (2) of a determination under section 55(4)(a) to the WCES worker or carer as soon as practicable after that determination would compromise an investigation or determination under this Part, the Regulator may give the notice under that subsection at a later time that the Regulator reasonably considers appropriate.

Division 4—Investigation of conduct that may lead to exclusion

57 Investigation of conduct that may lead to exclusion

(1) If the Regulator makes a determination under section 55(4)(a), the Regulator may investigate the conduct of the WCES worker or carer.

(2) An investigation under subsection (1) may be carried out on behalf of the Regulator by—

(a) an authorised officer; or

(b) an independent investigator.

(3) The Regulator or an authorised officer or independent investigator may carry out an investigation in the manner the Regulator, authorised officer or independent investigator considers most appropriate, having regard to—

(a) the provisions of this Act; and

(b) the presumption that the carrying out of the investigation in the most timely and efficient manner is in the best interests of the persons and bodies involved; and

(c) the circumstances of the particular investigation.

58 Regulator may suspend or discontinue investigation

(1) The Regulator may suspend or discontinue an investigation under section 57 at any time if the Regulator considers that—

(a) it is appropriate to do so having regard to the desirability of avoiding unnecessary duplication in the investigation of, and proceedings relating to, the conduct of a WCES worker or carer; and

(b) the suspension or discontinuation would not prejudice the operation of the worker and carer exclusion scheme.

(2) The Regulator must, as soon as possible after suspending or discontinuing an investigation under subsection (1), give notice in writing of the suspension or discontinuation—

(a) to the WCES worker or carer; and

(b) to any WCES service provider that is engaging or employing the WCES worker or carer to provide a WCES service.

59 Independent investigators

The Regulator may engage an independent body or person with appropriate qualifications, training or experience to investigate the conduct of a WCES worker or carer.

60 Provision of information during investigation

The Regulator or any authorised officer may provide information relating to an investigation under section 57 to the independent investigator carrying out that investigation.

61 Concurrent Victoria Police investigation

(1) On becoming aware that Victoria Police is investigating the conduct of a WCES worker or carer, unless the Chief Commissioner of Police advises that the police investigation is completed or agrees that an investigation under this Part may commence or continue in consultation with Victoria Police—

(a) the Regulator, an authorised officer or an independent investigator must not commence or continue an investigation under this Part into that conduct; and

(b) the Regulator must not convene a Panel in relation to the investigation of that conduct or refer the investigation to a Panel; and

(c) a Panel convened in relation to the investigation of that conduct must not commence or continue to deal with the investigation.

(2) In this section, an investigation by Victoria Police includes any court proceeding (including an appeal) arising out of the investigation.

62 Concurrent investigation by other regulatory entity

(1) If a regulatory entity is investigating, or commences an investigation into the conduct of a WCES worker or carer—

(a) despite section 63, the Regulator may determine not to convene a Panel in relation to that conduct; and

(b) despite section 69(1), a Panel convened to hear a matter relating to that conduct may determine not to deal with the matter; and

(c) despite section 57, the Regulator may determine not to commence or proceed with an investigation of the conduct.

(2) In making a determination under subsection (1), the Regulator or Panel must have regard to the desirability of avoiding unnecessary duplication in the investigation of, and proceedings relating to, the conduct of a WCES worker or carer.

(3) The Regulator or Panel must not make a determination under subsection (1) if making the determination would prejudice the operation of the worker and carer exclusion scheme.

63 Referral on completion of investigation

After an investigation under section 57 into the conduct of a WCES worker or carer is completed, the Regulator may—

(a) determine that the matter does not require referral to a Panel on the basis that—

(i) the investigation does not indicate that the WCES worker or carer is engaging, or has engaged in, conduct that may lead to exclusion; or

(ii) the Regulator is satisfied that the matter is being adequately dealt with by another body; or

(iii) the Regulator is satisfied that the matter is more appropriately dealt with other than by a Panel; or

(b) refer the matter to a Panel for determination under section 79.

64 Notice of determination or referral

(1) The Regulator must, as soon as practicable after referring a matter relating to the conduct of a WCES worker or carer to a Panel under section 63(b), give notice in writing of the referral to the WCES worker or carer.

(2) The Regulator may give notice in writing of a referral under section 63(b) to any WCES service provider who is engaging or employing, or has at any time engaged or employed, the WCES worker or carer to provide a WCES service.

(3) If the Regulator gives notice under subsection (2), the notice must be given as soon as practicable after the Regulator makes the referral.

(4) A notice under subsection (1) or (2) must set out—

(a) details of the WCES worker or carer's conduct that is the subject of the referral; and

(b) the nature and purpose of the referral; and

(c) factors and information that the Panel may consider relevant when determining whether the WCES worker or carer is to be excluded under section 79.

(5) The Regulator must, as soon as practicable after determining under section 63(a) that a matter does not require referral to a Panel on the basis that the investigation does not indicate that the WCES worker or carer is engaging, or has engaged in, conduct that may lead to exclusion, give notice in writing of the determination to—

(b) any WCES service provider who is employing or engaging, or has at any time engaged or employed, the worker or carer to provide a WCES service.

(6) Subsection (5)(b) does not apply if the Regulator considers there are compelling reasons that justify not giving notice of the determination under that subsection to a WCES service provider.

65 Report of investigation

(1) After an investigation under section 57 into the conduct of a WCES worker or carer is completed, the Regulator must ensure that a report on the investigation is prepared that includes—

(a) the findings of the investigation; and

(b) the grounds for those findings.

(2) A report under subsection (1) may include information relating to any other report or investigation (whether carried out under this Part or not) into the WCES worker or carer or their conduct.

(3) If the Regulator refers the matter to a Panel under section 63(b), the Regulator must submit the report under subsection (1) to—

(a) that Panel; and

(b) the WCES worker or carer.

66 Existing report into conduct may replace investigation

(1) This section applies if the Regulator—

(a) makes a determination under section 55(4)(a) that the conduct of a WCES worker or carer must be investigated; and

(b) considers that a report on an investigation (however described) prepared by another regulatory entity or under Part 5A of the Child Wellbeing and Safety Act 2005 into the worker or carer or their conduct adequately considers all the information required to be considered for the investigation; and

(c) considers that no further investigation into the worker or carer or their conduct is required to determine whether the worker or carer is engaging in, or has engaged in, conduct that may lead to exclusion.

(2) The Regulator is taken to have carried out an investigation into the conduct of the WCES worker or carer under section 57(1).

(3) If the Regulator refers the matter to a Panel for determination under section 63(b), the Regulator may refer the report referred to in subsection (1)(b) to that Panel.

Division 5—Panels

67 Panel candidates

(1) The Governor in Council, on the recommendation of the Minister, may by Order appoint as many persons to be Panel candidates for the purposes of this Division as the Governor in Council considers necessary.

(2) The Minister must not recommend the appointment of a person as a Panel candidate unless the person has qualifications and experience in law, social work, psychology, the behaviour of criminal offenders or any other discipline that is considered likely to be relevant to the functions of a Panel.

(3) A Panel candidate—

(a) may at any time resign as a Panel candidate by writing to the Minister; and

(b) may at any time be removed as a Panel candidate by Order of the Governor in Council on the recommendation of the Minister.

68 Regulator to convene Panels

(1) If the Regulator refers a matter for determination by a Panel under section 55(4)(b) or 63(b), the Regulator must—

(a) as soon as practicable, convene a Panel to determine whether the relevant WCES worker or carer is to be excluded from providing a WCES service or a specified class of WCES services; and

(b) appoint a Panel candidate with legal qualifications and experience as the Chairperson of the Panel; and

(c) appoint at least 2 further Panel candidates as Panel members.

(2) The Regulator may appoint a Panel member to be acting Chairperson of the Panel.

(3) The acting Chairperson of the Panel must act as Chairperson—

(a) during any period when the office of the Chairperson is vacant; or

(b) during any period when the Chairperson is absent; or

(c) if the Chairperson is unable, for any other reason—

(i) to attend hearings of the Panel; or

(ii) to perform the duties of the Chairperson.

