Risk, Compliance and NDIS Practice Standards- Audit Information
Following our hugely successful webinar on Risk, Compliance and the NDIS Safeguards Commission, we have prepared some useful links and resources:
NDIS Commission Key Links
When in doubt regarding your compliance obligations, always refer back to the NDIS Commission's website. Here are some key links:
Below is a list of NDIS rules and compliance requirements for all disability stakeholders, that apply to registered as well as unregistered providers AND to any workers.
Code of Conduct
The NDIS Code of Conduct provides guidance to NDIS providers, including NDIA community partners about complying with the NDIS Code of Conduct. The Guidance provides information and examples about what the Code of Conduct means in practice.
NDIS Code of Conduct - Applies to ALL NDIS providers and employees
Practice Standards
These are made up of a Core Module and six supplementary modules. The Core module applies to all registered providers, while the supplementary modules relate to the more complex or high-risk registration groups. Each module has a series of high-level participant focused outcomes and for each quality indicators that auditors will use to assess your compliance with the Practice Standards.
NDIS Practice Standards and Quality Indicators
Restrictive Practices
The requirement to report to the NDIS Commission does not replace existing obligations on providers to report to other relevant authorities, including child protection agencies or police.
Here is the reporting form required: NDIS Restrictive Practices Reporting Form
IHCA Fact Sheets
IHCA is an approved NDIS Auditor that has worked with MyCareSpace to deliver these resources. They are community based and if you are interested in working with them you can call them on 1800 035 033 or email them: certification@ihac.com.au.
With the permission of IHCAC, we are publishing their fact sheets to help providers prepare for their audits.
Policies and Procedures - Templates
Many providers do not have the resources or capacity to create all their own policies and procedures. Organisations like CentroAssist provide access to online libraries of policies and procedures which you can use for your audit process. We do recommend that providers focus on the implementation of the policies rather than the documents themselves. The auditors will look for evidence that staff can access the documents and understand how they work.
The key to success of using these ready to go templates for policies and procdures, is to adapt them to your organisation and tailor those aspects that relate the particular services you offer. If you have any doubt about these standardised templates, call your auditor and discuss it with them.
Insurance and Risk Management
It's important to know what insurances the NDIS Commission requires you to buy as a registered provider. Under the verification module for a sole trader the practice standards say:
"Appropriate insurance is in place including professional indemnity, public liability and accident insurance". There are other risks and related insurances which you need to consider under the Risk Management section of the Core Module: these include financial, work health and safety, human resource management, information management and governance.
Risk Management Frameworks
Not every organisation has a dedicated ‘risk manager’ to take ownership of the risk processes, reporting and frameworks. This process can sometimes be disjointed in a small organisation.
The Practice Standards require that providers document the systems that will identify, analyse, prioritise and treat the risks associated with the provision of supports.
Ansvar Risk has created an online risk education hub to enable our customers to access the resources they need to manage their risks. The hub provides simple, sector relevant-tools, checklists and fact sheets to help the prioritisation and management of risks.
Our Community
- Putting in place a risk management strategy
- Risk Management Framework: 10 Steps to a safer organisation
- For larger organisations their board of directors is ultimately responsible for risk governance. Here are some tips on the Role of the Board in Risk Management
NDIS Insurances
The core module of the Practice Standards require that certain insurances are evidenced during the audit process. These include public liability, professional indemnity and accident cover.
Before buying insurance, we have prepared our Top 5 Tips of things to consider
Incident Management & Complaints management, human resources
Workers compensation
- Who needs to buy Workers Compensation Insurance? - Icare (NSW)
- Workers Compensation in other States - Fairwork Australia
Information Management