COURSE OVERVIEW:

Welcome to the Ensuring Compliance with NDIS Audits course. This program is designed to equip NDIS service providers with the knowledge and tools to navigate the audit process confidently, ensuring compliance with NDIS standards and delivering high-quality, participant-focused services. 

NDIS audits play a pivotal role in maintaining the integrity and effectiveness of the scheme by assessing providers’ adherence to legal, ethical, and operational requirements. By fostering compliance, audits aim to safeguard participant rights, enhance service quality, and promote continuous improvement in the sector.

The course begins by introducing the purpose and significance of NDIS audits, including their role in certification, verification, and identifying areas for improvement. Participants will gain a clear understanding of the NDIS Commission’s oversight role, the objectives of compliance, and the potential outcomes of an audit, ranging from certification to corrective actions.

Different types of audits have unique purposes and processes. This course provides an in-depth look at certification, verification, midterm, and corrective close-out audits, among others. Participants will learn the stages involved, such as desktop and onsite reviews, and how to manage audits for new services or post-service delivery evaluations effectively.

Understanding audit requirements is essential for compliance. The course explores the legislative and regulatory frameworks underpinning audits, including the NDIS Act, NDIS Code of Conduct, and NDIS Practice Standards. Participants will also learn how to align their policies, processes, and record-keeping practices with these requirements while focusing on risk management, quality improvement, and staff qualifications.

Preparation is critical for a successful audit. Participants will discover best practices for internal audits, developing compliant policies, training staff, and reviewing documentation. The course also offers guidance on selecting the right auditing body, conducting mock audits, and cooperating with auditors for a smooth and efficient process.

Common non-conformances can jeopardise compliance. This course addresses frequent issues such as incomplete documentation, insufficient staff training, and poor risk management. Participants will learn strategies to avoid these pitfalls by implementing robust systems, enhancing communication, and regularly reviewing processes to ensure alignment with standards.

Best practices for quality management systems and risk management will also be covered. Participants will explore methods to define quality objectives, monitor service performance, identify and mitigate risks proactively, and foster a risk-aware culture among staff.

Incident reporting is another critical component of compliance. This course outlines how to develop a reporting framework, establish effective procedures, and meet NDIS requirements for timely and accurate reporting. Participants will learn to analyse incidents to prevent recurrence and integrate lessons learned into their operations.

Finally, the course emphasises continuous improvement as the foundation of long-term compliance. Participants will gain insights into creating improvement plans, setting measurable objectives, and leveraging feedback from participants and staff to refine service delivery. Maintaining compliance over time will be addressed through adapting to evolving NDIS guidelines and fostering a culture of ongoing development.

By the end of this course, you will have the knowledge and practical skills to manage the NDIS audit process effectively, ensuring compliance while enhancing the quality and safety of services for participants. This will position your organisation as a trusted and reliable NDIS provider, committed to delivering excellence and safeguarding participant outcomes. 

Each section is complemented with examples to illustrate the concepts and techniques discussed.

LEARNING OUTCOMES:

By the end of this course, you will be able to understand the following topics:

1. Introduction to NDIS Audits

• Overview of NDIS Audits
• Purpose and significance of NDIS audits
• Understanding the NDIS Commission’s role in audits
• Objectives of Compliance
• Ensuring quality service delivery
• Protecting participant rights
• Audit Outcomes
• Certification
• Verification
• Improvement recommendations

2. Types of NDIS Audits

• Certification Audits
• Purpose and process
• Stages: Desktop review (Stage 1) and onsite review (Stage 2)
• Verification Audits
• Eligibility and scope
• Documentation-focused review
• Midterm Audits
• Timing and scope
• Ensuring ongoing compliance
• Corrective Close-Out Audits
• Addressing non-conformances
• Finalising corrective actions
• Add-to-Scope Audits
• Process for adding new services or registration groups
• Transfer of Auditing Bodies
• Steps to ensure a smooth transition
• Ensuring no lapse in compliance
• Post-Service Delivery Audits
• Verifying outcomes of delivered services
• Documenting lessons learned

3. NDIS Audit Requirements

• Legislation and Rules Compliance
• Overview of relevant laws
• NDIS Code of Conduct
• NDIS Practice Standards
• Core modules and supplementary modules
• Understanding quality indicators
• Policies, Processes, and Procedures
• Essential policies for compliance
• Tailoring processes to NDIS standards
• Record-Keeping and Documentation
• Participant records
• Audit-ready documentation practices
• Risk Management and Quality Improvement
• Identifying and mitigating risks
• Continuous improvement strategies
• Staff Qualifications and Training
• Required qualifications for key personnel
• Evidence of ongoing professional development

4. Preparing for an NDIS Audit

• Familiarise Yourself with NDIS Requirements
• Reviewing the NDIS Practice Standards and guidelines
• Conduct Internal Audits
• Identifying gaps and implementing corrective actions
• Choosing the Right Approved Quality Auditing Body
• Factors to consider when selecting an auditor
• Developing and Updating Policies and Procedures
• Aligning policies with the latest NDIS standards
• Implementing Quality Assurance Processes
• Monitoring service delivery and outcomes
• Training and Educating Staff
• Preparing staff for audit interviews and compliance
• Reviewing and Updating Documentation
• Ensuring all records are complete and audit-ready
• Conducting Mock Audits
• Simulating audit scenarios to assess readiness
• Engaging External Support
• When and how to involve consultants
• Cooperating with the Auditor
• Tips for a smooth audit process
• Implementing Audit Findings
• Addressing auditor recommendations effectively
• Establishing Long-Term Relationships with Auditors
• Building trust and ensuring future compliance