(4) A decision of a Panel must be reached by—

(a) a majority of votes of the Panel's members; or

(b) if there is no majority under paragraph (a) because the Panel has an even number of members, a casting vote of the Panel's Chairperson.

(5) If, after a Panel is convened under subsection (1), a Panel member is unable to attend hearings of the Panel, the functions of the Panel under this Division are to be carried out by the remaining members of the Panel.

(6) The Regulator must provide any administrative assistance reasonably required by a Panel.

(7) A Panel member—

(a) is entitled to the remuneration and allowances determined from time to time by Order of the Governor in Council on the recommendation of the Minister; and

(b) may at any time resign from the Panel by writing to the Minister.

69 Functions of Panel

(1) The functions of a Panel convened under section 68 are—

(a) to hear the matter referred to it by the Regulator under section 55(4)(b) or 63(b); and

(b) to determine whether or not the relevant WCES worker or carer is to be excluded from providing a WCES service or a specified class of WCES services.

(2) In carrying out these functions, a Panel may consider the following—

(a) any report or information submitted to the Panel under section 55, 65 or 66;

(b) any information obtained by the Panel during its consideration of the matter;

(c) any other information relevant to the matter that the Regulator submits to the Panel.

(3) Despite subsection (1), a Panel convened to hear a matter may at any time suspend, discontinue or determine not to commence the hearing of the matter if the Panel considers that—

(a) it is appropriate to do so having regard to the desirability of avoiding unnecessary duplication in the investigation of, and proceedings relating to, the conduct of a WCES worker or carer; and

(b) the suspension, discontinuation or determination would not prejudice the operation of the worker and carer exclusion scheme.

70 Interim exclusions

(1) The Regulator may issue an interim exclusion to a WCES worker or carer if—

(a) the Regulator reasonably believes that the worker or carer poses an unjustifiable risk of harm to WCES service users; and

(b) the Regulator reasonably believes that the interim exclusion is necessary to protect WCES service users before a Panel determines whether or not the worker or carer is to be excluded from providing a WCES service or a specified class of WCES services; and

(c) the Regulator has not referred the matter to a Panel.

(2) A Panel to which a matter is referred may issue an interim exclusion to the WCES worker or carer who is the subject of a matter referred to it under section 55(4)(b) or 63(b) if the Panel—

(a) reasonably believes that the worker or carer poses an unjustifiable risk of harm to WCES service users; and

(b) believes that the interim exclusion is necessary to protect WCES service users before the Panel determines whether or not the worker or carer is to be excluded from providing a WCES service or a specified class of WCES services; and

(c) has not determined the matter under section 79.

(3) An interim exclusion comes into force on the later of the following—

(a) the day on which notice of the exclusion is given under section 71(1);

(b) the day specified in the notice as the day on which the interim exclusion comes into operation.

(4) An interim exclusion issued under subsection (1) or (2) continues in force until—

(a) the interim exclusion is revoked under section 73; or

(b) a Panel determines under section 79 whether or not the WCES worker or carer to which the interim exclusion was issued is to be excluded from providing a WCES service or a specified class of WCES services.

71 Notice of interim exclusion

(1) If the Regulator or a Panel issues an interim exclusion to a WCES worker or carer, the Regulator or Panel must, as soon as practicable, give notice in writing to—

(b) any WCES service provider that is engaging or employing the WCES worker or carer to provide a WCES service; and

(c) any registered social services provider that is engaging or employing the WCES worker or carer.

(2) The Regulator or Panel may give notice in writing of the issue of the interim exclusion to—

(a) any WCES service provider who has at any time engaged or employed the WCES worker or carer to provide a WCES service; and

(b) any registered social services provider who has at any time engaged or employed the WCES worker or carer.

(a) state that the WCES worker or carer is excluded from providing WCES services; and

(b) specify the date on which the interim exclusion comes into force; and

(c) set out the grounds on which the Regulator or Panel made the decision to issue the interim exclusion; and

(d) state that the Regulator or Panel (as the case may be) must review the decision to issue the interim exclusion—

(i) on a day specified in the notice; and

(ii) at least every 30 days after the review required by subparagraph (i); and

(e) state that the WCES worker or carer may at any time make submissions on the interim exclusion to the Regulator or Panel (as the case may be); and

(f) state that the WCES worker or carer may apply to VCAT for review of the decision to make the interim exclusion.

72 Submissions concerning interim exclusions

If the Regulator or a Panel issues an interim exclusion to a WCES worker or carer, or reviews a decision to issue an interim exclusion under section 73, the worker or carer may at any time make a written submission concerning the interim exclusion to the Regulator or Panel.

73 Review of interim exclusion

(1) If the Regulator or a Panel issues an interim exclusion, the Regulator or Panel (as the case may be) must review the decision to issue that exclusion—

(a) on the day specified in the notice of the interim exclusion for the purposes of section 71(3)(d); and

(b) at least once every 30 days after the review under paragraph (a).

(2) When reviewing a decision to issue an interim exclusion, the Regulator or Panel—

(a) must consider any submission made under section 72 concerning the interim exclusion; and

(b) may consider any other information that the Regulator or Panel considers relevant.

(3) After reviewing a decision to issue an interim exclusion, the Regulator or Panel must—

(a) affirm the decision to issue the interim exclusion if—

(i) the Regulator or Panel reasonably believes that the WCES worker or carer poses an unjustifiable risk of harm to WCES users; and

(ii) the Regulator or Panel reasonably believes that the interim exclusion is necessary to protect WCES service users before the Panel determines the allegation; or

(b) revoke the interim exclusion.

74 Notice of review of interim exclusion

(1) After reviewing a decision to issue an interim exclusion under section 73, the Regulator or a Panel must, as soon as practicable, give notice of the review in writing to—

(b) any WCES service provider who is engaging or employing the WCES worker or carer to provide a WCES service.

(2) The Regulator or Panel may give notice in writing of the review to any WCES service provider who has at any time engaged or employed the WCES worker or carer to provide a WCES service.

(a) state whether the interim exclusion is affirmed or revoked; and

(b) if the interim exclusion is affirmed—

(i) set out the reasons and information on which the Regulator or Panel made the decision to affirm the interim exclusion; and

(ii) specify the date on which the Regulator or Panel will next review the decision to issue the interim exclusion; and

(iii) state that the WCES worker or carer may at any time make submissions on the interim exclusion to the Regulator or Panel; and

(c) if the interim exclusion is revoked, specify the date on which the revocation comes into effect.

75 Panel hearings

(1) Subject to this Act, a Panel may determine the procedure of its hearings.

(2) A Panel may conduct all or part of a hearing into a matter referred to it under section 55(4)(b) or 63(b) on the basis of documents without any physical appearance of the Regulator, the WCES worker or carer who is the subject of the matter or the worker or carer's representatives or witnesses if the Panel reasonably considers that this would not cause substantial prejudice to the worker or carer.

(3) At a hearing conducted by a Panel—

(a) the Panel must conduct the hearing with as little formality and technicality as the requirements of this Part and the proper consideration of the matter permit; and

(b) the Panel is not bound by rules of evidence but may inform itself in any way it thinks fit; and

(c) the Panel is bound by the rules of natural justice; and

(d) the WCES worker or carer who is the subject of the matter has the right to be present, to make submissions and to be legally represented; and

(e) the Regulator may present information to the Panel; and

(f) the Panel may examine evidence or a person present at the hearing.

(4) Despite subsection (3)(d), a Panel may conduct a hearing into a matter without the presence or submissions of the WCES worker or carer who is the subject of the matter if the worker or carer is given a reasonable opportunity to attend the hearing and make submissions.

(5) A hearing must be closed to the public unless the Panel orders that the hearing is to be open to the public.

