One of the key requirements of the National Disability Insurance Scheme (NDIS) for disability service providers is to conduct an internal audit. NDIS providers often ask questions about internal audits as they are not sure about their application to their scope or how it needs to be conducted. In this article, we focus on answering the most common questions asked by NDIS providers.
An internal audit is also known as a first-party audit. As an NDIS provider, you need to conduct internal audits on a regular basis. Apart from it being a mandatory requirement, it gives you confidence that the organisational processes and procedures meet their intended outcomes. To sum up, the outcome of the internal audit indicates how effectively the organisation operates.
Yes, if you are complying with NDIS Quality Indicator Guidelines 2018 Core Module as per key indicator of Division 2 – Governance and Operational Management of NDIS Quality Indicators Section 13(2).
The frequency of internal audits is not specified within the standards. However, it is recommended to have a three-year plan and ensure that the full scope of the organisation is audited over the cycle of every three years. Please note that the certification period is valid for three years. The Approved Quality Auditors will ask for records of the recent internal audit during their assessment.
Yes you can audit yourself. There are no specific requirements within the NDIS Quality Indicators Guidelines about the impartiality of auditors. It is recommended that the auditors should be impartial in the processes they audit.
Internal auditors can act differently depending on the scope of the audit and the availability of resources. Here are the most common roles for NDIS internal auditors:
• Identify gaps in the organisation’s systems implementation
• Look for significant deviations from the required procedures
• Analyse business changes that can cause procedures to cause undesirable results
• Check evidence to ensure the system is working as it should meet its objectives
It is recommended to have two internal auditors. This will allow the auditors to cross-check each other's work simultaneously and they do not have to audit the processes they own.
Yes, documenting the audit program is part of the NDIS requirement. There are no requirements given about the audit records. However, it is a general expectation of the auditors to see evidence such as audit reports. The outcome(s) of the internal audit should be documented regardless.
LMS TRG has prepared step-by-step guidance to improve your service delivery quality and comply with the NDIS (National Disability Insurance Scheme) Quality Indicators Guidelines. We have combined it in our NDIS Internal Auditor Training, here, you will learn everything you need to know about performing internal audits. No prior experience in auditing is required.
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