Audit outcomes are most often impacted by avoidable issues. Providers can significantly improve their audit performance by focusing on the following common problem areas.
1. Incomplete Documentation
The Problem: Auditors frequently find missing or outdated policies, expired staff checks (like WWCC or police checks), or absent risk assessments for participants and environments.
Solution: Use a system like AuditDoc to automatically track expiry dates for all critical documents and prompt you for renewal, ensuring all policies are current and easily accessible.
2. Poor Evidence Handling
The Problem: It's not enough to have a policy written down; you must prove it's being implemented. A common failure is having a training policy but no records to show that staff actually completed the training.
Solution: Store linked evidence directly with the relevant policy. For example, upload training attendance sheets, meeting minutes, and completed logs in AuditDoc to create a clear evidence trail.
3. Ineffective Corrective Action Responses (CARs)
The Problem: When an issue is found, providers often fix the symptom but not the root cause. This leads to the same non-conformity appearing in subsequent audits.
Solution: Implement a structured process for CARs. Conduct a thorough root cause analysis, allocate clear responsibilities for fixing the issue, and track the progress of all CARs to completion within a dedicated system.
4. No Internal Audit Cadence
The Problem: Many providers only start preparing a few weeks before their external audit. This "cramming" approach often means systemic issues are missed and the organisation isn't truly embedding quality practices.
Solution: Schedule and run quarterly mini-audits. Use a tool with an internal checklist function, like AuditDoc, to proactively review your own systems, identify gaps, and fix them long before the external auditor arrives.
5. Staff Unaware of NDIS Practice Standards
The Problem: During an on-site audit, auditors will interview frontline staff to gauge their understanding of policies like incident management, feedback, and restrictive practices. If staff can't answer basic questions, it signals a failure in training and communication.
Solution: Provide regular, practical training on the NDIS Practice Standards that are relevant to each staff member's role. Keep records of this training and make policies easily accessible to everyone.
Official Reference
For detailed information on compliance requirements, always consult the official standards.
© AuditDoc – Articles prepared for Resources Page. Please cite the NDIS Commission as the authoritative source.