NDIS Audit – Certification
GCC is an Approved Quality Auditor for the NDIS practice standards. We offer both Verification and Certification assessments for NDIS providers.
About the Certification audits
Providers requiring a certification audit provide more complex or higher risk supports and services. In a certification audit, providers are assessed against the NDIS Practice Standards which may include assessment against the core module and any supplementary module relevant to the type of support they deliver. The registration requirements outline the compliance requirements for the core and supplementary modules by registration group.
Assessment includes core capabilities, such as risk management, delivery of supports, the delivery environment and governance and operational management.
NDIS providers that deliver services and supports within the High Intensity Daily Personal Activities registration group will be assessed against the High Intensity Skills Descriptors.
GCC Auditors will complete the certification audit for providers, and the audit will include document reviews, site visits and interviews with NDIS workers and participants.
Fill out the form below to find out more
The certification process
Apply for Registration with the NDIS Commission
You can register through the Application Portal on the NDIS website. Before starting your application, we recommend that you:
- Read the Provider Information Pack
- Read the Provider Registration Process
- Review the New Providers section of the NDIS commission website if you are applying for the first time
- Review the Registration Renewal information if you are renewing your registration
Using the resources above, you will be required to complete a self-assessment against the standards that you will be measured on during the application.
Upon completing your application, the NDIS Quality and Safeguards Commission will email you an ‘Initial Scope of Audit’ with a summary of your requirements and direction as to whether you must conduct a verification or certification audit.
During your application process, you’ll create a provider account and will gain access to the Provider Portal.
Request a NDIS Certification Quote from GCC
When you’ve received your ‘Initial Scope of Audit’ email, you can easily request a quote using our easy online form.
Upon receiving your request, GCC will contact you and can walk through the process and costs associated with your audit.
Confirm your Quote and Book the Audit
Upon confirmation of your quote with GCC, we will thoroughly review your scope of audit details and ensure all are correct. As your Approved Quality Auditors we will have access to your application on the NDIS Commission Portal and can make any requested changes on your behalf.
Please note: It’s the responsibility of your business to advise GCC of any changes.
Stage One Audit
This stage of the process requires a GCC auditor to thoroughly review the self-assessment and supporting documentation that you provided to the NDIS Commission during your application.
This is done remotely, and no site visit is required.
The primary goal of this stage is to identify any areas of your business that require actions to attain compliance. This will be set out in an audit plan that outlines the agenda and key areas of assessment. This plan is agreed to by both your business, and GCC.
These actions, and any other findings are reported to you. It is expected that you take the recommended actions as you prepare for the second audit stage of the certification process.
The second stage must be undertaken within three months of the stage one audit. Unlike stage one, the second stage is conducted on-site at your business.
Stage Two Audit and Report
This on-site audit follows the plan that was agreed upon in stage one. The visit may include any or all of the following depending on the type of business:
- Review of documents
- Observing work practices
- Evaluating systems and processes
- Interviews with employees
- Interview with participants*
If there are serious issues discovered during the visit, please be advised that the auditor is under obligation to report these concerns immediately to the Commission and to the appropriate authorities, including the Police, should the non-conformities be of a criminal nature or other similar scenario that requires immediate action.
Upon completion of the visit, your auditor will provide you with preliminary findings in the form of an audit summary. The detailed report is due within seven days of the audit date.
You can review and give feedback on the report before GCC submits it to the NDIS Commission. This submission must be made within 28 days from the date of the audit.
Your report will then be assessed by the Commission and you will be advised of the outcome.
*NOTE – If you do not have any participants, you may undergo a Provisional Certification. This is an assessment of your documentation and readiness to start providing NDIS services. After a provisional audit, you will need to undergo full certification within 18 months of registration.
Certificate of Registration
The decision is made by the NDIS Commission, and you will be notified directly from them.
If you are successful:
- You’ll be given your Certificate of Registration which confirms the details of your services and/or support that your business offers, the period of your registration and any additional information relating to maintaining your registration.
- Your business will be added to the Provider Register so that participants can view and engage you for services
- You will be required to recertify in three years’ time, and require a mid-term audit in between then and your registration confirmation
If you are unsuccessful:
- You may contact the Commission and request that your application be reviewed. This request must be made within three months of you receiving the decision.
Registered NDIS providers must complete another audit within 18 months of your certification date. This is a health check to ensure your compliance or identify any areas which may impact your certification. GCC will contact you 3 months prior to the midterm due date to organise the midterm audit.
What are the NDIS Practice Standards?
The NDIS provides Practice Standards which specify the quality standards each provider must meet for approval. The most up to date information about practice standards can be found here.
The NDIS Practice Standards consist of a core module and several supplementary modules that apply depending on the types of supports and services you deliver and your organisational structure.
Each module has a series of high-level, participant-focused outcomes for each outcome in the modules, the NDIS Commission has prepared quality indicators that approved auditors use to assess compliance with the NDIS Practice Standards.
The core module covers:
- Rights of participants and responsibilities of providers
- Governance and operational management
- The delivery of supports, and
- The environment in which supports are delivered.
The Supplementary modules are:
- High intensity daily personal activities
- Specialist behaviour support, including implementing behaviour support plans
- Early childhood supports
- Specialised support co-ordination, and
- Specialist disability accommodation.
