Running an Internal Compliance Audit

An internal audit is a planned, objective check of whether what we do matches what we say we do, and whether that meets the NDIS Practice Standards and our own policies. It is part of our quality management system and a key way to keep improving. This lesson explains the purpose of internal audits, how they differ from external audits, and the mindset that makes them useful. Key points: audits look for evidence not opinions, they test systems not people, and their value lies in the improvements that follow.

A clear scope keeps an internal audit focused and manageable. This lesson shows you how to choose what to audit, which NDIS Practice Standards outcomes and internal policies apply, which services, time period and records are included, and who you will speak with. It explains how to use risk, previous findings, incidents and complaints to decide priorities, and how to write a short audit plan that tells everyone what to expect. Key points: base scope on risk, link each area to a standard, and agree the plan before you start.

You rarely have time to check every file, so sampling lets you draw fair conclusions from a smaller set. This lesson explains how to choose a sample that is random but also includes higher risk participants and newer workers, how to trace a participant's journey through their records, and how to combine document review, observation and interviews. It also covers how to record evidence clearly and handle personal information respectfully. Key points: sample fairly, trace across records, triangulate your evidence and write down exactly what you saw.

Consistent ratings make audit results fair and comparable across services. This lesson explains how we classify results: conformity where the requirement is met, a minor nonconformity where there is an isolated or low risk gap, a major nonconformity where a requirement is not met in a way that creates significant risk or a system failure, and opportunities for improvement. You will learn how to write a clear finding that states the requirement, the evidence and the gap, and why immediate risks to a participant must be escalated straight away.

An audit only improves support if its findings lead to action. This lesson explains how to agree a corrective action plan with the service, how to address root causes rather than just fixing individual files, how to set owners and realistic due dates, and how to check that actions actually worked. It also covers recording actions in our continuous improvement register and reporting themes to senior leaders. Key points: fix the file and the system, assign an owner and date to every action, and verify effectiveness before closing.

A strong internal audit program is the best preparation for an external audit by an approved quality auditor. This lesson explains how to use internal audit results to show continuous improvement, how to prepare teams and participants for interviews without scripting them, how to organise evidence so it can be found quickly, and how to respond honestly during the audit. Key points: be audit ready all year round, show your improvement journey, never alter records, and treat any external finding as another chance to improve.

This case study follows Kiri, a team leader auditing medication support at Riverbend, a supported independent living service. Using the participant journey technique, she compares medication charts with incident records and case notes, and finds entries that do not add up. The lesson shows how to record the evidence precisely, check other sources before drawing conclusions, and escalate a possible serious issue straight away rather than holding it for the report. Key points: evidence first, stay neutral, escalate risks immediately and keep the audit fair to everyone involved.

This case study follows a follow up audit at Harbourside, a community participation service, six months after an internal audit found overdue support plan reviews. The service manager has marked the corrective action closed, but a fresh sample tells a different story, and an external audit is only weeks away. The lesson shows how to test whether actions worked, how to respond to pressure to close findings early, and how an honest improvement record helps at an external audit. Key points: closed means it worked, and honesty builds confidence.