Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:27:p1
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 27 (pt 1/3)
Character Range: 71967–75064

27  Provisional audits

    (1) An NDIS provider shall be subject to a provisional audit in circumstances where that provider:

        (a) has applied for registration that is subject to the certification assessment method; and

            Note: 'Certification' is defined in section 5 of the National Disability Scheme Insurance (Provider Registration and Practice Standards) Rules 2018 and the classes subject to certification are identified in section 20 or section 22 of those rules.

        (b) is a new provider that has developed systems and processes to deliver NDIS supports and services but has not as yet commenced service delivery.

    (2) A provisional audit shall consist of:

        (a) a stage one audit (off‑site); and

        (b) an initial stage two audit which has the following modifications to reflect that the provider has not yet commenced service delivery;

          (i) subsection 15(9) of this instrument does not apply to the audit; and

          (ii) evidentiary requirements in Annex B do not apply to the audit.

            Note: A provisional audit does not require witnessing (including interviews) because this audit occurs prior to the provider commencing the delivery of services.

     (2A) Despite subsection 27(2), the activities referred to in that subsection may be undertaken as a single on‑site audit.

    (3) The outcome of a provisional audit is a qualified certification decision.

    (4) If a provider that is subject to a qualified certification decision is subsequently registered by the Commissioner, then a further stage two audit (without the modifications specified in subsection 27(2) of this instrument) may be required once the provider has commenced service delivery.

            Note: The Commissioner may impose conditions to which the registration of a person as a registered NDIS provider is subject, see section 73G of the Act.

    (5) Generally, it would be appropriate for an audit for the purposes as described in subsection (4) to occur before the mid‑term audit.

    (6) Where the NDIS provider's systems are assessed as compliant, the process for advising the Commissioner is to use the Commission's system as for other audit outcomes.

    (7) After an audit under subsection (4) of this instrument, the approved quality auditor shall advise the Commissioner whether a full certification decision is appropriate, or if the approved quality auditor suggests the registration of the NDIS provider should continue to be subject to registration conditions relevant to the qualified certification decision.

     28  Approved Quality Auditor's Auditors and Personnel

    (1) All audit activities, whether performed by the approved quality auditor's auditors or personnel or outsourced, shall comply with the requirements of ISO/IEC 17065, including those requirements for identifying the top management having overall authority and responsibility for fulfilling all requirements of this Scheme.

    (2) The approved quality auditor shall conduct employment probity checks for all auditors prior to their participating