Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:11:p1
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 11 (pt 1/2)
Character Range: 41132–44126

11  Composition of the audit team

     (1) Subject to (2), a certification or recertification audit shall be conducted by an audit team consisting of at least two auditors.
            Note: An auditor includes an auditor‑in‑training.

     (1A) Provisional audits, mid‑term audits and verification audits shall be conducted by an audit team consisting of at least one auditor.
         Note: Each audit team, with the exception of an audit team for a verification audit, needs to include an audit team leader (see subsection 11(5)).

     (2) The Commissioner may on request or own motion provide one‑off special approval for an audit team for a particular audit to consist of one auditor if the Commissioner, is satisfied that there are exceptional circumstances, and issues a notice to that effect, to the approved quality auditor.

     (3) An approved quality auditor should request a special approval from the Commission in writing, providing details for why the special approval is sought, no later than ten working days prior to the planned date of the stage two audit.

     (3A) Except as otherwise provided in this instrument and in accordance with the required minimum numbers of auditors, the approved quality auditor may determine the responsibilities of auditors within the audit team for an audit, including the number of auditors that attend the inspection and interviews. Those responsibilities, and that number, shall be in accordance with proportionality.
             Note: This instrument contains requirements regarding the roles of members of the audit team including audit team leaders, auditors‑in‑training, auditors with technical expertise, and consumer technical experts.

     (4) Wherever possible the composition of the audit team shall reflect the characteristics of the supports provided (or intended to be provided) and the participants receiving (or intended to receive) the supports, such as:

        (a) nature of the disability;
        (b) cultural background; or
        (c) other diversity factors.

     (5) Each audit team shall include an audit team leader who satisfies the requirements for an audit team leader as described in sections 30 and 31 of this instrument. However, an audit team for a verification audit need not have an audit team leader.

     (6) The composition of the audit team shall satisfy the minimum requirements for each service type within the scope of audit.

     (7) Where an audit requires particular technical expertise the audit team shall include an auditor with the required technical expertise, or a technical expert in the relevant field.

     (8) Technical experts shall have recognised qualifications and experience in the field or services area to be audited.

     (9) For the purposes of (8), a person must be at least a registered nurse with current Australian Health Practitioners Regulation Agency registration, in order to be a technical expert in relation to a clinical matter.
Note: When undertaking a