Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:14:p1
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 14 (pt 1/4)
Character Range: 45047–48022

14  Stage One Audits

    (1) Subject to (2), a stage one audit is an off‑site audit that shall incorporate a review of:

       (a) the self‑assessment responses completed by the NDIS provider as part of the registration application, or registration renewal process  and associated documents submitted by the NDIS provider, available through the NDIS provider's application record accessed through the Commission's system.

       (b) the prior NDIS provider certification or verification outcome, corrective actions and audit report, if applicable; and

       (c) any additional requirements raised by the Commission.

            Note: The purpose of this review is to allow the approved quality auditor to collect sufficient verifiable information to contribute to stage two of the NDIS provider certification or verification process.
    (2) A stage one audit may be conducted on‑site where:

       (a) the audit is for the purpose of certification or recertification; and

       (b) the NDIS provider has given the approved quality auditor prior written agreement to the audit being conducted on‑site.

    (3) Stage two audits should commence within three months of the completion of the stage one audit.

    (4) Prior to undertaking a stage two audit for NDIS provider certification purposes,  the approved quality auditor shall:

       (a) where an instance of non‑conformity has been found, or the audit team suspects an instance is likely to be found ‑  supply the NDIS provider with the findings of the stage one audit at least two weeks before the commencement date of stage two audit;

       (b) where no instances of non‑conformity are identified or suspected ‑ supply the NDIS provider with the findings of the stage one audit a minimum of one (1) week before the commencement of the stage two audit.

    (5) The findings referred to in (4) shall:

       (a) state whether the range of documents and information supplied displayed sufficient content to meet the requirements of the relevant modules (or parts) of the NDIS Practice Standards; and

       (b) clearly identify the NDIS provider's registration class(es)/groups that will be included in the audit, key personnel, and number of participants, and propose how key personnel and participants are best involved in the audit.

            Note For verification audits the audit findings shall be reported in line with the requirements of subsection 16(6).

    (6) If the audit team determines that a NDIS provider is unlikely to be suitably prepared for their stage two audit, the audit team leader or approved quality auditor shall inform the NDIS provider and also inform the Commission using the Commission's system that the 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