(6) When considering whether to make an order under subsection (5), the Panel must take into account whether a closed hearing is necessary—

(a) to protect the safety or privacy of any person; or

(b) to promote the best interests of a child; or

(c) to avoid causing undue stress or embarrassment to a witness at the hearing; or

(d) to protect the fairness of the hearing; or

(e) in the public interest.

76 Panel may limit disclosure of information

(1) A Panel may determine that the following must not be published or broadcast—

(a) the identity of any person;

(b) any information or document that is likely to lead to the identification of any person.

(2) A Panel may, if it considers that it is in the interests of justice to do so, determine that the following must not be published or broadcast—

(a) the identity of—

(i) the WCES worker or carer who is the subject of the matter being heard by the Panel; or

(ii) a WCES service user; or

(iii) a child;

(b) any information or document that is likely to lead to the identification of a person specified in paragraph (a) before the final determination of the matter;

(c) any information or document considered at a hearing of the Panel.

77 Offence to contravene non-publication determination by Panel

A person must not publish or broadcast, or cause to be published or broadcast—

(a) any information or document in contravention of a determination by the Panel under section 76; or

(b) any report of a hearing of a Panel before the final determination of the matter to which the hearing relates.

Penalty: 100 penalty units, in the case of a body corporate;

50 penalty units, in any other case.

78 Notice of Panel hearing

(1) Before conducting any hearing into a matter referred to it under section 55(4)(b) or 63(b) (other than a hearing that the Panel is to conduct on the basis of documents only), the Panel must give notice of the hearing to the WCES worker or carer who is the subject of the matter.

(a) specify details of the matter referred to the Panel, including any information that suggests that the WCES worker or carer is engaging, or has engaged, in conduct that may lead to exclusion; and

(b) state the nature and purpose of the hearing; and

(c) specify the time, date and location of the hearing; and

(d) state that the worker or carer has the right to be present at, and make submissions to, the hearing; and

(e) state that the worker or carer has the right to be legally represented at the hearing; and

(f) state that the worker or carer has the right to be accompanied by a support person; and

(g) state that the hearing is closed to the public, unless the Panel makes an order under section 75(5); and

(h) set out the findings the Panel may make after conducting the hearing; and

(i) state that the worker or carer has the right to apply for a review of a decision made by the Panel; and

(j) be served on the worker or carer at least 28 days before the scheduled day of the hearing.

(3) Before conducting any hearing into a matter referred to it under section 55(4)(b) or 63(b) on the basis of documents only, the Panel must give notice to the WCES worker or carer who is the subject of the matter—

(a) that states the nature and purpose of the hearing; and

(b) that the matter is to be heard on the basis of documents only; and

(c) stating that the worker or carer has the right to make submissions to the hearing, including submissions relating to the manner in which the matter is to be heard.

Division 6—Panel determinations

79 Panel determinations

(1) After a Panel has conducted a hearing into a matter referred to it under section 55(4)(b) or 63(b), the Panel must determine either that—

(a) the person who is the subject of the matter is excluded from providing a WCES service or a specified class of WCES services; or

(b) that the person is not excluded from providing WCES services.

(2) The Panel must make a determination under subsection (1)(a) if the Panel—

(a) finds, on the balance of probabilities, that the person has engaged in conduct that may lead to exclusion (whether before, on or after the commencement of this Part); and

(b) is reasonably satisfied that the person poses an unjustifiable risk to—

(ii) any other person with the characteristics of a WCES service user.

(3) When considering whether or not a person poses an unjustifiable risk to any WCES service user or other person with the characteristics of a WCES service user, the Panel may take the following into account—

(a) the nature, gravity and circumstances of the conduct;

(b) the period of time that has passed since the person engaged in conduct that may lead to exclusion;

(c) the vulnerability of the WCES service user or other person at the time of that conduct;

(d) the person's relationship to the WCES service user or other person at the time of the conduct;

(e) whether the person had a position of authority in relation to the WCES service user or other person at the time of the conduct;

(f) the person's criminal, misconduct and disciplinary history, including whether there is a pattern of concerning behaviour;

(g) the person's behaviour since engaging in the conduct;

(h) any finding made in relation to the compliance of a WCES service provider that has employed or engaged the person with any standards relating to worker safety, including but not limited to standards relating to worker training and supervision;

(i) any finding made in relation to the person under this or another Act;

(j) any other relevant circumstances in respect of the person's conduct or other relevant history.

(4) A determination under subsection (1)(a) must specify the duration of the period for which the person is excluded from providing the WCES service or the specified class of WCES services (as appropriate).

80 Notice of determination

(1) If a Panel makes a determination in relation to a WCES worker or carer under section 79(1), the Panel must, as soon as practicable, give notice in writing to—

(b) any WCES service provider who is engaging or employing the WCES worker or carer to provide a WCES service; and

(c) the Regulator.

(2) The Panel may give notice in writing of the determination under section 79(1) to any WCES service provider who has at any time engaged or employed the WCES worker or carer to provide a WCES service.

(3) If a notice under subsection (1) is for a determination that the WCES worker or carer is excluded from providing a WCES service or a class of WCES services, the notice must—

(a) state that the worker or carer is excluded from providing that WCES service or class of WCES services (as appropriate); and

(b) specify the date on which the exclusion comes into force; and

(c) if the Panel determines a day on which the exclusion is to expire, that day; and

(d) state that the WCES worker or carer may apply to VCAT for review of the decision to exclude the worker or carer.

81 Effect of exclusion

If a Panel makes a determination under section 79(1)(a) to exclude a WCES worker or carer from providing a WCES service or a class of WCES services, that person must not provide that WCES service or class of WCES service (as appropriate) for the period specified in the determination.

Division 7—Exclusion under the Worker Screening Act 2020

82 Interim WWC exclusions and WWC exclusions

A WCES worker or carer who is given an interim WWC exclusion or a WWC exclusion, or whose WWC clearance is suspended under section 79 of the Worker Screening Act 2020, must not provide a WCES service that involves child‑related work within the meaning of that Act while the interim WWC exclusion, WWC exclusion or suspension is in force.

Division 8—WCES database

83 Regulator must maintain WCES database

(1) The Regulator must establish and maintain a database of exclusion decisions.

(2) If a Panel makes an exclusion decision, the Regulator must record the following in the WCES database—

(a) the name of the WCES worker or carer who is subject to the exclusion decision;

(b) details of the WCES services that the WCES worker or carer is excluded from providing;

(c) the period of the exclusion;

(d) details of the exclusion decision, including the provision under which the exclusion decision is made.

(3) Subject to this Part, the Regulator may—

(a) include on the WCES database any information that the Regulator considers appropriate; and

(b) maintain the WCES database in the manner and form that the Regulator considers appropriate.

84 WCES service provider must ask for database check for proposed WCES workers or carers

(1) Before employing or engaging a person as a WCES worker or carer, a WCES service provider must request the Regulator to disclose whether—

(a) the person is the subject of any investigation under this Part that has not been finally determined; and

(b) an exclusion decision is in force in relation to a person; and

(c) if an exclusion decision is in force, the WCES services the person is excluded from providing.

(2) The Regulator may provide any information recorded on the WCES database to a WCES service provider for the purposes of responding to a request under subsection (1).

85 WCES worker or carer must disclose details of employer to Regulator

(1) If a WCES worker or carer receives a notice under section 56, 64 or 71, the worker or carer must disclose the following to the Regulator—

(a) the name of any WCES service provider that is employing or engaging the worker or carer at the time of the notice;

(b) the name of any WCES service provider with which the worker or carer has a pending application for employment or engagement as a WCES worker or carer.

(2) The WCES worker or carer must make a disclosure under subsection (1)—

(a) as soon as practicable after receiving the notice under section 56, 64 or 71; or

(b) if the worker or carer applies for employment or engagement as a WCES worker or carer after receiving the notice, as soon as practicable after making the application.

86 Excluded WCES worker or carer must disclose updated personal information to Regulator

A person who is the subject of an exclusion decision that is in force must notify the Regulator, as soon as practicable, of any change to the person's name or place of residence.

