Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:36:p1
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 36 (pt 1/8)
Character Range: 88249–91304

36  Transitional matters‑Surveillance (monitoring) and mid‑term audits

    (1) In this section:

         Amendments means the amendments made by the National Disability Insurance Scheme (Provider Registration and Practice Standards) Amendment (2019 Measures No. 1) Rules 2019 to the National Disability Insurance Scheme (Provider Registration and Practice Standards) Rules 2018 (the Rules).

         Rules means the National Disability Insurance Scheme (Provider Registration and Practice Standards) Rules 2018.

    (2) The amendments commence on 1 January 2020.

    (3) The amendments insert a new section 13B to the Rules which relates to audit requirements.  The new section 13B provides that it is a condition of their registration that registered NDIS providers must undergo a mid‑term audit if they are registered to provide a class of supports for which the assessment method is certification.

    (4) The transitional provisions in subsection 30(3) of the Rules (as to be inserted by the National Disability Insurance Scheme (Provider Registration and Practice Standards) Amendment (2019 Measures No. 1) Rules 2019) provide that the new section 13B amendments relating to mid‑term audits apply on and after 1 January 2020 in relation to all registered NDIS providers, whether they were registered before, on or after that date.

    (5) The previous version of these Guidelines specified that the audit program for registered NDIS providers which were required to undergo certification audits must include surveillance (monitoring) audits in the first and second calendar years following the registration decision, subject to certain exceptions. These requirements are removed from these Guidelines as of 1 January 2020.

    (6) Where a surveillance (monitoring) audit was conducted and completed for a registered NDIS provider before 1 January 2020, the following applies:

       (a) If the surveillance (monitoring) audit meets the requirements for mid‑term audits set out in section 13B of the Rules, then the Commissioner will accept that audit as being a mid‑term audit for the purposes of section 13B:

       (b) The relevant requirements of mid‑term audits are set out in subsections 13B(3) to (5) of the Rules as follows:

          (i) The audit was carried out by an approved quality auditor using certification; and

          (ii) The audit was carried out no later than 18 months after the beginning of the period for which the provider's registration is in force.

          (iii) The audit assessed, for each of the class of supports whether the provider has met, and is meeting, the following applicable standards for the class of supports:

                 the standards in Part 3 of Schedule 1 (those relating to provider governance and 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