What is a mid-term certification audit and when is it due?
A provider registered through certification is audited again mid-term. The mid-term certification audit falls due within eighteen months, and it is assessed against the modules that apply to the supports the provider delivers by the method the registration rules prescribe.
Answered from the held text of NDIS Provider Registration Rules s13B. The clause behind it is cited below, and the requirement page carries the evidence an assessor asks for.
What the clause behind this answer says
s13B Mid-term certification audit within 18 months
A provider whose registration covers a class assessed by certification goes through a certification audit halfway through its registration period, run by an approved quality auditor, that starts within 18 months of the period beginning (or later if the Commissioner allows), covering the governance standards in Part 3 of the Core module, any standard that had required a corrective action plan, and any standard the Commissioner names; the report reaches the Commissioner as quickly as it can. It does not apply to early childhood providers who are individuals or partnerships, to SDA-only providers, or to transitioned providers.
Source: NDIS Provider Registration Rules on the compliance desk. Our statement of the clause, not the instrument verbatim.
s20-22 20 and 22 Be audited against the applicable modules by the prescribed method and keep complying
To be registered for a class of supports, the applicant is assessed by an approved quality auditor, by certification or verification as the s 20(3) table specifies, as meeting each applicable standard, plus Module 2A by certification where regulated restrictive practices are or may be used; to remain registered it keeps complying with those standards (s 20(1) and (2)). Individuals and partnerships providing early childhood supports are assessed against Core clause 7 and Module 3 (s 20(4) and (5)); Commonwealth, State, Territory and local government providers are certified against the whole Core module for any class (s 22). Certification satisfies a verification requirement (s 23), and auditors apply the quality indicators (s 24).
Source: NDIS Provider Registration Rules on the compliance desk. Our statement of the clause, not the instrument verbatim.
What evidence answers it
- Mid-term audit engagement letter and start date within 18 months of registration start
- Mid-term audit report and evidence it was given to the Commission
What assessors commonly find
- Mid-term audit booked too late to start within 18 months
- Previous corrective actions not re-tested
The reviewer opens with
Show me mid-term audit engagement letter and start date within 18 months of registration start, and tell me who owns it and when it was last reviewed.
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