87 Removal of exclusion from database on expiry

The Regulator must remove any information relating to a person's exclusion from providing WCES services from the WCES database if the period for which the person is excluded from providing those WCES service expires.

88 Removal of exclusion from database on application

(1) A person may apply to the Panel for the removal of any information relating to the person from the WCES database if the prescribed circumstances exist.

(2) An application under subsection (1) must be in the prescribed form, if any.

(3) If the Panel is reasonably satisfied that the prescribed circumstances exist, the Panel may require the Regulator to remove any information relating to the person from the WCES database.

Division 9—Offences

89 Offence to apply for employment as WCES worker or carer if subject to investigation, referral or exclusion decision

(1) A person must not knowingly or recklessly apply to a WCES service provider for employment or engagement providing a WCES service if—

(a) the person's conduct is being investigated, or a matter relating to the person's conduct is referred to a Panel, under this Part; and

(b) the investigation or referral relates to the same or a similar WCES service as the application; and

(c) the investigation or referral has not been finally determined under this Part; and

(d) the person has not disclosed details of the investigation or referral to the WCES service provider.

(2) A person must not knowingly or recklessly apply to a WCES service provider for employment or engagement providing a WCES service if the person is an excluded worker or carer in relation to that WCES service.

Penalty: 240 penalty units or imprisonment for 2 years or both.

90 Offence to provide WCES service while excluded

A person must not knowingly or recklessly provide a WCES service if the person is subject to an exclusion decision in relation to that WCES service.

Penalty: 240 penalty units or imprisonment for 2 years or both.

91 Offence to fail to notify employer of investigation or referral

(1) A person must within the prescribed time notify a WCES service provider by which the person is employed or engaged to provide a WCES service if the person receives a notice under section 56 or 64.

(2) If an exclusion decision is made in relation to a person, the person must within the prescribed time—

(a) notify a WCES service provider by which the person is employed or engaged as a WCES worker or carer that the person is subject to the exclusion decision; and

(b) disclose to the WCES service provider the period for which the person is excluded and any conditions of the exclusion decision.

92 Offence to employ or engage WCES worker or carer without database check

A WCES service provider must not knowingly employ or engage a person to provide a WCES service before receiving a database check requested from the Regulator under section 84(1) for that person.

93 Offence to employ or engage excluded person

(1) A WCES service provider must not knowingly employ or engage a person to provide a WCES service if that person is subject to an exclusion decision in relation to that WCES service.

(2) A WCES service provider must not knowingly continue to employ or engage a person to provide a WCES service if the service provider becomes aware that the person is subject to an exclusion decision in relation to that WCES service.

Division 10—Information gathering and use under worker and carer exclusion scheme

94 Notice to produce

(1) A Panel by written notice may require a person to produce a specified document or thing that the Panel reasonably considers necessary to perform functions or exercise powers under this Part.

See Division 2 of Part 6 for the powers of the Regulator and authorised officers and independent investigators to require documents to be produced.

(a) state that it is an offence to fail or refuse to comply with the notice without reasonable excuse; and

(b) state the maximum penalty for failing or refusing to comply with the notice; and

(c) set out examples of what may constitute a reasonable excuse for failing or refusing to comply with the notice; and

(d) any other information the Panel considers appropriate.

95 Offence to fail to comply with notice to produce

(1) A person to whom a notice to produce under section 94 is given must not refuse or fail to comply with the notice without a reasonable excuse.

Penalty: 300 penalty units, in the case of a body corporate;

60 penalty units, in any other case.

(2) It is a reasonable excuse for an individual to refuse or fail to comply with a notice to produce if—

(a) producing the document or thing specified in the notice would tend to incriminate the individual; or

(b) producing the document or thing would be a breach of legal professional privilege or client legal privilege.

(3) A document or thing produced as a result of a notice to produce is not admissible in evidence against the individual in any criminal proceeding.

96 Notice to attend

(1) A Panel by written notice may require a person to attend before the Panel for either or both of the following purposes—

(a) to produce any specified document or thing;

(b) to give information or evidence relating to an allegation of misconduct.

(a) state that it is an offence to fail or refuse to comply with the notice without reasonable excuse; and

(b) state the maximum penalty for failing or refusing to comply with the notice; and

(c) set out examples of what may constitute a reasonable excuse for failing or refusing to comply with the notice; and

(d) any other information the Panel considers appropriate.

97 Offence to fail to comply with notice to attend

(1) A person to whom a notice to attend under section 96 is given must not refuse or fail to comply with the notice without reasonable excuse.

Penalty: 300 penalty units, in the case of a body corporate;

60 penalty units, in any other case.

(2) It is a reasonable excuse for an individual to refuse or fail to comply with a notice to attend if—

(a) producing a document or thing specified in the notice would tend to incriminate the individual; or

(b) producing the document or thing would be a breach of legal professional privilege or client legal privilege.

(3) A document or thing produced as a result of a notice to attend is not admissible in evidence against the individual in any criminal proceeding.

98 Power to take evidence on oath or affirmation

(1) A Panel may require a person to give evidence or answer questions on oath or affirmation—

(a) if the person is attending a hearing conducted by a Panel under Division 5; or

(b) if the person is attending before the Panel for the purposes of producing any document or thing or giving information or evidence.

(2) The Panel may administer an oath or affirmation to a person for the purpose of subsection (1).

99 Powers relating to documents and things

(1) A Panel may do any of the following if a document or thing is produced under this Part to the Panel under this Act—

(a) examine or inspect the document or thing;

(b) retain the document or thing for any period reasonably necessary for the purposes in relation to which the document or thing was produced;

(c) make any copies of, or take any extracts from, the document or thing that are reasonably necessary for the purposes in relation to which the document or thing was produced;

(d) do any other thing that is reasonably necessary for the purpose of the Panel performing or exercising functions or powers under this Part.

(2) If a document or thing ceases to be reasonably necessary for the purposes in relation to which it was produced, the Panel must, at the request of any person who appears to be entitled to the document or thing, cause the document or thing to be delivered to the person.

S. 100 (Heading) amended by No. 9/2023 s. 239.

100 Impact of interview or hearing must be mitigated—WCES workers or carers

Before interviewing a WCES worker or carer, or requiring a WCES worker or carer to attend a hearing conducted by a Panel under this Part, the Regulator, a Panel, an authorised officer or an independent investigator must consider, and take all reasonable steps to mitigate, any negative effect that the interview or hearing may have on the worker or carer.

S. 100A inserted by No. 9/2023 s. 240.

100A Impact of interview or hearing must be mitigated—WCES service users

(1) Before interviewing a WCES service user or a person with the characteristics of a WCES service user, the Regulator, a Panel, an authorised officer or an independent investigator must consider, and take all reasonable steps to mitigate, any negative effect that the interview may have on the service user or person.

(2) Before requiring a WCES service user or a person with the characteristics of a WCES service user to attend a hearing conducted by a Panel under this Part, the Panel must consider, and take all reasonable steps to mitigate, any negative effect that the hearing may have on the service user or person.

S. 100B inserted by No. 9/2023 s. 240.

100B Mitigation of impact of interviews on children

(1) This section applies if the Regulator, a Panel, an authorised officer or an independent investigator interviews, or proposes to interview, a child that is a WCES service user or has the characteristics of a WCES service user.

(2) The Regulator, Panel, authorised officer or independent investigator may engage a person with appropriate qualifications, training or experience in interviewing child victims of abuse to conduct an interview on behalf of the Regulator, Panel, authorised officer or independent investigator.

(3) Before interviewing a child, the interviewer must consider, and take all reasonable steps to mitigate, any negative effect that the interview may have on the child.

(4) Without limiting subsection (3), the Regulator, Panel, authorised officer or independent investigator must consider whether the child's primary family carer (within the meaning of the Commission for Children and Young People Act 2012) should be present during the interview.

