Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:14:p2
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 14 (pt 2/4)
Character Range: 47757–50781

stage two audit is likely to be delayed while the provider corrects the identified, or likely to be identified, non‑conformities.
Note: For eligible RAC providers for whom the Commissioner has issued an authorisation under subsection 5(3) of the National Disability Insurance Scheme (Provider Registration and Practice Standards) Rules 2018, the approved quality auditor is to undertake a modified NDIS RAC audit having regards to the matters applicable to a stage one audit set out in the Commissioner's approved "Modified NDIS audit pathway for residential aged care providers supporting NDIS participants" document as existing from time to time and published on the Commission website.

  15  Stage Two Audits

     (1) In conducting a stage two audit, the approved quality auditor shall evaluate the effectiveness and implementation of the NDIS provider's systems in addressing all relevant modules or parts of the NDIS Practice Standards.
Note: For eligible RAC providers for whom the Commissioner has issued an authorisation under subsection 5(3) of the National Disability Insurance Scheme (Provider Registration and Practice Standards) Rules 2018, the approved quality auditor is to undertake a modified NDIS RAC audit having regards to the matters applicable to a stage two audit set out in the Commissioner's approved "Modified NDIS audit pathway for residential aged care providers supporting NDIS participants" document as existing from time to time and published on the Commission website.

     (2) Prior to commencing the inspection and interviews, the approved quality auditor shall:

       (a) notify the Commission of the intended date of the audit using the Commission's system;

       (b) check the Commission's system for any relevant information;

       (c) ensure the provider has obtained prior informed consent from each participant selected to be part of the audit;

       (d) develop an audit plan in accordance with proportionality and incorporates information from section 14(4) and the requirements of Annex B (as applicable);

       (e) seek written agreement from the NDIS provider of the audit plan, and

       (f) keep a copy of the agreed audit plan.

     (5) During the stage two audit the audit team leader shall:

       (a) chair and maintain records of opening and closing meetings with the NDIS provider;

       (b) in the event that a critical risk relating to criminal acts or child protection concerns is identified:

           (i) immediately notify the approved quality auditor, the Commission and any relevant authorities (such as the police) of the risk; and

           (ii) cease the audit until the Commission notifies the approved qualified auditor that it may recommence;

       (c) in the event that a critical risk not covered by (b) is identified:

           (i) immediately notify the approved quality auditor of the risk; and

           (ii) document the critical risk, and mitigations taken to date and then seek sign off by the approved quality auditor