5. NDIS Audit Checklists

• Certification Audit Checklist
• Key items for Stage 1 and Stage 2 audits
• Verification Audit Checklist
• Documentation and compliance requirements
• Midterm Audit Checklist
• Ongoing compliance review
• Specialised Checklists
• Corrective close-out, add-to-scope, and post-service delivery audits

6. Common Non-Conformances and How to Avoid Them

Incomplete or Inaccurate Documentation

• Issues:
• Missing or outdated participant records, care plans, progress notes, and incident reports.
• Lack of evidence for services provided.
• Avoidance Strategies:
• Implement robust record-keeping systems.
• Regularly review and update participant records.
• Train staff on proper documentation practices.

Non-Compliance with Participant Plans

• Issues:
• Services not aligning with participants' goals and needs.
• Failure to update plans based on changing needs.
• Avoidance Strategies:
• Conduct regular reviews of participant plans.
• Engage with participants to ensure services meet evolving needs.
• Ensure staff adhere to each participant’s plan.

Insufficient Staff Training and Qualifications

• Issues:
• Staff lacking necessary qualifications or certifications.
• Inadequate ongoing training and professional development.
• Avoidance Strategies:
• Verify staff qualifications during hiring.
• Provide regular training sessions and development opportunities.
• Maintain up-to-date records of staff training and qualifications.

Poor Risk Management

• Issues:
• Lack of comprehensive risk management policies.
• Failure to conduct regular risk assessments.
• Inadequate response to identified risks.
• Avoidance Strategies:
• Develop and implement robust risk management policies.
• Conduct regular risk assessments and update policies accordingly.
• Train staff on risk management procedures and emergency responses.

Inadequate Participant Feedback Mechanisms

• Issues:
• Lack of accessible and effective feedback channels.
• Failure to act on received feedback.
• Avoidance Strategies:
• Establish clear and accessible feedback channels.
• Regularly review and act upon feedback.
• Engage participants in service improvement discussions.

Lack of Internal Audits

• Issues:
• Absence of a documented program of internal audits.
• Avoidance Strategies:
• Set up a schedule of internal audits evaluating different facets of organisational practice.
• Document changes made in response to internal audit results.

Missing Evidence of Worker Checks

• Issues:
• Unavailable evidence of mandatory worker checks, including security checks and professional competency.
• Avoidance Strategies:
• Ensure workers in risk-assessed roles have evidence of:
• Professional qualifications.
• Membership of relevant professional associations.
• Completion of internal workplace induction and training.

Governance Failures

• Issues:
• Lack of a clearly defined structure to meet governance responsibilities.
• Avoidance Strategies:
• Establish a governance structure that monitors and responds to quality and safeguarding matters.
• Ensure the governing body meets financial, legislative, regulatory, and contractual responsibilities.

7. Best Practices for Quality Management Systems

• Implementing Effective Quality Management
• Clearly Define Quality Objectives
• Document Policies and Procedures
• Implement Quality Assurance Processes
• Involving participants in service improvement
• Monitor Customer Satisfaction
• Using technology to track performance

8. Best Practices for Risk Management

• Identifying and Mitigating Risks
• Common risks in NDIS service delivery
• Proactive vs reactive risk management
• Conduct Risk Assessments
• Establish Risk Mitigation Measures
• Building a Risk-Ready Culture
• Educating staff on risk identification and reporting

9. Best Practices for Incident Reporting

• Developing a Reporting Framework
• Essential components of an incident reporting system
• Establish Incident Reporting Procedures
• Ensuring Timely and Accurate Reporting
• Meeting NDIS requirements for reportable incidents
• Learning from Incidents
• Analyse and Investigate Incidents
• Using data to prevent recurrence

10. Best Practices for Continuous Improvement

• Establish a Culture of Continuous Improvement
• Collect and analyse relevant data and performance metrics to identify areas for improvement
• Implement Process Reviews
• Creating a Continuous Improvement Plan
• Setting objectives and measuring progress
• Using Feedback Effectively
• Incorporating participant and staff input
• Maintaining Compliance Over Time
• Adapting to changes in NDIS guidelines and standards

COURSE DURATION:

The typical duration of this course is approximately 3-4 hours to complete. Your enrolment is Valid for 12 Months. Start anytime and study at your own pace.

COURSE REQUIREMENTS:

You must have access to a computer or any mobile device with Adobe Acrobat Reader (free PDF Viewer) installed, to complete this course.

COURSE DELIVERY:

Purchase and download course content.

ASSESSMENT:

A simple 10-question true or false quiz with Unlimited Submission Attempts.

CERTIFICATION:

Upon course completion, you will receive a customised digital “Certificate of Completion”.