NDIS Audit Preparation
In preparing for a 2024 NDIS Audit we have prepared a list of requirements you will need to have in place
N S W | V I C | W A | Q L D | N T | S A | A C T | T A S
NDIS Provider Audit Preparation 2024
What are NDIS
Verification Audits?
Verification Audits are conducted off-site. The auditors review policies and other organisational documentation, provide a report and then make their recommendation to the NDIS Commission.
NDIS registration groups for verification
• Accommodation/
tenancy assistance
• Assistance products for
personal care and safety
• Personal mobility equipment
• Assistance with travel/
transport arrangements
• Vehicle modifications
• Home modifications
• Assistive equipment
for recreation
• Vision equipment
• Community nursing care
• Innovative community participation
• Specialised hearing services
• Household tasks
• Interpreting and translating
• Hearing equipment
• Assistive products in
household tasks
• Communication and
information equipment
• Exercise physiology
and personal training
• Management of funding for supports in participant’s plans
• Therapeutic supports
• Specialised driver training
• Assistance animals
• Hearing services
• Customised prosthetics
What are NDIS
Certification Audits?
Certification Audits are conducted in two stages, and are a lot larger (and more expensive) than the Verification audit.
NDIS registration groups for Certification
• Assistance to access and maintain employment or higher education
• Assistance in coordinating or
managing life stages, transitions and
supports
• Assistance with daily personal activities
• Assistance with daily life tasks in a group of shared living arrangement
• Development of daily care and life skills
• Participation in community, social
and civic activities
• Specialised supported employment
• Group and centre-based activities
• High-intensity daily personal activities plus Module 1
• Specialist positive behaviour support
plus Module 2a
• Supporting people with restrictive
practices plus Module 2
• Early intervention supports for early
childhood (modified certification)
plus Module 3
• Specialist support coordination plus
module 4
• Specialised disability accommodation
(SDA) requires module 5 only
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What are Low and High Risk NDIS Supports?
Stage 1
Document review — the auditors will review your policies, and may ask for examples of how you’ve implemented your policies. You will receive a report at the end of Stage 1 that will identify any Areas of Concern, which the auditor will examine more closely in Stage 2.
Stage 2
This is an onsite visit from the auditors to review your documentation (again) and examine issues that were noted as Areas of Concern in Stage 1. They will also review staff files and participant files.
Interviews
Auditors interview staff and participants to confirm that policies are understood and put into practice. Participants’ involvement in the NDIS audits are on an ‘opt-out’ basis. You must ask your participants whether they want to be involved. If they don’t, always document the reason why. Document everything!
Audit Report
At the end of Stage 2, you will get a report. Non-conformances will be highlighted in the report. The auditors will require you to create a ‘Corrective Action Plan’ detailing how will you fix the problems identified.
TIP: For more detailed guidance about what evidence you will need to gather and how to prepare for your certification audit, download our ‘Working with the NDIS Practice Standards: Core Module Audit Guide’
Low Risk NDIS Supports
- Accommodation/Tenancy Assistance
- Assistive Products for Personal Care and Safety
- Personal Mobility Equipment
- Assistance with Travel/Transport Arrangements
- Vehicle Modifications
- Home Modification Design and Construction
- Assistive Equipment for Recreation
- Vision Equipment
- Community Nursing Care
- Innovative Community Participation
- Specialised Hearing Services
- Household Tasks
- Interpreting and Translation
- Hearing Equipment
- Assistive Products in Household Tasks
- Communication and Information Equipment
- Management of Funding for Supports — Plan Management
- Therapeutic Supports
- Specialised Driver Training
- Assistance Animals
- Hearing Services
- Custom Prostheses and Orthoses
- Exercise Physiology and Personal Well-being Activities
High Risk NDIS Supports
- Assistance to Access and Maintain Employment or Higher Education [Assist Access/Maintain Employ]
- High Intensity Daily Personal Activities
- Assistance in Coordinating or Managing Life Stages, Transitions and Supports [Life Stage, Transition]
- Daily Personal Activities
- Specialist Positive Behaviour Support
- Assistance with Daily Life Tasks in a Group or Shared Living Arrangement [Daily Tasks/Shared Living]
- Development of Daily Living and Life Skills [Development-Life Skills]
- Early Intervention Supports for Early Childhood
- Participation in Community, Social, and Civil Activities [Participate Community]
- Specialist Disability Accommodation [Specialist Accom]
- Support Coordination
- Specialised Supported Employment
- Group and Centre-Based Activities [Group/Centre Activities]
How much does an NDIS audit cost?
