Compliance with any Commonwealth, State or Territory law (including history of non-compliance)

Your response should include details about your systems and processes to:

• identify the significant laws and statutory schemes that apply to you (e.g., local fire safety requirements for buildings comprising an approved residential care home)

• maintain compliance (e.g., scheduling safety checks)

• identify if non-compliance has occurred (e.g., reviews to identify if scheduled safety checks have been completed)

• manage any non-compliance (e.g., seeking professional advice either internally or externally)

You may also include attachments to support your response (e.g., policies that identify contacts and escalation points for compliance issues or evidence of having a lawyer on retainer).

If you need to explain your non-compliance with any Commonwealth, State or Territory law where you operate, your explanation should include:

• who made the finding that you were non-compliant (e.g., ASIC)

• the nature of the non-compliance (i.e., what law you did not comply with)

• the circumstances surrounding the non-compliance

• any enforcement action taken against you due to the non-compliance

• actions taken by you to resolve the non-compliance and implement improvements

• the processes you have in place to monitor and ensure ongoing compliance with your legal obligations.

You may also include attachments to support your response (e.g., a notice confirming that you did not comply with the law).

Banning orders and NDIS banning orders 

If you need to explain a banning order or NDIS banning order, your explanation should include:

• when the order was made

• the period of effect of the order (including if it is indefinite) 

• what the order applies to (e.g., only specified NDIS activities) 

• the reasons for the order (e.g., explanation of the incident(s))

• relevant legislative references (e.g., to the National Disability Insurance Scheme Act 2013)

• any other relevant information.

If the banning order or NDIS banning order is no longer in force, also provide detail on: 

• when this occurred

• the reasons why it is no longer in force

• any relevant actions taken by you (e.g., to address previous non-compliance)

• any processes you have in place to monitor and ensure ongoing compliance with your legal obligations (e.g., to the National Disability Insurance Scheme Act 2013).

Suspension or revocation of NDIS registration other than at your request

If you need to explain a suspension or revocation of your registration as a NDIS provider, your explanation should include:

• the date of effect of the suspension or revocation

• the period of effect

• the reasons for the suspension or revocation (e.g., explanation of the incident(s))

• relevant legislative references (e.g., to the National Disability Insurance Scheme Act 2013)

• a description of the impact that the suspension or revocation had on care services provided by you, including matters related to continuity of care

• actions taken by you to resolve the non-compliance and implement improvements

• the processes you have in place to monitor and ensure ongoing compliance with your legal obligations

• any other relevant information.

You may also include attachments to support your response. For example:

• notice of enforcement action

• notice of NDIS banning order

• notice of suspension or revocation of NDIS registration  

• notice of relating to the removal of a suspension or revocation of NDIS registration  

• reports relating to the delivery of care

• documents identifying services delivered, period of delivery, number of people care was delivered to, etc.

There is no need to attach documents issued by us (e.g., audit reports).