Guidelines for requests for
First Tier Review
Who are these guidelines for?
These guidelines are for approved providers seeking a review by a regulatory authority (a first tier
review) of a service’s quality rating levels.
What is the relevant law?
Part 5 of the Education and Care Services National Law (National Law) sets out how education and care
services under the National Quality Framework (NQF) will be assessed and rated against the National
Quality Standard (NQS).
State and territory regulatory authorities carry out the assessment against the NQS. If the approved
provider disagrees with the ratings, they may apply under section 141, to the regulatory authority for a
review (‘first tier review’). The procedures for first tier reviews are set out in sections 141 to 143 of the
National Law and regulation 68 of the Education and Care Services National Regulations (National
Regulations).
How do I request a first tier review?
An approved provider must request a first tier review within 14 calendar days of receiving notice
of the service’s rating levels from the regulatory authority (section 141(3)).
There is no application fee for a first tier review.
Approved providers should make their request directly to the regulatory authority using form SA11
Application for Review of Ratings by Regulatory Authority (Service Rating). This form can be found on the
ACECQA website.
An application must:

be in writing

set out the grounds on which the review is sought

include the name of the education and care service

include the service approval number

include the name and contact details of the contact person for the application

set out the quality areas to which the grounds for review relate.
When can I request a first tier review?
An approved provider may only request a first tier review if the provider has received notice of
the service’s rating levels from the regulatory authority. You must request a review within 14
calendar days of receiving the notice (section 141(3)).
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When do the 14 days start and end?
If you received the notice of your rating levels by email, then you have 14 days from the day the
email was sent. If you received the notice by post, you will be deemed to have received it in the
time in which ordinary post would be delivered.
If the fourteenth day falls on a day that the regulatory authority is not open, you have until the
first business day the regulatory authority reopens to lodge an application.
If you email an application for first tier review or apply online, the regulatory authority is
deemed to have received the application the day the email was sent or the online application
was lodged. If you post your application, you should allow enough time for delivery. If in doubt,
keep evidence of postage, such as a receipt for registered post.
What can be reviewed?
Approved providers may seek review of the rating levels for one or more elements, standards,
quality areas and/or the overall rating for the service.
On what grounds can I request a review?
The National Law and Regulations do not specify particular grounds for first tier review.
However, before requesting a review, you should consider if it is the right avenue for you.
Sometimes approved providers will have concerns that are better handled through, for example, the
regulatory authority’s complaints process, or through seeking a reassessment of a service’s ratings,
rather than a review.
Appropriate grounds for first tier review would include (but are not limited to) a situation where you:

disagree with a rating based on the evidence described in the final report

have additional background information about the evidence described in the final report

believe the authorised officer(s) did not take into account all of the relevant evidence available
at the time

believe the service was not given adequate opportunity to demonstrate how it meets an
element or standard.
Less appropriate grounds for first tier review would be matters that do not challenge the service’s rating.
For example, feedback about an authorised officer might be more appropriately managed through the
regulatory authority’s complaints process.
At first tier review, can the regulatory authority take into account changes I have made at my
service since my ratings assessment?
A first tier review is a review of the initial ‘point-­­in-­­time’ assessment of the service against the NQS. It is
not a reassessment of the service. The regulatory authority can take into account new information
during a first tier review, but any information must relate to the facts at the point in time when the
assessment was conducted (including the period between the draft and final report). Any changes made
at the service since the ratings assessment, which might improve the service’s rating levels, cannot be
taken into account at first tier review.
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If changes have been made at the service since the ratings assessment, which might improve the
service’s rating levels, you should not apply for a first tier review. Instead, you should consider whether
to apply for a reassessment and re-­­rating under section 139 of the National Law. During a reassessment
and re-­­rating, the regulatory authority can take into account changes made since the original ratings
assessment.
What evidence should I provide?
When making an application for first tier review, you will need to provide evidence to support your
claims. You will need to consider what evidence about the service is available to support the grounds on
which you are seeking review. Evidence can come in different forms and could include documents,
reports, photographs, declarations and other records. Only provide evidence that is legible and relevant
to the grounds on which you are seeking review. That is, you should only provide evidence which
supports your claims.
Evidence must relate to facts that existed at the point in time when the assessment was conducted
(including the period between the draft and final report).
It is important that you identify which pieces of evidence relate to the quality area(s),
standard(s) and element(s) for which you are seeking review.
Before submitting your application, consider organising your evidence into a table like the one
below and attaching it to your application:
Quality Area – 1
Element/standard
number
Statement
Evidence
Attachment
e.g. Element 1.2.1
Include a brief statement about
how the service met the
element/standard (or in the case
of Exceeding NQS, how it
exceeded the standard)
Describe the
evidence
supporting the
statement
If evidence is
attached, number
the attachments and
reference the
number here
You do not need a lawyer to make an application for first tier review. If you need assistance making an
application, or have questions about what information or evidence may be useful, contact your
regulatory authority.
Who conducts the first tier review?
Regulatory authorities will determine who is involved in the first tier review. For example, the regulatory
authority may appoint an individual officer or a panel to both conduct the review and decide the rating
levels for the service. Alternatively, the regulatory authority may decide that an individual officer or a
panel will conduct the review and provide recommendations to a delegated officer, who will then make
the final decision.
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Importantly, any person(s) conducting the review must not have been involved in the original
assessment or rating of the service for which the review relates (section 142(1)). While the reviewing
officer will most likely be from the same department, where possible it is advisable that the reviewing
officer not be from the same team. Those involved in the assessment and rating of the service would
include the authorised officer(s) who conducted the assessment and the delegate who determined or
approved the final rating.
What is the process for first tier review?
Approved providers will:
a. submit an application for review of ratings by regulatory authority (form SA11) by email,
mail, fax or through the NQA ITS portal
b. attach appropriate evidence to support the claims in the application.
Regulatory authorities will:
a.
b.
c.
d.
receive request for review
register request for review on National Quality Agenda Information Technology System (NQA ITS)
acknowledge receipt of application
identify person(s) within regulatory authority involved in the original assessment and/or rating of
the education and care service to which the application relates to ensure they are not involved in
the first tier review
e. assign request for review to an individual officer, or a panel
f. validate and review application
g. seek further information if required, for example:

