A mid-term audit is the next important step in the audit cycle for many NDIS providers. We spoke to Ardin Keshavarz, Director Of Operations, Global Compliance Certification, an Approved Quality Auditor for the NDIS practice standards to find out what is involved in a mid-term audit and how to prepare.
Q: What is a mid-term audit and who needs to complete one?
A: Mid-term audit is an on-site assessment to evaluate the effectiveness and implementation of the provider’s system to meet the requirements of the applicable modules of the NDIS Practice standards.
Providers whose last audit was a renewal, certification or recertification are required to conduct a midterm audit.
Q: How does a mid-term audit differ from a registration or renewal audit?
A: In general, the purpose of both audits is to evaluate the effectiveness and implementation of the NDIS provider’s systems in addressing all relevant modules or parts of the NDIS Practice Standards.
While the main purpose of the midterm audit is to assess whether the provider has maintained their management system by meeting the following applicable standards:
– The Governance and Operational Management practice standards e.g. Risk management, Complaints management and resolution, Incident management, Human resource management, Continuity of supports, etc.
– Corrective actions to close the minor non-conformities raised at the previous audit if applicable
– and also, any standard specified in relation to the audit by the Commissioner in a written notice given to the provider.
Please note that the participant interviews will also need to be carried out at the mid-term audit.
Q: When should I start preparing for a mid-term audit?
A: As per the section 13B of the NDIS (Provider Registration and Practice Standards) Rules 2018, provides that a mid-term audit is required to use certification and must commence no later than 18 months after the beginning of the period for which the provider’s registration is in force.
To avoid being in breach of the condition of registration we strongly encourage the providers to conduct their mid-term audit sometime between 12 to 15 months from their registration date.
Q: Do I need to use the same auditor as my registration/renewal audit?
A: Technically speaking, any Approved NDIS Auditor can conduct a mid-term audit and the mid-term audit does not necessarily need to be conducted by the same auditor, or auditing company.
It’s understandable that some providers feel more comfortable to work once more with the previous auditor given their familiarity with their business. If this is the case, they may ask their AQA to preferably schedule the same auditor.
Contrary to this, considering each auditor has a different industry background and experience, having a new auditor might potentially provide you with a new perspective or vantage point, which could lead to new opportunities of improvement.
Need help with your mid-term audit?
PROVIDERplus are the experts when it comes to the NDIS. Wherever you may be in the audit process, PROVIDERplus can remove the stress and confusion, and give you clarity and success. To find out how PROVIDERplus could help you, call 1300 852 790 or click here to find out more.