Key takeaways
- The supports you deliver decide the audit pathway, not the size of your business.
- Verification is a desktop audit against four areas: risk, complaints, incidents and HR.
- Certification covers the Core Module (and any modules) in two stages, including interviews and file sampling.
- Your scope of audit confirms which pathway applies.
Two pathways, based on risk
The audit you need depends on the supports you are registered to deliver. The NDIS Commission groups supports by risk.
- Verification is for lower-risk supports. Examples include therapy supports, home modifications, many assistive technology and equipment groups, plan management, household tasks, interpreting and transport.
- Certification is for higher-risk or more complex supports. Examples include assistance with daily personal activities, daily tasks in group or shared living, community participation, development of daily living skills, specialist behaviour support, early childhood supports and supported independent living.
If you deliver a mix, the higher-risk groups usually decide the pathway. Your scope of audit is the final word, so always check it.
Verification: a desktop audit
Verification is usually a desktop review of documents and evidence. You are assessed against the Verification Module, which has four areas:
- Risk management (including insurance, emergency planning and infection control)
- Complaints management
- Incident management
- Human resource management (screening, qualifications, orientation module, training)
Expect to upload policies, your insurance certificates, registers and worker records such as screening clearances and qualifications.
Certification: two stages
Certification assesses you against the Core Module of the Practice Standards plus any supplementary modules that apply. It normally has two stages:
- Stage 1: a document review, checking your system covers every applicable standard.
- Stage 2: an on-site or remote assessment. The auditor samples participant and worker files, checks records, and interviews key personnel, workers and participants who agree to take part.
Certification providers also have a mid-term audit during their registration period.
Common traps
- Registering for groups you do not deliver. They still count towards your scope and your audit.
- Using a verification-style document set when you need certification. The Core Module covers much more, from support planning to safe environments.
- Assuming a sole trader cannot need certification. The supports decide, not the size of the business.
Rules and guidance change. Check the current guidance on the NDIS Commission website before you rely on a detail.
What auditors typically look for
- Verification: insurance certificates, worker screening, qualifications and the orientation module for each worker.
- Verification: working complaints and incident systems that meet the NDIS Rules.
- Certification: participant files showing planning, agreements and reviews.
- Certification: workers and participants who can describe how supports really work.
Knowledge check
1. A sole trader registered only for home modifications most likely needs which audit?
Home modifications is a lower-risk group assessed by verification. The supports decide the pathway.
2. How many areas does the Verification Module cover?
Risk management, complaints, incidents and human resource management.
3. What usually happens in stage 2 of a certification audit?
Stage 2 tests whether the system is used in practice, so it includes sampling and interviews.
Practical checklist
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Related documents in the full set
- Verification Module Policy and Procedure Manual
- Verification Module Self-Assessment and Evidence Guide
- Verification Module Evidence Checklist
- Self-Assessment Guide and Sample Answers
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.