101 WCES service provider must provide reasonable assistance

The person in charge of a WCES service provider and every member of staff of the WCES service provider must provide the Regulator, a Panel, an authorised officer or an independent investigator with such reasonable assistance and access to records and employees as the Regulator, Panel, authorised officer or independent investigator requires in carrying out a function under this Part.

102 Regulator may disclose information to Panel or authorised officer or independent investigator

The Regulator may disclose any information that it keeps or obtains in the performance of its functions or the exercise of its powers under this or another Act (however obtained) to a Panel or an authorised officer or independent investigator to enable the Panel, authorised officer or independent investigator to perform any function or exercise any power under this Part.

Part 6—Investigation and monitoring

Division 1—Authorised officers and independent investigators

103 Appointment of authorised officers

S. 103(1) amended by No. 58/2025 s. 132(1).

(1) The Regulator by instrument may appoint a person employed under Part 3 of the Public Administration Act 2004 to be an authorised officer for the purposes of this Act or the Worker Screening Act 2020.

S. 103(2) amended by No. 58/2025 s. 132(1).

(2) The Regulator must not appoint a person to be an authorised officer under this section unless the Regulator is satisfied that the person is suitably qualified or trained to be an authorised officer for the purposes of this Act or the Worker Screening Act 2020.

(3) An appointment of a person to be an authorised officer may—

S. 103(3)(a) amended by No. 58/2025 s. 132(2).

(a) specify the functions, duties or powers under the Act to which it relates; and

(b) be made subject to any conditions or limitations that the Regulator considers appropriate.

104 Regulator may issue directions to authorised officers

S. 104(1) amended by No. 58/2025 s. 132(1).

(1) The Regulator may give a direction to an authorised officer in relation to the performance of the authorised officer's functions or duties or the exercise of the authorised officer's powers under this Act or the Worker Screening Act 2020.

(2) A direction given under subsection (1) may—

(a) be of a general nature; or

(b) relate to a specific matter or specified class of matter.

105 Identity cards for authorised officers and independent investigators

(1) The Regulator must issue an identity card to each authorised officer and independent investigator.

(2) An identity card issued under subsection (1) must—

(a) state that the holder is an authorised officer or independent investigator (as appropriate); and

(b) contain a photograph of the authorised officer or independent investigator; and

(c) contain the name and signature of the authorised officer or independent investigator; and

(d) contain the signature of the Regulator.

(3) If a person to whom an identity card has been issued ceases to be an authorised officer or independent investigator, the person must return the person's identity card to the Regulator as soon as practicable.

106 Requirement to produce identity card

(1) An authorised officer or independent investigator must produce their identity card for inspection—

(a) immediately before exercising a power of entry under Division 3; and

S. 106(1)(b) amended by No. 58/2025 s. 132(1).

(b) before exercising any other power under this Act or the Worker Screening Act 2020 if asked to do so.

(2) If it is not practicable to comply with subsection (1) before exercising the power, the authorised officer or independent investigator must produce the identity card for inspection at the first reasonable opportunity.

S. 106(3) amended by No. 58/2025 s. 132(1).

(3) An authorised officer or independent investigator must produce their identity card for inspection while exercising a power under this Act or the Worker Screening Act 2020 at a premises if asked to do so by the occupier or a resident.

(4) If an authorised officer or independent investigator does not comply with a request under subsection (3), the authorised officer or independent investigator must immediately cease exercising the power.

107 Complaints about authorised officers or independent investigators

(1) A person may complain to the Regulator about the exercise of a power by an authorised officer or independent investigator under this Act.

(2) A complaint under subsection (1) may be made—

(a) in writing; or

(b) in a form approved by the Regulator.

(3) The Regulator must—

(a) investigate any complaint made in accordance with subsection (2); and

(b) provide a written response to the complainant on the findings of the investigation.

Division 2—Powers to obtain information, etc.

108 Power to request information and documents

(1) The Regulator, an authorised officer or an independent investigator, by written notice, may request a person to provide information or documents that the Regulator, authorised officer or independent investigator reasonably believes is necessary for the purposes of—

(a) monitoring compliance with a provision of this Act or the regulations; or

(b) the worker and carer exclusion scheme.

(2) A person is authorised to provide the information requested under subsection (1).

See section 110.

(3) A person may refuse to provide the information requested under subsection (1).

(4) The Regulator, authorised officer or independent investigator, at the time of making a request of a person under subsection (1), must advise the person that the person may refuse to provide the information requested.

109 Power to obtain information, documents and evidence

(1) The Regulator, an authorised officer or an independent investigator may exercise a power under this section for the purposes of—

S. 109(1)(a) amended by No. 58/2025 s. 13.

(a) monitoring compliance with a provision of this Act or the regulations; or

(b) the worker and carer exclusion scheme.

(2) The Regulator, an authorised officer or an independent investigator, by written notice, may require a specified person—

(a) to provide to the Regulator, authorised officer or independent investigator, within the time and in the manner specified in the notice, any relevant information that is specified in the notice; or

(b) to produce to the Regulator, authorised officer or independent investigator, in accordance with the notice, any relevant document referred to in the notice; or

(c) to appear before the Regulator, authorised officer or independent investigator at a time and place specified in the notice to give any information or to produce any relevant document specified in the notice.

(3) The notice must specify the purpose under subsection (1) for which the notice is issued.

(4) The time for complying with the notice must not be less than 10 business days from the date the notice is issued.

(5) The Regulator, an authorised officer or an independent investigator, on the written application of the person specified in the notice, may do any of the following—

(a) extend the time for complying with the notice;

(b) amend or revoke any requirement specified in the notice.

(6) A person is authorised to provide the information requested under subsection (2).

See section 110.

(7) A person must not refuse or fail to comply with a notice under subsection (2) without reasonable excuse.

110 Protection of persons giving certain information

The giving of information that is authorised or required to be given under this Act—

(a) does not for any purpose constitute unprofessional conduct or a breach of professional ethics on the part of the person who gives it; or

(b) does not make the person who gives it subject to any liability in respect of it; or

(c) does not constitute a contravention of any other Act or law (including common law).

111 False or misleading information

(1) A person must not—

(a) give information that is false or misleading in a material particular; or

(b) make a statement that is false or misleading in a material particular; or

(c) produce a document that is false or misleading in a material particular; or

(d) make an entry in a document required to be kept under this Act or the regulations that is false or misleading—

to the Regulator, an authorised officer or an independent investigator without indicating the respect in which it is false or misleading and, if practicable, providing correct information.

(2) In a proceeding for an offence against subsection (1), it is a defence to the charge for the accused to prove that at the time at which the offence is alleged to have been committed, the accused believed on reasonable grounds that the information, statement, document or entry was true or was not misleading.

Division 3—Powers of entry

Subdivision 1—Entry without search warrant

112 Power to enter premises of registered social service providers—monitoring compliance

S. 112(1) amended by No. 9/2023 s. 241.

(1) For the purposes of monitoring compliance with a provision of this Act or investigating a possible contravention of this Act, an authorised officer may enter any premises (other than residential premises within the meaning of section 113) without a warrant if the authorised officer reasonably believes that the premises is owned or occupied by a registered social service provider.

(2) The power of entry under subsection (1) may be exercised—

(a) at any time that the registered social service provider is providing a social service; or

(b) at any time, if the authorised officer believes on reasonable grounds that the entry is necessary to eliminate or reduce an imminent risk of harm to a service user.

113 Power to enter residential premises with consent

(1) Subject to subsection (2), for the purposes of monitoring compliance with a provision of this Act or investigating a possible contravention of a provision of this Act, an authorised officer or independent investigator may enter any residential premises owned or occupied by a registered social service provider with the consent of the occupier.

