Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:34:p1
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 34 (pt 1/2)
Character Range: 82210–85364

34  Evaluation Processes

    (1) The approved quality auditor shall:

       (a) ensure all of their auditors and personnel, including consumer technical experts and technical experts, comply with the Code of Conduct as outlined in Annex A; and

       (b) ensure their auditors can demonstrate having undertaken continual professional development through regular participation in education and training relevant to the registration class(es)/group(s) they primarily audit.

    (2) The approved quality auditor shall have documented processes for the initial competence evaluation, and ongoing monitoring of competence and performance of all personnel involved in the management and performance of audits and other certification activities, applying the determined competence criteria.

    (3) The approved quality auditor shall demonstrate that its evaluation methods are effective:

       (a) the output from these processes shall be to identify personnel who have demonstrated the level of competence required for the different functions of the audit and certification process;

       (b) competence shall be demonstrated prior to the individual taking the responsibility for the performance of their activities within the approved quality auditor.

    (4) The approved quality auditor shall undertake annual performance reviews of all their auditors (including audit team leaders) which includes consideration of the most recent witnessed audit

            Note: A witnessed audit forms a part of the biennial performance review process required for each and every auditor of the approved quality auditor. If available, findings from a JAS‑ANZ witnessed audit performed within two years of the annual performance review may be used in lieu of the above.

    (5) At a witnessed audit the witnessing auditor shall:

       (a) have the experience of at least an audit team leader;

       (b) not be a member of the audit team subject to the witnessed audit,

       (c) not participate in the audit of the NDIS provider.

    (6) The witnessing auditor shall focus on the performance of the auditor being witnessed and shall make no judgment of the NDIS provider.

    (7) Witnessed audits may move to triennially where the following criteria are met:

       (a) the auditor has been employed by the approved quality auditor for a period of two years;

       (b) no complaints have been received that relate to the auditor's performance including outcomes of report reviews;

       (c) no non‑conformities to the Scheme have been identified during witnessed audits by either the approved quality auditor or the Commission; and

       (d) the auditor has undertaken a minimum of six audits within the previous twelve months and continues to participate in at least six audits per annum under this instrument.

    (8) The approved quality auditor shall ensure that auditors with technical expertise include within their continual professional development:

       (a) education covering all legislation and regulations relevant to the service setting; and

       (b) current management of commonly occurring clinical conditions relevant to