Document ID: chunk:federal_register_of_legislation:F2023C00396:reg:16:p1
Version: federal_register_of_legislation:F2023C00396
Segment Type: reg
Provision Reference: reg 16 (pt 1/2)
Character Range: 54532–57634

16  Audit Reporting

     (1) At the completion of the stage two audit conducted for the purpose of NDIS provider certification, the audit team shall prepare a written report using the Commission's template and by completing all required fields in the relevant NDIS provider record in the Commission's system.

     (2) The certification audit report shall include the following matters:

       (a) whether the NDIS provider will be recommended for full certification or if conditions should be applied to the registration requiring a stage two audit for any registration group where service delivery could not be assessed;

       (b) an executive summary;

       (c) demonstrate corroboration of evidence triangulated wherever possible from a variety of reliable sources;

       (d) evidence from documented records and interviews with stakeholders that can be substantiated information provided with relevant and quantified examples;

       (e) demonstrate the relationship between actual and expected outcomes;

       (f) report attainment ratings against each outcome and indicator as determined at the time of the audit;

       (g) ensure finding statements and corrective action requests are completed and appropriate to the level of attainment and risk determined;

       (h) identify opportunities for improvement; and

       (i) certification recommendations against each outcome within the applicable NDIS Practice Standards.

     (3) The approved quality auditor can only recommend NDIS provider certification or verification where a NDIS provider has demonstrated that all criteria in the relevant NDIS Practice Standards are being met at the level of 'Conformity' (except in the circumstances described in 16(4) of this instrument), as described in Annex B, clause B.12.

     (4) Certification or verification may be recommended where minor non conformities have been identified but the NDIS Provider has demonstrated to the approved quality auditor evidence of an acceptable corrective plan, prior to the recommendation being made.

            Note:  Timeframes for addressing non‑conformities are specified at Annex C.

     (5) A rating of '0 – Major Non‑Conformity' shall preclude a certification.

     (6) At the completion of a verification audit, the approved quality auditor shall complete all required fields of the relevant provider record within the Commission's system.

     (7) In the event that a critical risk relating to criminal acts or child protection concerns is identified other than as part of a stage two audit, the audit team leader or the approved quality auditor shall notify the Commission and any relevant authorities (such as the police) of the risk immediately.

     (8) In the event that a critical risk not covered by (7) is identified other than as part of a stage two audit, the audit team leader or the approved quality auditor shall notify the Commission of the risk within 24 hours.

     (9) Reporting to the Commission should be made through the Commission's system where possible.

     (10) If internet is not available, the approved