6 mins read
How do you prepare for an audit and where do you to start?
With the recent changes recommended to be added to the NDIS Program, many businesses that are currently operating as unregistered NDIS providers will likely need to be registered in the coming months. A key requirement to becoming a registered NDIS Provider is to be audited against the NDIS Practice Standards, now is the time to prepare for and book in your audit.
Navigating the NDIS audit process can be overwhelming. Many providers don’t know where to begin, who to trust for the audit, or how to ensure they pass on the first try. This guide aims to demystify the process, offering actionable advice to help you on your way to certification.
Background
Considering the recent recommendations from the NDIS Provider and Worker Registration Taskforce, it is imperative for all providers delivering high-risk support and services in high-risk settings – including Supported Independent Living (SIL), home and living arrangements, and group homes – to be registered within the next 12 months under the current registration model. These recommendations aim to enhance the safety and quality of care provided to participants, ensuring that all high-risk services meet stringent standards.
Upcoming changes for providers stemming from the Disability Royal Commission
The Disability Royal Commission’s 222 recommendations, most of which have been accepted or accepted in principle by the Australian Government, will bring significant changes for both providers and people with disability, and are intended to usher in a new era of service quality and safety standards that require heightened accountability and transparency.
Recommendations include:
- Establishing a new National Disability Commission as an independent statutory authority.
- Creating a unified framework and national principles for supported decision- making.
- Implementing significant reforms in mainstream systems to eliminate barriers faced by people with disabilities in accessing inclusive education, open employment, and accessible, safe, and appropriate housing.
With a sharper focus on transparency, quality, and safety- alongside reassessing the allocation of NDIS funding – standing out as a reputable provider is essential.
As a starting point, all NDIS services providers must be registered.
What registration means for NDIS service providers
As the Australian Government are still considering their responses to the Disability Royal Commission’s final report, recommended changes impacting already registered NDIS service providers are evolving.
To apply for or renew registration with the NDIS Commission, all providers must undergo an audit to demonstrate their compliance with the NDIS Practice Standards. This process ensures that the services provided meet the necessary quality and safety requirements.
Types of NDIS audits for service providers
There are two main types of NDIS audits – verification audits and certification audits. As part of the certification audit process is a mid-term audit. This is required for providers delivering higher-risk and more complex supports and must commence no later than 18 months after the beginning of the registration period.
The NDIS Commission advises service providers of the type of audit needed based on registration group(s). This is determined by the scope and complexity of the services provided.
Registration groups are outlined in the resource NDIS Commission: Understanding what is involved in an audit[i] alongside the Practice Standards that a services provider will be audited against.
The Intertek SAI Global NDIS team can help NDIS service providers prepare the right documentation.
A mid-term audit is required for providers delivering higher-risk and more complex supports. It must commence no later than 18 months after the beginning of the registration period and includes an assessment of governance and operational management, previously identified corrective actions, and any additional standards specified by the Commissioner.
Getting Started
Common Challenges During a NDIS Audit
1. Not Knowing Where to Start
With numerous standards and requirements to meet, it’s easy to feel overwhelmed. The key is to start early and to create a clear checklist of all the documentation and processes that will need review.
2. Booking in an Audit
The wide-spread media coverage of the Disability Royal Commission makes it essential that a service provider partners with the right organisation for an audit. Picking a date that gives plenty of time to meet the registration needs but also gives time to prepare is essential. Once a date is booked in, the focus can shift to getting ready for it.
Best Practice for NDIS Audit Preparation
An audit date is booked in – now is the time to prepare for the audit. This is also an opportunity to review your business and see where you can make improvements.
1. Conduct an Internal Pre-Audit
Before your official audit, conduct an internal review of your processes and documentation. This internal audit should closely mimic the official one, helping you identify any gaps or areas for improvement. Intertek SAI Global can guide you through this when you
2. Engage with Employees and Stakeholders
Ensure everyone in your organisation understands the importance of the audit and their role in it. Regular training and updates will keep everyone informed and prepared, reducing last-minute surprises.
3. Maintain Clear and Organised Documentation
Proper documentation is crucial for a successful audit. Keep all records well-organised and easily accessible. This includes client files, staff training records, and any other pertinent information that demonstrates your compliance with NDIS standards.
Getting the most out of your audit
View the audit as an opportunity for continuous improvement. Use the feedback from your audit to make changes to your services and operations that will enhance the service offering to your customers. This proactive approach not only helps with future audits but also enhances the quality of care you provide.
Key Tip
Preparing for a NDIS audit doesn’t have to be stressful. Good preparation can reduce the likelihood of non-conformities being raised at the time of audit, which can reduce the cost of the audit process. By starting early, booking in your audit, following best practices and preparing well, you can ensure a smooth and successful audit process.
You can read more about our NDIS audit services and download helpful tools here
Reference
[i] NDIS Commission: Understanding what is involved in an audit