The Approved Quality Auditor you choose will provide a quote for the audit based on the ‘Scope of Audit’ letter you received from the NDIS Commission in response to your application/renewal application.
Prices vary depending on the registration groups (services and supports) delivered, the number of staff, number of participants you currently provide services to, and the number of sites from which you deliver services. Prices also vary between auditing bodies. So it’s worth obtaining a few quotes.
What happens if I fail the audit?
NDIS audits are not pass or fail situations. ‘Major non-conformances’ must be fixed within three months of your audit. Any ‘Minor non-conformances’ must be addressed within 12 months of your audit.
You’ll be asked to formulate a Corrective Action Plan to rectify non-conformances. If you’re unable to address the issues, or the auditors’ recommendation to the NDIS Commission is not to approve certification or verification, the auditors will discuss this with you and the implications for your registration.
Can we get help with NDIS audits?
Yes you can. NDIS providers are permitted to receive help in preparing for and conducting their audits. It’s great to have an expert on side. Professional preparation means less stress and fewer non-conformances.
We’ve helped large and small organisations. We can develop the required and approved NDIS Policies and Procedures, including Forms and Registers that are state-specific and compliant with National NDIS Commission standards.
Your auditors will help a lot, but there’s a limit to what they can do. They cannot advise the clients they audit. It would be a conflict of interest. We have close relationships with auditing companies and they trust us to help providers solve problems revealed at audit. We would rather help you prepare than repair.
NDIS Audited Modules
The NDIS has broken down the areas to be audited into Modules. We have listed these modules below so you can see what you will be expected to comply with at the time of audit. These are also the areas we provide documents for, to help you pass your next audit.
NDIS Practice Standards Updated for 2024
Core Module | Division 1
RIGHTS & RESPONSIBILITIES HANDBOOK
-
This section requires a document to be produced which addresses each of the subheadings listed below. The document should outline the rights and responsibilities of the workers when providing support to participants, including sections as:
- Person-Centred Supports
- Individual Values and Beliefs
- Privacy and Dignity
- Independence and Informed Choice
- Violence, Abuse, Neglect, Exploitation and Discrimination
Core Module | Division 2
GOVERNANCE AND OPERATIONAL MANAGEMENT
Governance and Operational Management
- Governance and Operational Management Policy & Procedure
- Constitution or Organisation Chart
- Schedule of Compliance Requirements
- Business and/or Strategic Plan
- Minutes of Director/s Meetings
- Risk Management Policy and Procedure
- Risk Register
- Risk Matrix
- Infection Prevention and Control Policy
- Covid-19 Business Plan
- Certificate of Currency for Public/Product Liability Insurance
- Certificate of Currency for Professional Indemnity Insurance
- Certificate of Currency for Workers Compensation Insurance
- Quality Management Policy and Procedure
- Documented Program of Internal Audits
- Template for an Audit Tool
- Feedback and Complaints Management Policy and Procedure
- Complaints Register
- Company Complaints & Feedback Form
- Complaints Form Directly for NDIS
- Incident management & Reportable Incident Policy and Procedure
- Incident Register
- Incident Report Form
- Human Resource Management Policy and Procedure
- Recruitment and Appointment Process
- Training Register/Staff Induction
- Position Descriptions
- Performance Management
- Competency/Qualification
- Completed NDIS Orientation Program Certificate
- NDIS Workers Screening Check
- Right to Work in Australia
- 100 Points of ID
- Current Police check
- Working with Children Check
- Signed Code of Conduct
- Disability Worker Exclusion List – VIC only
- Certificate of Currency for Work Cover Insurance/Personal Accident Insurance
- Covid-19 Training
- Key Personnel Staff Files, Employment Contracts
Emergency and Disaster Management
- This standard is intended to address the planning required by providers to prepare, prevent, manage and respond to emergency and disaster situations whilst mitigating risks to and ensuring continuity of supports that are critical to the health, safety and wellbeing of NDIS participants.
Your service has been fast and responsive. We needed help to get through our audit and without your support, it would have cost us valuable time. Much appreciated.
