Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:36:p2
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 36 (pt 2/8)
Character Range: 91023–93972

operational management);

                 any standard for which a previous assessment by an approved quality auditor identified a need for the provider to implement a corrective action plan;

                 any standard specified in relation to the audit, for the purposes of this paragraph, by the Commissioner in a written notice given to the provider.

       (c) If the surveillance(monitoring) audit does not meet all the requirements of mid‑term audits as set out in subsections 13B(3) to (5) then a mid‑term audit will need to be conducted which meets all such requirements.

       (d) If the surveillance(monitoring) audit meets the requirements as set out in subsections 13B(3) to (5), then the registered NDIS provider which was the subject of the audit will not be required to undergo a further mid‑term audit during its current registration period.

Annex A – Code of Conduct for Approved Quality Auditors (normative)
All approved quality auditor personnel (including auditors) shall:

    • act professionally and ethically, and report findings in an accurate, consistent and unbiased manner and in accordance with the requirements of this Scheme and NDIS Practice Standards;
    • adhere to the requirements of the Privacy Act 1988 (Cth), the Act and instruments, Competition and Consumer Act 2010 (Cth), Work Health and Safety Act 2011 (Cth) or equivalent Work Health & Safety legislation in the jurisdiction of the NDIS provider, and all other relevant legislation or regulations where applicable;
    • not promote or represent any business interests or any entity with which they have an interest or may have an interest while conducting audits;
    • not accept any inducement, commission or gift or any other benefit from any interested party whilst engaged to provide any auditing services to the provider;
    • not communicate false, erroneous or misleading information that may compromise the integrity of any audit;
    • not act in any way that would prejudice the reputation of the Commission or the approved quality auditor;
    • cooperate fully with any inquiry in the event of a complaint about their performance as an auditor or any alleged breach of this code;
    • accept that providers have the freedom to select and change their approved quality auditor and not to place any undue influence on providers when they are making a decision in this respect;
    • refrain from making any comments on any particular auditors or approved quality auditor;
    • respect participants' rights during any interaction especially when assessing vulnerable populations.

All auditors shall (also):

    • strive to increase the competence and prestige of auditors by continuing to develop their own auditing skills;
    • not misrepresent their own or any other individual's qualifications, competence or experience nor undertake auditing work beyond the scope of their own qualifications knowledge and expertise;
    •