Our Compliance and Enforcement policy sets out how we will secure compliance with and enforce the law. The relevant law includes the National Disability Insurance Scheme Act 2013 and NDIS Rules.
The policy informs participants, providers, our staff, and the public about how the NDIS Commission may use its compliance and enforcement powers and the key reasons behind its approaches. It covers:
- our regulatory approaches and how we encourage and direct compliance
- the principles we apply to our compliance and enforcement decision making
- the levers, tools and powers we use to secure compliance and enforce the law and the factors we consider in using them.
Principles for compliance and enforcement actions
The Compliance and Enforcement policy explains the principles we apply to all our compliance and enforcement actions. Those principles are:
- we take a human-rights approach
- our actions will be intelligence led and risk-based, and proportionate to the risk
- we are fair, transparent, and accountable
- we use all our regulatory levers and tools.
Compliance and enforcement tools
Compliance and enforcement tools are the powers the NDIS Commission uses when a provider or worker may not be or isn’t following the law. They’re also described in the Compliance and Enforcement policy.
Compliance and enforcement tools include actions, penalties and sanctions, that come from the NDIS Commission directly or from a court ruling. They are taken in respect of or issued to providers or workers and include:
- asking them to take steps to fix a problem
- giving a warning
- fining a provider or worker, which can be a significant fine in the most serious cases
- requiring a change in work practices and proof of the changes made
- asking or requiring a provider or worker to give us information as part of an investigation into their supports, services or business practices
- temporarily or permanently banning a provider or worker from delivering supports or specified activities
- changing the registration conditions or cancelling the registration of a provider that is registered with the NDIS Commission.
Publishing our enforcement outcomes
When the NDIS Commission takes the enforcement actions outlined in the Compliance and Enforcement policy, it is recorded in Part 2 of the NDIS Provider Register.