Core Module | Division 3
PROVISION OF SUPPORTS
- Support Planning Policy and Procedure
- Support Plan Template
- Participant Risk Assessment and Management Plan
- This standard applies to a provider that is responsible for providing supports to participants who require assistance to manage mealtimes (such as those with mild dysphagia) and is intended to help ensure quality and safety in the provision of mealtime management. It deals with the nutritional value and texture of meals, and with their planning, preparation and delivery
Core Module | Division 4
SUPPORT PROVISION ENVIRONMENT
- Safe Environment Policy and Procedure
- Participant Information Packs
- Home Safety Checklist
- Work Health Safety Policy and Procedure
- Management of Medication
- Management of Waste
Participant Money and Property
Module 1
HIGH INTENSITY DAILY PERSONAL ACTIVITIES
High Intensity Daily Personal Activities
Naso-Gastric Tube Feeding and Management
- Enteral (Naso-Gastric Tube – Jejunum or Duodenum) Feeding and Management Policy and Procedure
- Mealtime Preparation and Delivery Plan, Overseen by Health Practitioner
- Tracheostomy Care Plan, Overseen by Health Practitioner
- Tracheostomy Management Policy and Procedure
- Urinary Catheter Management
- Urinary Catheter Management (In-dwelling Urinary Catheter, In-out Catheter, Suprapubic Catheter) Policy and Procedure
- Urinary Catheter Care Plan, Overseen by Health Practitioner
- Complex Wound Management Policy and Procedure
- Pressure and Wound Care Plan, Overseen by Health Practitioner
- This standard applies to a provider that is registered to provide high intensity daily personal activities and has severe dysphagia management set out in the provider’s certificate of registration. It requires those providers to ensure that each participant requiring severe dysphagia management receives appropriate support that is relevant and proportionate to their individual needs and preferences
Module 2
SPECIALIST BEHAVIOUR SUPPORT
- Documentation on how the National Disability Insurance Scheme (Restrictive Practices and Behaviour Support) Rules 2018 are understood and applied
- Qualifications and ongoing training of Behaviour Support Practitioners
- Policies and procedures on behaviour support planning and the use of restrictive practices
Module 2A
IMPLEMENTING BEHAVIOUR SUPPORT PLANS
- Regulated Restrictive Practices Policy
- Supporting the Assessment and Development of Behaviour Support Plans
- Behaviour Support Plan Implementation
- Monitoring and Reporting the Use of Regulated Restrictive Practices Policy
- Behaviour Support Plan Review
- Reportable Incidents involving the Use of a Restrictive Practice Policy
- Interim Behaviour Support Plans
Module 3
EARLY CHILDHOOD SUPPORTS
- The Child and Family Policies and Procedures
- Collaboration Policies
- Capacity Building Policies
- Evidence-Informed Practice Procedures
- Outcome Based Approach Policies
Module 4
SPECIALISED SUPPORT COORDINATION
Specialised Support Coordination
- Specialised Support Coordination Policy and Procedure
- Monitoring and Reporting Associated with Participants
- Management of a Participants’ NDIS Supports Policy and Procedure
- Conflict of Interest Policy and Procedure
- Conflict of Interest Report Form
- Conflict of Interest Register
- Referral Forms
Module 5
SPECIALIST DISABILITY ACCOMODATION
Specialist Disability Accommodation
- Conflict of Interest Policy and Procedure
- Conflict of Interest Report Form
- Conflict of Interest Register
- Tenancy Management Policy and Procedure
- Documented Arrangements of Living Support within SDA
- Complaints Register
- Company Complaints & Feedback Form
- Incident Register
- Incident Report Form
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Why Choose Us
We can get your policies done Rapidly and Professionally. There are few companies out there that have the experiance and expertise to develop the much needed documents required to meet the Commissions standards. We strategically piece together your policies to ensure you are fully covered
NDIS Commission compliant
No more stress in your audits
Fast and efficient service
Operating since 2017
Servicing Australia wide
Editable documents provided
Frequently Asked Questions
How long does it take to complete ?
Once we have the okay to go ahead, and have received the deposit, we will initiate the assessment and from the time we receive the information we need to start, we will have your draft policies ready for review within 7-10 days.
What if i am not satisfied with the Policies ?
We provide revisions based on the required specifications which you have a chance to provide as part of the initial registration process. We gaurantee satisfaction with our service and will ensure that this occurs before you pay the final payment.
Will my Policies be approved by the NDISC ?
The NDIS Commission has reviewed our policies and we have had our policies reviewed and approved my various NDIS auditors throughout the country over the last couple of years and we have passed 100% of the time, every time.
Do you just copy and paste or are they customised ?
Your policies a customised using basic templates that are core legislation requirements in the industry. Branded, itemised and tailor made to suit your company and your services.
Get Started Today
Make an appointment today with us by phone or email and we will work out what you need and send you an official quotation. Once you are happy with the proposal, we will get the ball rolling immediatly.