How to Register and pass the NDIS Audit

 
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July 2018 brought news of the Quality and Safeguarding Commission. The Commission is a body that manages registration, renewal and quality standards. This changes the way service providers are audited and accredited.

What this could mean to you:

Are you already registered as an NDIS Provider?

As of July 2019 if you are an existing registered NDIS provider you will need to renew. Your renewal is treated as an application. You need to make sure that you apply by the due date. The due date is shown on your current certificate of registration or in a letter sent to you by the NDIS Quality Commission. This is important if you wish to continue being registered.

Are you a new provider wanting to become an NDIS Provider?

If you are in NSW, SA, VIC, ACT or QLD you need to apply for registration. To do this you must apply directly to the NDIS Commission. Follow our 7 Steps to Registration to find out how and what is required.

 
NDIS Registration - Auditing Overview for Service Providers
 

Audit

As a new provider your first audit starts when you have no participants. This is to obtain a ‘qualified certification’. Once passed, you may start a service. After you commence your service you will a second audit. We call this a 2 Stage Audit. This initial scope of audit needs an auditor to approve your policies and processes. This is a confusing process, however, Centro ASSIST can help. We have all the policies and processes and more that you need.

Your chosen auditing body, will check that the scope of audit is accurate, and begin the audit process.

The auditor will work with you to help you understand the findings. 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 Verification?

Certification is required when you are registering as a Company/Corporation.

However, service providers who are under a sole trader or partnership structure registering for a combination of Early Intervention Supports for Early Childhood and Therapeutic Supports only need to be audited against the Early Childhood Module rather than all of the CORE modules.

There are two types of auditing with two different requirements. These are depending on your registration groups.

Providers delivering more complex supports must get a Quality assurance Certification.

If you are applying to deliver complex supports you must complete the core module and any other Module relevant to the type of support you deliver.

Module 1 (High Intensity Daily Personal Activities): Providers must ensure that support workers meet the requirements set out in the High Intensity Skills Descriptors document.

Certification auditing costs are generally higher than Verification. However, the following are now exempt from surveillance audits (effectively only audited every 3 years):

  • Specialist Disability Accommodation only providers

  • Sole traders and partnerships registered under Early Childhood Early Intervention

  • Providers who provide low risk (verification) supports

Providers falling into those categories will be subject to lower overall auditing costs due to the lower frequency of checks.

Certification

✓ Stage 1 Audit - Offsite inspection of documents

✓ Stage 2 Audit - Onsite assessment and interviews of staff and participants

Certification audits might include document reviews, site visits, and performance assessment. Performance assessments includes the auditor observing and conversing with participants, carers, and families.

However, for individuals and small businesses delivering low-risk services and supports for NDIS participants:

  • There is more flexibility on the number of auditors required for site inspections and interviews for Certification Audits

  • There is more flexibility on the minimum time required to undertake a Certification Audits

  • Off-site auditing is permitted for some Certification Audits depending on the circumstance

  • there is no requirement for annual follow up audits during the three year registration period (known as Surveillance Audits)

Verification

Providers whose registration groups fall into the lower risk categories are audited for a Verification certificate:

  1. Deliver relatively lower risk supports and services, and/or

  2. 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 and risk management processes/policies.

Verification

✓ Stage 1 Audit - Offsite inspection of documents

Individual sole traders and partnerships have a streamlined audit process. This requires a desktop review of their policies and processes. This can be achieved by sharing Centro ASSIST’s platform with an auditor, thus removing the need for a site visit.

Updated 11th July 2019


 

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