Welcome to the nineth and final blog (1-9 Steps) in this series about NDIS Registration. I encourage you to go back and review the previous steps to understand the full picture. In this blog, I will describe some steps, include documentation and references to help you prepare for your Audit and explain how that relates to the Audit Pathway you are on.
Note this article is designed to help your thinking about Audit preparation. All businesses are different and there's a depth and range of requirements which are dependent on your individual circumstances and the complexity of each of the Standards. You will need to do your own research and refer to all of the requirements set out in the NDIS Commission.
What happens after I book the Auditor?
Once you have selected and booked your Auditor (see the list of NDIS Auditors here), you will then book in a date for the Audit to be undertaken. You will go through one of two types of Audit, a Verification or a Certification Audit. I will provide a definition with a brief overview of each as below.
What type of Audit will I go through?
The type of Audit can be found on the:
'Scope of Audit' document, which you will have received by email once you submitted your online NDIS Registration. This will state whether you are going through Verification or Certification.
Quote or letter of engagement from your Auditors will state whether you are going through Verification or Certification Audit.
What is the Verification Audit? This is applicable to where only low risk Registration Groups have been selected. The Audit is conducted as an online, Desktop Audit only. You will submit the required information online to the Auditors for their assessment. They will check your information and credentials against the stated requirements as per the Verification Module document. Follow all the requirements as set out in that document.
The evidence needed includes your Verification Policies and Procedures (including forms, handbooks and guides) and documents that show how your business operates in meeting the NDIS Quality & Safeguards Commission requirements.
How to obtain your Policies and Procedures You could choose to purchase the Policies and Procedures for your business (as either written specifically for your business or buy on a subscription basis), to ensure that you are meeting all the requirements. Check out Centro Assist's website for their policies and procedures, information and guidance here.
Ensure you provide everything listed in the Verification Module, including:
A list of Risk Assessed Roles and names of personnel in those roles
Worker ID, Screening or Police Checks, Working with Vulnerable People Cards
Relevant qualifications, accreditations and experience that meet to meet the requirements as set out for each Registration Groups you wish to register for (as set out in the Provider Registration Guide to Suitability;
Expertise and experience - you may wish to also provide your CV and letters of support to back you and your staff (if you feel it would assist your application)
Incident management processes/policies - as per the NDIS Commission requirements set out here
Complaints management processes/policies; as per the NDIS Commission requirements set out here
Risk management processes/policies. I recommend you follow the WHS procedures as set out in Safe Work NSW (or other State or Territory equivalent). You may also like to undertake the training they offer to understand more. To understand more about risk management, review this article. You will need to provide a Risk Assessment based on your business as well. Review this information regarding how to create your Risk Management Plan and then complete the templates ready for submission.
'Quality, Safety and You' course certificates of completion for all key personnel and staff of the 90 minute online course - Mandatory Worker Orientation Module
Certification Audit
This Audit is applicable when you include any high risk Registration Groups in your NDIS Registration application. The Audit is a two stage process.
Stage One - is a desktop audit where information is provided by you, to the Auditors, online. They check to ensure you have provided all the required information (that's relevant to the Registration Groups you are applying for), as set out in the National Practice Standards. You will need to include all the information as stated for Verification (as per the above) along with policies and procedures that relate specifically relevant Modules from the National Practice Standards. You will know which Modules you need to comply with, as they will be be stated in your Scope of Audit and in the Quote the Auditors provide to you.
Stage Two - Auditors will visit you on a pre-arranged date. If there are Covid-19 restrictions in place, they may conduct the second stage over Zoom. They will interview you (as key personnel), your staff and a certain number of your NDIS clients. The interviews are held to determine whether you, your staff and clients show understanding, compliance and evidence that the required Standards are being met.
They will be asking to see your documentation (Policies and Procedures, Service Agreements, paper trails etc) and along with conducting the interivews, they will check how people show understanding relating to topics in the NDIS Quality & Safeguard Standards.
Audit Preparation
You could do a Gap Analysis by checking what you already have that meets the standards and what is still required. You could create a spreadsheet that lists all relevant the Standards to your business along with Outcomes and Evidence required. Then list what reference material, information or other steps you can take in order to provide the documents as evidence. You can create an Action Plan based on the gaps, that you can go through a tick off as you complete each one.
By undertaking this preparation, you will ensure that you don't stress and are ready to have your Certification Audit completed.
After the Audit
You will receive an Audit Report that lists how well you have done and any areas you need to fix up before the Audit is finalised. Generally, you will have a few days to work on rectifying any areas that weren't found to meet the standards and to report back as to how you have addressed these issues. If the Auditors are satisfied, then they will issue you a report that gives their findings, as to whether you have been found to meet the standards. They will then make a recommendation to the NDIS and then once the NDIS has endorsed their reocmmendation, you'll receive a letter notifying you that you are now a Registered NDIS Provider.
Good luck with your Audit and if I can be of any assistance, please do get in touch to info@nurturingndis.com.au, or book in a free assessment call today.
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