Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:14:p3
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 14 (pt 3/4)
Character Range: 50521–53634

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 prior to submitting to the Commission using the Commission's system within 24 hours; and
             Note: The Commission will acknowledge receipt and make recommendations about next steps ‑ see subsection 16(11).

       (d) ensure the NDIS provider receives a written copy of the audit findings at the closing meeting.

     (6) The approved quality auditor processes for the stage two audit meet the minimum requirements for sampling outlined in Annex B of this instrument, except where it is a provisional audit or where the provider is delivering one of the registered group/classes outlined in Annex D in which case no minimum sampling requirements apply.
Note: For eligible RAC providers for whom the Commissioner has issued an authorisation under subsection 5(3) of the 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 dealing with sampling 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.

     (7) The approved quality auditor shall have a documented process for the calculation of stage two audit duration.  This process shall be in accordance with proportionality and include as a minimum the following aspects (as applicable):

       (a) minimum audit duration of half a day (equating to 4 hours of work);

       (b) size and complexity of the service being audited including geographic spread between regional and outreach services from the primary service hub;

       (c) results of prior audits;

       (d) sampling methodology applied to scope of audit (where applicable)

       (e) approved quality auditor auditing practices;

       (f) use of technical experts; and

       (g) requirement that the audit duration comprises at least 80% of the estimated total audit time.

            Note: 'Audit time' is defined in terms which exclude time spent reporting to the Commission – see section 4.

     (8) The auditing process shall be respectful of participants and their family and minimise disruption to service delivery.

     (9) Auditors shall collect a range of audit evidence in relation to compliance with the applicable standards in the National Disability Scheme Insurance (Provider Registration and Practice Standards) Rules 2018, including:

       (a) information directly from participants;

       (b) information from family/friends/carer/nominees and/or independent advocates (with participant consent);

       (c) the documented support plan and evidence of the delivery of supports to execute the plan; and

       (d) all the supports delivered by the NDIS provider to the participant.