If you are an NDIS (National Disability Insurance Scheme) business owner, such as an aged care provider or someone who provides support in the home, you provide top-quality service to your patients in need. However, there are several aspects of operating an NDIS business beyond the care that you provide. One of your responsibilities is to participate in an NDIA (National Disability Insurance Agency) auditing process. They perform this audit to ensure your business aligns with the NDIS Practice Standards. This can feel intimidating, but with this essential guide to your NDIS audit, and our free NDIS audit checklist to make you ready, this part of running your business will become routine.
What is an NDIS audit?
This is a systematic review of your business, its operations, policies, procedures and financial records. These audits are conducted by the NDIA to ensure your business aligns with NDIS Practice Standards which promote participant safety and your business service quality as per the NDIS Quality and Safeguarding Framework. The NDIS want to guarantee the health and well-being of those in your care
Why am I getting an NDIS audit?
An NDIS audit is mandatory within the first twelve to eighteen months of you registering your business with the NDIA. It is not that you have done anything wrong in the eyes of the NDIA, it is simply to check that the information they have about you and your business checks out and to show any gaps in your processes for you to fix.
What happens when I get an NDIS audit?
When you are notified of an NDIS audit, amongst the tasks you will need to do include providing receipts and invoices that are relevant to the services you provide. You will need to explain and justify the support you provide to those in your care.
You can download the free MYP NDIS Audit Checklist here for more details.
How often will I get audited by the NDIA?
NDIS service providers are audited roughly every eighteen months. If they find major irregularities or situations where you’re not conforming to their framework, then you will likely be audited more frequently until these issues are fixed.
Who conducts the audits?
All audits of your business must be conducted by an Approved Quality Auditor (AQA), such as those from HDAA.
What types of audits are there?
There are two kinds of audits you may be subjected to:
Verification Audit
This is a routine check for NDIS providers who deliver low-risk support. Low-risk support includes:
- Gardening.
- General home maintenance.
- Transport services.
- Therapeutic support.
- Sales of assistance products.
This type of audit is done remotely, which makes it convenient and less costly. The steps involved are:
- You choose an external auditor.
- The auditor reviews your documentation.
- They create a report detailing your strengths and any areas in need of improvement.
If they deem your performance aligns with the NDIS standards, you will receive a ‘conformity’ rating.
Certification audits
A certification audit is for NDIS service providers offering high-risk support. It is very comprehensive and can take several months to complete. The auditor will:
- Scrutinise all your documentation.
- Conduct on-site assessments.
- Interview your staff and clients.
From this, you will receive a detailed report showing if any changes need to be made.
What do you need for your NDIS audit?
Accurate documentation
You need to keep good records of everything, such as participant details, your policies and procedures, and all your financial information. Having all this sorted shows you’re running things properly and keeping everything above board.
Evidence of compliance
Gather proof that you’ve been following the NDIS Code of Conduct. This could be reports, data, or anything else that shows you’re doing the right thing by the rules.
Staff training records
Make sure you’ve got records of all your staff training and what qualifications they have for NDIS work. It shows you’re serious about having skilled people who know what they’re doing and can provide great support to participants.
Safeguarding protocols
Have solid safeguarding procedures in place that put participants’ safety first. This means having clear steps for dealing with any concerns or incidents that come up.
What can help your NDIS audit go smoothly?
Running an NDIS business can be hectic. Keeping on top of all your record-keeping and compliance needs can be overwhelming. It is worth your time to look into some NDIS software to help you automate these processes and make it easier to gather all the information for an auditor.
Don’t be afraid of an NDIS audit
These audits are not here to punish you. They exist to ensure that you’re performing at your best and providing the best care for your clients. You can’t be perfect all of the time, and having an independent 3rd party help show you the gaps in your processes is extremely useful.
The NDIS Business Audit Checklist
You can download our NDIS audit checklist from here, and you can read the list below.
Download the NDIS Audit Checklist by MYP here
Pre-Audit Preparation
- Review NDIS Standards: Get familiar with the latest NDIS Practice Standards and NDIS Quality Indicators that apply to your business. Make sure you’re doing things the way they expect.
- Document Review: Round up all your paperwork – policies, procedures, client files, contracts, agreements, incident reports, the whole lot.
- Staff Training: Make sure everyone on your team knows the NDIS policies and procedures. Have them understand what they need to do to keep things compliant and deliver good services.
- Risk Management: What could go wrong? Have a plan to deal with it. This covers keeping vulnerable people safe, protecting privacy, and making sure everyone’s healthy and safe.
- Quality Improvement Plan: Have something written down that shows your business is always trying to improve its service quality.
Documentation and Record-Keeping
- Client Records: Keep your client files current and accurate, including assessments, support plans, progress notes, communication records, all more.
- Policies and Procedures: Have comprehensive documentation on how you deliver your services. This includes service delivery, staff behaviour, reporting incidents and client rights.
- Incident Reporting: Keep track of accidents or near misses. Document what you did about them to stop it from happening again.
Compliance and Quality Assurance
- Service Agreements: Make sure you’ve got written agreements with clients that spell out what services you’ll provide, what it costs, and everyone’s rights and responsibilities.
- Feedback and Complaints: Have a proper way for clients, staff, or anyone else to give you feedback. Document how you respond to feedback and resolve issues.
- Regular Audits: Do your checks regularly to see if you’re meeting NDIS standards. If you identify any problems, fix them.
Staff Management
- Qualifications and Training: Check that all your staff have the right qualifications and training for the roles they are in.
- Clear Roles and Responsibilities: Make sure everyone knows what their job is and what responsibilities they have. Focus on compliance and quality of service.
- Code of Conduct: Have rules about how staff should behave and make sure they stick to them.
Physical Environment and Equipment
- Safety and Accessibility: Make sure your workplace is safe and accessible for both clients and staff, and meets all the health and safety requirements.
- Equipment Maintenance: Keep all your equipment in good working order. Check it regularly and fix anything that’s not working properly.
Continuous Improvement
- Quality Indicators: Keep an eye on the important measures that show how well you’re doing and where you could do better.
- Feedback Loops: Set up ways for clients and staff to tell you how things are going, to help with your continual improvement.
- Review and Update: Keep your policies and procedures up to date with any changes in NDIS rules or best practices.
Audit Day Preparation
- Documentation Readiness: Have all your paperwork ready to go and easy to find.
- Staff Preparedness: Make sure your team knows what’s happening with the audit and how they can help out.
- Audit Liaison: Pick someone to be the main contact person between the auditors and your business.
By being aware of everything on this checklist and regularly going through the checklist, NDSIS audits will be a breeze. You will have everything ready for them, and will be given the official tick of approval quickly. It will also help you build a reputation as a business that adheres to the guidelines and consistently passes these audits. This is good for business and great for the NDIS community.
