Part D: Steps in the NDIS audit and registration process (Residential Aged Care Toolkit)

Steps in NDIS audit and registration
Step Actions involved
Step 1: Registration renewal Preparing for application submission:
  • identifying registration groups or classes of support
  • getting familiar with NDIS Practice Standards
  • developing/updating policy and procedures
  • completing a Self-Assessment against NDIS Practice Standards
Submit application online (includes Self-assessment, and policies and procedures).
Step 2: Select an approved quality auditing body The NDIS Commission’s system generates an Initial Scope of Audit document which:
  • provides a summary of the compliance requirements that apply to the provider
  • is used to get quotes from approved quality auditors.
Select an Audit Body from the list of Approved Quality Auditors (get quotes from a number of approved quality auditors).
Step 3: Stage 1 certification audit
  • Approved quality auditor will undertake a desktop audit (Document Review) usually off site.
  • Document review is to ensure the provider has adequate systems in place to promote quality and safety in accordance with the NDIS Practice Standards.
Step 4: Stage 2 certification audit
  • Approved quality auditor undertakes in depth audit looking at the effectiveness and implementation of systems outlined in policy and procedures to address relevant modules of the NDIS Practice Standards.
  • Usually, onsite 
  • Entry meeting, key documents and information collected 
  • Interviews with staff, management, governing body, participants
  • Observations 
  • Sampling approach
  • Exit interview
  • Three months from Stage 1
  • Audit report prepared for NDIS Commission within one month of completion
Step 5: Registration decision
  • NDIS Commission will assess suitability of the provider and key personnel including a range of checks undertaken in accordance with the legislative requirements
  • NDIS Commission will decide on provider’s suitability for registration, taking into account audit report recommendations and suitability assessment
  • Providers are notified of the outcome
Step 6: Compliance
  • Required to maintain registration requirements
  • 18 month mid-term audit review
  • Three year re-certification

 

Webinars 

Module 3- Selecting an Approved Quality Auditing Body (transcript) 

 Module 4- Stage 1 (Desktop) Audit (transcript) 

Module 5- Stage 2 (Onsite) audit (transcript) 

Modified NDIS RAC audit pathway
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