further information from the approved provider to support grounds for requesting
review, excluding information not available to original decision maker

notes, evidence or any other information considered in original determination of rating

comment from those involved in the assessment and rating of the service on the grounds
of the request for review of rating

any other relevant information from individual persons as required

if the review is sought on grounds relating to the process of assessment or the conduct
of the authorised officer, the person conducting the review may determine the need for,
and request, an additional assessment visit by another authorised officer (section 138).
h. assess application
the review entails determining what the correct rating levels should be for the service based on
the evidence before the person conducting the review. In some situations regulatory authorities
may decide to seek legal advice about a first tier review
i. individual officer or panel recommends the rating levels and/or the overall rating be confirmed
or amended
j. individual officer or panel prepares a statement of reason(s)
the individual or panel will record their recommendation for each relevant element, standard or
quality area including the information taken into account when making the recommendation
k. regulatory authority staff member delegated first tier review decision making powers confirms or
amends the rating levels for the service
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l.
notify relevant regulatory authority staff, including original decision maker, of the grounds for
review and outcome of the review
m. notify approved provider of the outcome of the review for each rating level, including reasons for
the decision.
ACECQA will not publish a service’s rating until the end of the 14 day period within which a provider can
submit a request for first tier review (section 141(3)). If a first tier review is sought, ACECQA will publish
the service’s rating after the end of the 14 day period within which the provider can apply for a review by
a Ratings Review Panel (a second tier review).
How long does the first tier review process take?
A regulatory authority must conduct a first tier review within 30 days of receiving the request (section
142(3)).
This period may be extended by up to 30 days if an approved provider and any person who was involved in
the assessment or rating of the service has been asked by the person conducting the review for further
information, or by agreement between the approved provider and the regulatory authority (section 142).
Once the regulatory authority has made its decision, it must notify the approved provider within 30 days
(section 143(2)).
Can a rating be lowered at first tier review?
The regulatory authority can confirm or amend rating levels (section 143(1)) at first tier review. A
service’s final ratings may be lower, the same or higher than the ratings originally awarded by the
regulatory authority.
Can I withdraw my request for first tier review?
You may withdraw your request for first tier review at any time before the regulatory authority makes a
decision on your application.
When will I be notified of the first tier review decision?
Regulatory authorities must give the approved provider written notice of the decision at first tier review
within 30 days after the decision is made, unless the approved provider agrees to an extension or
additional information is requested (section 143(2)). The notice must set out the rating levels and overall
rating for the service and the reason for the decision (section 143(3)).
Can I seek a review of the first tier review decision?
Yes. After receiving notice of the first tier review decision, approved providers may apply under
particular grounds to ACECQA for a second tier review. Second tier reviews are conducted by a Ratings
Review Panel (section 144) and can be sought after a first tier review has been completed.
Applications for second tier review must be made with 14 calendar days of receiving the notice of the
regulatory authority’s first tier review decision and involve an application fee.
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Further information about second tier reviews, as well as the assessment and ratings process, can
be found on the ACECQA website at http://www.acecqa.gov.au/educators-­­and-­­
providers1/review-­­of-­­ratings.
How can I get more information about first tier review?
You may contact your State or Territory regulatory authority for more information about first tier review
or if you require help with you application. Contact details for regulatory authorities can be found on the
ACECQA website at http://www.acecqa.gov.au/regulatory-­­authorities1/contact-­­your-­­regulatory-­­ authority
and on the SA11 application form.
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