Key takeaways
- You choose and pay the approved quality auditor; the NDIS Commission makes the registration decision.
- Your scope of audit sets the audit type, the registration groups and any modules.
- Auditors need a documented system, proof it is used, and records over time.
- Major non-conformities are systemic or risky gaps and must be closed before the auditor can recommend registration.
Who audits you
Registered NDIS providers are audited by an approved quality auditor. These are independent certification bodies approved by the NDIS Quality and Safeguards Commission (the NDIS Commission). You choose the auditor, agree the dates and pay for the audit.
The auditor does not register you. They assess you against the NDIS Practice Standards and send a report to the NDIS Commission. The Commission then decides whether to register you, renew your registration or impose conditions.
The registration cycle
- Apply in the NDIS Commission Portal and complete a self-assessment against the standards that apply to you.
- Receive your scope of audit. It lists your registration groups, the audit type (verification or certification) and any supplementary modules.
- Engage an approved quality auditor using your scope of audit, and agree a quote and dates.
- The audit takes place, as a desktop review for verification or in two stages for certification.
- The auditor reports to the Commission, which makes the registration decision.
Registration lasts for a set period. Certification providers also have a mid-term audit during that period, and every provider goes through a renewal audit before registration ends. Put your registration end date in your compliance calendar well ahead of time so you are not rushed.
What the auditor actually tests
Auditors look for three things, and you need all three:
- A documented system. Policies, procedures and forms that cover each applicable standard.
- The system is used. Workers know the procedures and follow them. Participants experience what your policies promise.
- Records prove it. Completed forms, registers, file notes, training records and meeting minutes show the system working over time.
Great policies with no records rarely pass. Simple policies that are clearly followed, with tidy records, usually do well. Everything is judged in proportion to your size and the risk of the supports you deliver.
Possible findings
- Conformity: you meet the indicator.
- Minor non-conformity: a gap or isolated lapse that does not put participants at significant risk. You agree a corrective action plan.
- Major non-conformity: a systemic failure, a missing system or a risk to participants. It must be fixed and checked by the auditor, and can stop the auditor recommending registration until it is resolved.
- Opportunity for improvement: a suggestion, not a finding against you.
Timeframes for closing non-conformities are set by the auditor under the Commission's audit requirements. Rules and guidance change. Check the current guidance on the NDIS Commission website before you rely on a detail.
What auditors typically look for
- That your documents match the scope of audit and the supports you really deliver.
- Evidence over a period of time, not documents created the week before.
- Workers who can explain the key procedures in their own words.
- Records that agree with each other (for example the incident register matches the incident forms).
Knowledge check
1. Who decides whether your registration is approved or renewed?
The auditor assesses you and reports. The NDIS Commission makes the registration decision.
2. Which combination gives the auditor the strongest evidence that you meet a standard?
Auditors test the documented system, its implementation and the records. All three are needed.
3. What is a major non-conformity?
Major non-conformities are serious or systemic gaps. Minor ones are isolated lapses; opportunities for improvement are suggestions.
Practical checklist
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Related documents in the full set
- Audit Preparation Guide
- Self-Assessment Guide and Sample Answers
- Verification Module Self-Assessment and Evidence Guide
General information based on the NDIS rules and Practice Standards current when this guide was reviewed. It is not legal advice. Check the NDIS Commission and the Federal Register of Legislation for the latest requirements.