S. 113(2) substituted by No. 9/2023 s. 242(1).

(2) An authorised officer or independent investigator must not under subsection (1) enter a part of residential premises that is used as a bedroom—

(a) in the case of a bedroom of a service user in residential premises occupied by a provider of a supported residential service or a prescribed residential disability service, unless—

(i) the authorised officer or independent investigator has the consent of the service user to do so; or

(ii) the authorised officer or independent investigator—

(A) considers the entry reasonably necessary for the purposes of monitoring compliance with a provision of this Act, or investigating a possible contravention of this Act, having regard to the matters specified in subsection (2A); and

(B) is unable to obtain the consent of the service user after taking all reasonable steps to do so; or

(b) in any other case, the authorised officer or independent investigator has the consent of the resident of the bedroom to do so.

S. 113(2A) inserted by No. 9/2023 s. 242(1).

(2A) The following matters are specified for the purposes of subsection (2)(a)(ii)(A)—

(a) whether entry to the bedroom is necessary to eliminate or reduce an immediate risk of harm to a service user;

(b) the time of the entry;

(c) whether the premises in which the bedroom is located are open to the public at the time of the entry;

(d) whether the purpose of the entry may be achieved by a less intrusive means;

(e) any other matter that the authorised officer or independent investigator reasonably considers appropriate.

S. 113(3) amended by No. 9/2023 s. 242(2)(a).

(3) Before attempting to enter a residential premises or a bedroom in a residential premises, an authorised officer or independent investigator must notify the occupier or the resident (as the case may be) of—

(a) the purpose of the entry; and

S. 113(3)(b) amended by No. 9/2023 s. 242(2)(b).

(b) the occupier's or resident's right to refuse entry to the authorised officer or independent investigator or to the exercise of any powers after entry; and

S. 113(3)(c) inserted by No. 9/2023 s. 242(2)(c).

(c) the power of the authorised officer or independent investigator to enter a bedroom under subsection (2)(a)(ii) without the consent of the resident.

(4) An authorised officer or independent investigator, in seeking to obtain the occupier's or resident's consent to the entry and inspection, may—

(a) enter land around the premises to the extent that it is reasonable to do so for the purpose of contacting the occupier or resident; or

(b) enter a part of the premises which the authorised officer or independent investigator considers can be entered by a member of the public for the purpose of contacting the occupier or resident.

(5) Consent to the entry and inspection of the residential premises or bedroom may be—

S. 113(5)(a) amended by No. 9/2023 s. 242(3)(a).

(a) for the purposes of subsection (2)(b), given by the resident's guardian or parent if the resident of the bedroom is unable to give consent; and

S. 113(5)(ab) inserted by No. 9/2023 s. 242(3)(b).

(ab) for the purposes of subsection (2)(a), given by the resident's guardian, parent or next of kin if the resident of the bedroom is unable to give consent; and

S. 113(5)(b) amended by No. 9/2023 s. 242(3)(c).

(b) limited to entry at a particular time; and

S. 113(5)(c) amended by No. 9/2023 s. 242(3)(d).

(c) except in the case of entry under subsection (2)(a)(ii), withdrawn by the occupier, resident or resident's parent or guardian at any time.

(6) If consent is withdrawn under subsection (5)(c), the authorised officer or independent investigator must immediately leave the residential premises or bedroom.

S. 113(7) inserted by No. 9/2023 s. 242(4).

(7) In this section—

residential premises means premises, or part of premises, occupied by a registered social service provider—

(a) that is used as the private residence of the social service provider or any person employed or engaged by the social service provider; or

(b) that is used as the bedroom of a social service user;

supported residential service means a supported residential service within the meaning given in section 214 that is registered under Part 3.

114 Power to enter premises of unregistered providers and WCES workers and carers with consent

(1) For the purposes of an investigation under this Act or the regulations, including ascertaining whether the occupier is required to comply with this Act or the regulations, an authorised officer or independent investigator may enter any premises if—

(a) the authorised officer or independent investigator believes on reasonable grounds that the occupier of the premises is operating a social service; and

(b) the occupier of the premises consents to the entry and inspection; and

(c) in the case of a bedroom in a residential premises, the resident of the bedroom consents to the entry and inspection.

(2) Subsection (1) does not apply in respect of premises occupied by a registered social service provider.

(3) An authorised officer or independent investigator, in seeking to obtain the occupier's or resident's consent to the entry and inspection, may—

(a) enter land around the premises to the extent that it is reasonable to do so for the purpose of contacting the occupier or resident; or

(b) enter a part of the premises which the authorised officer or independent investigator considers can be entered by a member of the public for the purpose of contacting the occupier or resident.

(4) Consent to the entry and inspection of the premises or bedroom may be—

(a) in the case of a bedroom, given by the resident's parent or guardian if the resident of the bedroom is unable to give consent; and

(b) limited to entry at a particular time; and

(c) withdrawn by the occupier, resident or resident's parent or guardian at any time.

(5) If consent is withdrawn under subsection (4)(c), the authorised officer must immediately leave the premises or bedroom.

Subdivision 2—Search warrants

115 Issue of search warrant

(1) An authorised officer or independent investigator may apply to a magistrate for the issue of a search warrant in relation to any premises if the authorised officer or independent investigator reasonably believes that—

(a) entry to the premises is necessary—

(i) to investigate a possible contravention of this Act or the regulations; or

(ii) to determine whether a person is providing a social service without being registered under Part 3 to provide that service; or

(b) there is, or may be within the next 72 hours, a particular document or thing at the premises that may afford evidence of an offence against this Act or the regulations.

(2) A magistrate may issue a search warrant if the magistrate is satisfied by evidence on oath or by affirmation or by affidavit that there are reasonable grounds for the authorised officer's or independent investigator's belief under subsection (1).

(3) The search warrant may authorise a named authorised officer or independent investigator, and any assistants the authorised officer or independent investigator considers necessary—

(a) to enter the premises or part of the premises named or described in the warrant; and

(b) to search for and seize the document or thing named or described in the warrant; and

(c) to seize any document or thing not named or described in the warrant if the authorised officer or independent investigator reasonably believes that the document or thing may afford evidence of the commission of an offence against this Act.

(4) In addition to any other requirement, the search warrant must state—

(a) the offence suspected; and

(b) the premises to be searched; and

(c) a description of the document or thing for which the search is to be made; and

(d) any conditions to which the warrant is subject; and

(e) whether entry is authorised to be made at any time or during specified hours; and

(f) that the warrant authorises entry on only one occasion; and

(g) a day, not later than 7 days after the warrant is issued, on which it ceases to have effect.

(5) Subject to subsection (7), a search warrant must be issued in accordance with the Magistrates' Court Act 1989 and in the form prescribed under that Act.

(6) The rules that apply to search warrants mentioned in the Magistrates' Court Act 1989 extend and apply to search warrants under this section.

(7) Despite section 78 of the Magistrates' Court Act 1989, a search warrant must not authorise an authorised officer or independent investigator to arrest a person.

Subdivision 3—Procedure for entry

116 Announcement before exercising power of entry

(1) Subject to subsection (2), before entering any premises in the exercise of a power conferred by this Act, an authorised officer or independent investigator must—

(a) announce that they are an authorised officer or independent investigator (as appropriate) who is authorised under this Act or by the warrant issued under this Act to enter the premises; and

(b) give any person in the premises a reasonable opportunity to allow entry to the premises.

(2) An authorised officer or independent investigator does not have to make an announcement or give reasonable opportunity for entry under subsection (1) if the authorised officer or independent investigator—

(a) considers that it is not practicable to do so; or

(b) believes on reasonable grounds that immediate entry to the premises is required to ensure—

(i) the health or safety of any person; or

(ii) the effective exercise of the powers of the authorised officer or independent investigator.

117 Copy of warrant to be given to occupier

If an occupier or apparent occupier is present at the premises when a search warrant is being executed, the authorised officer or independent investigator must give that person a copy of the execution copy of the warrant.

118 Notice if occupier not present

If an authorised officer or independent investigator executes a search warrant without the occupier being present, unless the premises are abandoned or vacant or public land, the authorised officer or independent investigator, on leaving the premises, must leave a notice setting out the following details—

(a) the time of entry;

(b) the purpose of entry;

(c) a description of all things done while on the premises;

(d) the time of departure;

(e) the procedure for contacting the authorised officer or independent investigator for further details of the entry.

