How to Register and pass the NDIS Audit
Updated October 2020
The NDIS Quality and Safeguards Commission has been in operation for over 2 years now. The Commission is a body that manages registration, renewal and quality standards. It has changed the way service providers are audited and accredited.
What does this mean for providers?
The NDIS Commission is now operational in all states except WA. If you are a provider wanting to become NDIS registered, you need to apply for registration through the NDIS Commission. Follow our 5 Steps to Registration to find out how.
WA will transition to the NDIS Commission on 1 December 2020. Existing NDIS providers in WA will need to renew, which is treated as an application. If you’re a provider in WA, check out our guide to registration or guide to transitioning.
Audit
To apply for or renew with the NDIS Commission, all providers undergo an audit. An independent approved quality auditor carries out the audit. The auditor assesses your organisation against the NDIS Practice Standards that are relevant to the services and supports you deliver. Auditors also undertake their activities in a way that takes your organisation’s size, scope, and service delivery risk into consideration.
The auditor will work with you to help you understand the findings of your audit. You have a chance to answer any questions before it is completed. The auditor will then submit their findings to the NDIS Commission.
What is the difference between certification and certification?
There are two types of quality audits, verification and certification.
Usually, service providers who administer lower risk registration groups are eligible for the verification audit.
Providers delivering more complex or higher risk supports must undergo a certification audit against the core module of the NDIS Practice Standards.
If you are applying to deliver the most complex supports, you must complete the core module and any other supplementary module relevant to the type of support you deliver. Providers delivering Specialist Disability Accommodation (SDA) are the exception to this. They only need to complete the relevant supplementary module. There is also a modified audit for providers delivering Early Intervention Supports for Early Childhood (ECEI) only.
Certification auditing costs are generally higher than verification. Certification audits require at least two auditors, and verification at least one.
Certification
✓ Stage 1 Audit - Offsite inspection of documents
✓ Stage 2 Audit - Onsite assessment and interviews of staff and participants
In certification audits, the auditor visits you to check if your systems meet the NDIS Practice Standards. They will view practices, records and speak with staff and participants to help assess your systems. The auditor will want to see that you are implementing your policies and processes.
For individuals and small business delivering low-risk services and supports there is more flexibility with certification audits. You can find out more in our Blog about the changes from June 2019.
Midterm Audit for certain providers
Providers who qualify for a certification audit will undertake a mid-term audit. This will occur no later than 18 months after the beginning of their period of registration.
Please note this does not apply to:
providers registered for only for SDA
providers who an individual or partnership and registered only for ECEI
providers who are a body corporate and all of the provider’s registration classes require an assessment by verification.
Verification
Providers whose registration groups fall into the lower risk categories undergo a verification audit. Many of these providers are already subject to professional regulation as a requirement of doing business such as Australian Health Practitioner Regulation Agency (AHPRA).
During your initial registration or renewal process providers must show evidence of:
relevant qualifications;
expertise and experience;
incident management processes/policies
complaints management processes/policies
risk management processes/policies.
Verification
✓ Stage 1 Audit - Offsite inspection of documents
Service providers only administering low risk supports have a streamlined audit process. This requires a desktop review of their policies and processes for each profession outlined in the Verification Module.
Are you just getting started with your NDIS registration or renewal? Check out our NDIS registration starter pack Centro ESSENTIALS. It includes the policies, processes and related documents you need for verification and certification audits.