Which Modules are applicable to me?
Your ‘Initial scope of audit & self-assessment summary’ provided by the NDIS lists this.
Preparing for your Certification Audit
The NDIS Commission provides resources to assist with your preparation for a certification audit.
GCC also provides the following documents prior to your audit:
- A pre-audit checklist
- Qualifications guide with the requirements for each occupation
Frequently Asked Questions
NDIS Audit process Questions
Our flexible booking approach means we’re ready when you are. Our NDIS Coordinator will talk to you about the requirements you need to meet for a successful audit. We will provide you with the information you need to prepare for the audit and only then schedule a date.
This allows us to book you in quickly, once we know you are ready.
We strive to use local auditors to save our clients unnecessary costs. We have auditors in Sydney, Melbourne, Brisbane, Perth, Adelaide, Newcastle, Wollongong, Bendigo, Ballarat, Gold Coast, Sunshine Coast, Geelong, Mornington Peninsula, and other regional areas.
The NDIS Commission will undertake a formal assessment in accordance with internal procedures and legislative requirements. They will be in contact with you if there is any further information required to assist the NDIS Commissioner in making the final decision.
There is no legislated timeframe regarding finalising an application after audit report has been received. This all depends on the complexity of each application. The Commission are working on case-by-case basis to finalise each application accordingly with due process.
The NDIS Commission will email you the outcome once your application is processed and a decision made.
They are processing a high volume of applications and ask for your patience.
If you wish to enquire about the status of your application, please contact the NDIS Commission directly – 1800 035 544
If they request any additional information from us, we will keep you updated so you are aware of the progress of your application.
NDIS Audit Requirements Questions
A comprehensive checklist will be provided to you if you decide to undertake your audit with GCC.
You will also have an NDIS Audit Coordinator to assist you with any questions you have.
As auditors, we are unable to provide you with templates or policies, etc., but we can guide you in the right direction if you have a question about how to meet the requirements.
The focus areas of the audit will be:
- Policies and procedures (systems) to meet the NDIS Practice Standards and Quality Indicators relevant to your scope.
- Worker Screening documents and evidence of appropriate qualifications (where applicable)
- Business insurance
The required qualifications for each occupation group are set by the NDIS Commission and consider professional registration requirements and the industry requirements.
The last pages of the document outline the qualification required for each registration group. As you scroll up you will see what evidence the auditor will need to sight to evidence the qualifications.
Level 1 and 2 support coordination fall under registration group 0106 – Assistance in coordinating or managing life stages, transitions, and supports. This registration group does not have any mandatory qualifications or memberships to be able to deliver supports and falls under the Core Module standards. Providers must demonstrate suitability by meeting the Core Module Practice Standards and Quality Indicators. Auditors will consider how the provider is managing any potential risks associated with the delivery of this support/service and any specific opportunities for improvement.
Level 3, known as 0132 Specialist Support Coordination, is a specialised registration group centred around complex participant needs and circumstances. Typically, Social Workers and Psychologists are approved however each submission is subject to individual assessment of qualifications, memberships, and professional development by the Commission. Providers must demonstrate suitability by meeting the Core Module and Module 4 Practice Standards and Quality Indicators. Auditors will consider how the provider is managing any potential risks associated with the delivery of this support/service and any specific opportunities for improvement.
NDIS Registration questions
You can complete an “application for variation of registration” form (obtained from the NDIS Commission) to request removal of a registration group between audits. Otherwise, simply do not claim any line items that fall under that registration category for the period of your registration. Once it comes time for renewal of your registration you can select to remove it.
The NDIS Commission does not charge a fee for registration.
- Provisional audits assess the documentation and readiness of a provider to start providing NDIS services. It does not require involvement from participants or seek evidence of implementation. If you undertake a provisional audit, you will be required to undergo a full certification audit within 18 months of your registration being granted.
- Full Certification audits are completed by providers who are registered with the NDIS Commission and/or have existing participants. Stage 1 looks at the documented systems (policies and procedures etc.) and then during stage 2 of the audit, the auditor will interview participants and workers. This is done to ensure the companies systems are being implemented appropriately. A mid-term audit is required 18 months after the NDIS approves the application. The mid-term audit reviews the Governance and Operational Management practice standards as well as various focus areas depending on the providers’ previous audit.
- A certificate of currency for current insurance that meets the minimum level of cover commensurate to the scope of the provider.
- Providers should seek professional advice as to the type and amount of insurance that is necessary.
- Public liability is mandatory in most cases.
- Professional indemnity insurance is required when you provide professional advice as a part of your services.
- If you have workers, you may need to have workers’ compensation insurance.
You can only provide services to NDIA managed participants once the NDIS Commission has approved your application and sent you a certificate of registration.
Providers often want to change from a sole trader to a company for tax purposes however there may be other reasons you wish to change your ABN.
The NDIS Commission tracks provider registration based on the providers ABN. This means, any changes to the ABN will require the provider to apply for a new registration under that ABN with the commission.
We have assisted many providers through this process and provide notification to the NDIS Commission on your behalf. Please contact us and we can assist you.
If you are an unregistered provider, you will still need to meet certain requirements and ensure you follow the NDIS code of conduct. You can find out more here.