Subdivision 4—Powers after entry

119 General powers of authorised officers

An authorised officer or independent investigator who enters any premises under the powers conferred by this Act may do any of the following—

(a) for the purpose of determining whether there has been a contravention of this Act or the regulations, inspect, examine, make enquiries or observe any activity at the premises;

(b) examine or inspect any document or thing at the premises;

(c) bring any equipment or materials to the premises that may be required;

(d) seize any document or thing at the premises if the authorised officer or independent investigator believes on reasonable grounds that—

(i) the seizure is required to determine whether there has been a contravention of this Act or the regulations; or

(ii) the seized document or thing may be used as evidence in a possible prosecution for a contravention of this Act or the regulations; or

(iii) the seizure is required to minimise a risk of harm to any person;

(e) seal a premises or thing;

(f) take a sample of, or from, any thing, at the premises for examination, analysis, measurement or testing;

(g) analyse, measure or test any thing at the premises with equipment brought to the premises or already at the premises;

(h) take any photographs or make any audio or visual recordings at the premises;

(i) make copies of, or take extracts from, any document kept at the premises;

(j) use or test any equipment at the premises;

(k) do any other thing that is reasonably necessary for the purpose of the authorised officer or independent investigator performing or exercising functions or powers under this Act or the regulations.

120 Persons assisting authorised officers or independent investigators

(1) For the purpose of exercising a power under this Act or the regulations, an authorised officer or independent investigator may seek the assistance of any person.

(2) A person who assists an authorised officer or independent investigator is not liable in any way for anything done under the instruction of the authorised officer or independent investigator.

(3) If an authorised officer or independent investigator uses the assistance of an interpreter—

(a) any enquiry or request made by the interpreter on the authorised officer's or independent investigator's behalf is taken to have been made by the authorised officer or independent investigator; and

(b) any answer given to the interpreter is taken to have been given to the authorised officer or independent investigator.

121 Police assistance

On the request of an authorised officer or independent investigator, a police officer may assist the authorised officer or independent investigator in the performance of the duties of the authorised officer or independent investigator.

122 Power to direct persons to produce documents, operate equipment or answer questions

(1) An authorised officer who enters any premises under section 112(1) may direct a person at the premises to do any of the following—

(a) produce a document or part of a document located at the premises that is in the person's possession or control;

(b) operate equipment to access information from that equipment;

(c) answer any questions put by the authorised officer.

(2) A person must not refuse or fail to comply with a direction under subsection (1) without reasonable excuse.

1. 30 penalty units, in the case of an individual;

120 penalty units, in the case of a body corporate.

(3) Before directing a person to produce a document or part of a document or to answer questions under subsection (1), an authorised officer must—

(a) warn the person that a refusal or failure to comply with the direction, without reasonable excuse, is an offence; and

(b) inform the person that they may refuse or fail to answer any question if answering the question would tend to incriminate them.

(4) A person is not liable to be prosecuted for an offence against subsection (2) if the authorised officer concerned failed to comply with subsection (3) and section 106.

123 Legal professional privilege and client legal privilege not affected

Nothing in this Act—

(a) entitles or requires an individual to disclose information that is the subject of legal professional privilege or client legal privilege; or

(b) affects the law or practice relating to legal professional privilege or client legal privilege.

124 Protection against self-incrimination

An individual may refuse or fail to provide information that the individual is required to do by or under this Act if giving the information would tend to incriminate the person.

125 Use or seizure of electronic equipment at premises

(1) If an authorised officer or independent investigator, during a search under this Part or in accordance with a warrant—

(a) finds a thing at the premises that is or includes a disc, tape or other device for the storage of information; and

(b) there is at the premises equipment that may be used with the disc, tape or other storage device; and

(c) the authorised officer or independent investigator believes on reasonable grounds that information stored in the disc, tape or other storage device may be relevant to determine whether this Act has been complied with—

the authorised officer or independent investigator may operate, or may require the occupier of the premises or an employee of the occupier to operate, the equipment to access the information.

(2) If the authorised officer or independent investigator believes on reasonable grounds that a disc, tape or other storage device at the premises contains, stores or is otherwise used in the transmission of information that is relevant to determine whether this Act has been complied with, the authorised officer or independent investigator may—

(a) put the information in a documentary form and seize the documents so produced; or

(b) copy the information to another disc, tape or other storage device and remove that disc, tape or storage device from the premises; or

(c) if it is not practicable to put the information in a documentary form or to copy the information, seize the disc, tape or other storage device and the equipment that enables the information to be accessed.

(3) An authorised officer or independent investigator must not operate or seize equipment for a purpose set out in this section unless the authorised officer or independent investigator believes on reasonable grounds that the operation can be carried out without damage to the equipment.

126 Power to secure electronic equipment

(1) If an authorised officer or independent investigator, during a search under this Part or in accordance with a warrant, believes on reasonable grounds that equipment referred to in section 125 may be destroyed, altered or otherwise interfered with if not secured, the authorised officer or independent investigator may secure the equipment for the purposes of obtaining expert assistance to operate it under section 125(1).

(2) Subject to subsections (3) and (5), the equipment may be secured for a period of no more than 24 hours.

(3) The occupier of the premises at which the equipment is secured under subsection (1) may consent in writing to the equipment being secured for a period longer than 24 hours.

(4) The authorised officer or independent investigator may apply to a magistrate for an extension of the period for which the equipment may be secured.

(5) A magistrate may extend the period for which the equipment may be secured if satisfied that it is necessary to do so to enable an expert to operate the equipment.

(6) An order under subsection (5) may be made more than once.

Division 4—Seized documents or things

127 Receipts for seized things

(1) If an authorised officer or independent investigator seizes a document or thing, or takes a sample of, or from, a thing at a premises under this Part, the authorised officer or independent investigator must give a receipt for the document, thing or sample to the occupier of the premises from which it was taken.

(2) The receipt must—

(a) identify the document or thing seized or sample taken; and

(b) state the reason why the document or thing was seized or the sample taken; and

(c) state the name of the authorised officer or independent investigator; and

(d) include the procedure for contacting the authorised officer or independent investigator.

(3) If for any reason it is not practicable for an authorised officer or independent investigator to comply with subsection (1), the authorised officer or independent investigator may—

(a) leave the receipt at the premises in a conspicuous position and in a reasonably secure way; or

(b) send the receipt to the occupier of the premises from which the document or thing was seized or the sample was taken.

128 Copies of seized documents

(1) If an authorised officer or independent investigator seizes a document at a premises under this Part and retains it, the authorised officer or independent investigator, within 21 days of the seizure, must give a certified copy of the document to the occupier of the premises from which it was taken.

(2) The certified copy is to be received in all courts and tribunals as evidence of equal validity to the original document.

129 Return of seized documents and things

(1) An authorised officer or independent investigator must take reasonable steps to return a document or thing seized under this Part if the reason for its seizure no longer exists.

(2) If the document or thing has not been returned within 6 months after it was seized, the authorised officer or independent investigator must take reasonable steps to return it unless—

(a) a proceeding for the purpose for which the document or thing was retained has commenced within that 6-month period and the proceeding (including any appeal) has not been completed; or

(b) the Magistrates' Court makes an order under section 130 extending the period the document or thing can be retained; or

(c) the document or thing is forfeited by its owner.

(3) This section does not apply to a document or thing seized under this Part that is forfeited under section 131.

130 Magistrates' Court may extend 6-month retention period

(1) An authorised officer or independent investigator may apply to the Magistrates' Court—

(a) within 6 months after seizing a document or thing under this Part; or

(b) if an extension has been granted under this section, before the end of the period of the extension—

for an extension of the period for which the authorised officer or independent investigator may retain the document or thing but so the total period of retention does not exceed 2 years.

