What is an NDIS Audit?

NDIS Audits play an important role in helping to ensure the quality and integrity of all NDIS operations. In short, they play a vital role in ensuring that supports and services are delivered safely, fairly and consistently to all NDIS participants.

Being a serious matter, audits can prove confronting for providers, and it can be difficult to know what to expect. Here, we answer some of the most pressing questions surrounding NDIS Audits, and provide a simple NDIS Audit Checklist to help give you the best chance of passing your audit. Let’s start at the top.

What is an NDIS Audit?

All NDIS providers must undertake an audit when applying for, or renewing, a registration with the NDIS commission. Audits are carried out by Approved Quality Auditors, who assess the provider against the relevant components of the NDIS Practice Standards and Quality Indicators, based on the services and supports their provider delivers.

As a provider, it is your responsibility to engage an independent, Approved Quality Auditor, and it is the responsibility of the auditor to submit the outcome of the audit to the NDIS Commission, once complete.

Along with the size and scope of your NDIS business, the types of services provided by you are taken into consideration by the auditor during the audit process. There are two NDIS Audit categories — NDIS Verification Audits and NDIS Certification Audits.

Verification Audits are required for providers delivering low-risk supports, including sole proprietors and smaller NDIS businesses, and must be undertaken every three years. These audits are generally performed off-site and are less expensive, due to their lower risk category.

Certification Audits are required for providers delivering more complex, or higher-risk supports. These audits are undertaken on-site and are often divided into two phases being Stage 1 and Stage 2.

Stage 1 Includes the document review phase where the auditor will examine all relevant documentation.

Stage 2 is often an on-site assessment phase, which involves the examination of service delivery locations, and the interviewing of staff and participants.

What are the possible outcomes of an NDIS Audit?

If, as a provider, you satisfy the audit process, you can continue to provide services within the disability sector. If you don’t pass the audit, you’ll still have the opportunity to rectify any issues, and will likely be asked to prepare a Corrective Action Plan in order to do so. In the condition you’re unable to do this, or if your auditor advises against approval, your NDIS registration will be affected — the auditor will discuss a correction plan with you in this instance.

NDIS Certification Audit Checklist

Before undertaking your NDIS Audit, we recommend taking a look at our handy NDIS Audit checklist. These four tips will help ensure that you satisfy the audit process, and can continue to deliver the highest quality care to participants.

1. Have everything organised — Having all necessary documentation and evidence regarding your NDIS business ready and organised may seem a big ask, but it’s your best bet to ensure a smooth audit process. Therefore, it’s imperative that you’ve created NDIS policies and procedures that align with NDIS Practice Standards, and have client and employee records, and documentation regarding qualifications and experience, readily available.
2. Ensure quality management — Ensuring the quality and safety of supports and services is the prime concern of NDIS audits. Therefore, it’s vital that your business has quality assurance systems firmly in place. Although you will be given time to rectify any non-conformities in this area, ensuring that all is in order before the audit will save you the need to undertake time-consuming rectifications.
3. Ensure clear communication — The NDIS Practice Standards place a large emphasis on communication, particularly when it comes to ensuring that participants clearly understand their rights and responsibilities. Auditors will therefore check that you clearly communicate your business’ complaints and incident management processes and procedures.
4. Undertake risk assessments — As part of their business undertakings, NDIS providers are required to assess risks surrounding:

• participants, employees and members of the community
• injury, mistreatment and neglect
• support continuity
• security of information

As such, a Risk Register, identifying and evaluating potential risks, along with actions taken to minimise said risks, should be maintained by your business at all times.

Healthcare Consulting — your choice for quality NDIS Registration Audit Support

Hopefully, this guide has helped shed some light on what is involved in an NDIS Audit. At Healthcare Consulting, we understand that navigating NDIS Audits can be difficult. As such, we offer trusted external support through the entire process to ensure you have a successful audit.

As a leading provider of NDIS consulting services, including provider registration support, we deliver professional advice and documents tailored to your business’ size, scope and service delivery risk, and can help you find the ideal auditor for your business. We’ve helped countless businesses with a range of common NDIS provider challenges. Ready to learn more about how we can help you? Get in touch with our expert team today!