(2) The Magistrates' Court may order the extension if satisfied that—

(a) it is in the interests of justice; and

(b) the total period of retention does not exceed 2 years; and

(c) retention of the document or thing is necessary for the purposes of an investigation or for use as evidence in a proceeding under this Act.

(3) At least 7 days before the hearing of an application under this section, notice of the application must be given to the owner of the document or thing described in the application*.*

131 Forfeiture, destruction and disposal of seized documents and things

(1) A document or thing seized and retained under this Part is forfeited to the authorised officer or independent investigator who seized it if the authorised officer or independent investigator—

(a) determines it is necessary to retain the document or thing to prevent—

(i) a risk of harm to any person; or

(ii) the commission of an offence against this Act or the regulations; or

(b) cannot find its owner despite making reasonable enquiries; or

(c) cannot return it to the owner despite making reasonable efforts to do so.

(2) Subject to subsection (4), if an authorised officer or independent investigator decides that a document or thing is forfeited under subsection (1)(a), the authorised officer or independent investigator must notify the owner of the document or thing in writing of—

(a) the forfeiture; and

(b) the owner's right to seek a review of the authorised officer's or independent investigator's decision under Subdivision 2 of Division 3 of Part 10.

(3) An authorised officer or independent investigator may cause a forfeited document or thing to be destroyed or otherwise disposed of.

(4) If an authorised officer or independent investigator reasonably believes that a document or thing forfeited under subsection (1)(a) poses a risk of imminent harm to any person, the authorised officer or independent investigator may cause the document or thing to be destroyed or otherwise disposed of—

(a) without delay; and

(b) without prior notice to the owner.

Division 5—Offences relating to obstruction of authorised officers and independent investigators

132 Offence to impersonate

A person who is not an authorised officer or independent investigator must not impersonate, or in any other way purport to be, an authorised officer or independent investigator.

133 Offence to hinder or obstruct

(1) A person must not, without reasonable excuse, hinder or obstruct, or instruct another person to hinder or obstruct—

(a) an authorised officer or independent investigator who is exercising or attempting to exercise a power under this Act or the regulations; or

(b) a person assisting an authorised officer or independent investigator who is exercising or attempting to exercise a power under this Act or the regulations.

Section 297 provides that this section is a civil penalty provision. The penalty for contravention of this civil penalty provision is set out in the table in section 297.

(2) If an authorised officer or independent investigator considers that a person is hindering or obstructing an exercise or attempted exercise of power under this Act or the regulations, the authorised officer or independent investigator must warn the person—

(a) of the offence in subsection (1); and

(b) that the authorised officer or independent investigator considers that the person's conduct is a hindrance or an obstruction.

134 Offence to intimidate, threaten or assault

(1) A person must not assault, directly or indirectly intimidate or threaten, or attempt to assault, intimidate or threaten—

(a) an authorised officer or independent investigator who is exercising or attempting to exercise a power under this Act or the regulations; or

(b) a person assisting an authorised officer or independent investigator who is exercising or attempting to exercise a power under this Act or the regulations.

Penalty: 2 years imprisonment or 240 penalty units or both, in the case of an individual;

(2) An offence under subsection (1) is an indictable offence.

This offence may be heard and determined summarily (see section 28 of the Criminal Procedure Act 2009).

Division 6—Registration offences

135 Offence relating to unregistered social service providers

(1) A person must not provide a social service, or engage another to provide a social service on its behalf, unless the person is registered under Part 3 to provide that social service.

Section 297 provides that this section is a civil penalty provision. The penalty for contravention of this civil penalty provision is set out in the table in section 297.

(2) Subsection (1) does not apply to a person who is employed or engaged by a registered social service provider to provide a social service on behalf of the registered social service provider.

(3) A person who is not registered under Part 3 to provide a social service must not purport to be registered in respect of that service.

Penalty: 600 penalty units, in the case of an individual;

3000 penalty units, in the case of a body corporate.

136 Offences relating to conditions of registration

(1) A registered social service provider must not fail to comply with the conditions of registration without reasonable excuse.

Section 297 provides that this section is a civil penalty provision. The penalty for contravention of this civil penalty provision is set out in the table in section 297.

(2) A registered social service provider must not fail to comply with the administrative and reporting conditions of registration without reasonable excuse.

Part 7—Enforcement

Division 1—Improvement notices and prohibition notices

Subdivision 1—Improvement notices

137 What is an improvement notice?

An improvement notice requires a registered social service provider to remedy—

(a) a contravention of the conditions of registration; or

(b) a contravention of the Social Services Standards; or

(c) a contravention or likely contravention of a provision of this Act or the regulations.

138 Regulator or authorised officer may issue improvement notice

(1) The Regulator or an authorised officer may issue an improvement notice to a registered social service provider if the Regulator or the authorised officer reasonably believes that the provider—

(a) has contravened or is in contravention of—

(b) is likely to contravene a provision of this Act or the regulations.

(2) An improvement notice issued under this section may require a registered social service provider to—

(a) cause a copy of the notice to be displayed—

(i) in a conspicuous place, whether online or at a premises occupied by the registered social service provider; and

(ii) in a manner that invites public attention; and

(b) give a copy of the notice to any person or class of person; and

(c) take any action that the Regulator or the authorised officer reasonably considers necessary to remedy the contravention or likely contravention, or the matters or activities that are causing the contravention or likely contravention.

139 Form of improvement notice

An improvement notice must—

(a) state the Regulator's or the authorised officer's reasons for issuing the improvement notice; and

(b) specify the condition of registration, Social Services Standard or provision of this Act or the regulations that the Regulator or the authorised officer considers has been or is likely to be contravened; and

(c) specify the actions or measures that the registered social service provider is required to take and the date by which the actions or measures must be completed; and

(d) set out the penalty for contravening the improvement notice; and

(e) state how the registered social service provider may seek a review of the decision to issue the improvement notice; and

(f) specify any other prescribed details.

140 Amendment and withdrawal of improvement notice

(1) The Regulator or an authorised officer, by written notice to the registered social service provider, may amend an improvement notice to—

(a) extend the period during which the registered social service provider must comply with the improvement notice, if the Regulator or the authorised officer is satisfied that the circumstances require an extension; and

(b) amend or revoke any requirement of the improvement notice.

(2) The Regulator or an authorised officer, if satisfied that an improvement notice has been complied with, must withdraw the notice.

141 Continuing effect of improvement notice

(1) An improvement notice that specifies a time by which, or period within which, the improvement notice must be complied with continues to have effect until the improvement notice is complied with even though the time has passed or the period has expired.

(2) An improvement notice that does not specify a time by which, or period within which, the improvement notice must be complied with continues to have effect until the improvement notice is complied with.

(3) This section does not apply to the extent that any requirement under an improvement notice is revoked.

(4) Nothing in this section affects the powers of the Regulator with respect to the enforcement of an improvement notice.

Subdivision 2—Prohibition notices and directions

142 What is a prohibition notice?

A prohibition notice prohibits a registered social service provider from carrying on an activity specified in the notice.

143 Regulator or authorised officer may issue prohibition notice

The Regulator or an authorised officer may issue a prohibition notice to a registered social service provider if the Regulator or the authorised officer reasonably believes that—

(a) the provider is contravening—

(iii) a provision of this Act or the regulations; and

(b) the continuing contravention poses a serious risk to the health or safety of a person.

144 Form of prohibition notice

A prohibition notice must—

(a) state the Regulator's or the authorised officer's reasons for issuing the prohibition notice; and

(b) specify the condition of registration, Social Services Standard or provision of this Act or the regulations that the Regulator or the authorised officer considers is being contravened; and

(c) specify the activity that is prohibited until a certification under section 147 is given; and

(d) specify the day on which the prohibition notice takes effect; and

(e) set out the penalty for contravening the prohibition notice; and

(f) state how the registered social service provider may seek a review of the decision to issue the prohibition notice; and

(g) specify any other prescribed details.