What are your pain points?
Compliance / Audit and Safeguards
NDIS Practice Standards
Providers must comply with the NDIS Practice Standards, which cover:
• Person-centred supports.
• Rights and responsibilities
• Governance and operational management.
• The provision of safe, effective services.
• Evidence must be shown during audits (via policies, procedures, and outcomes).
PROCESS
Processes to implement:
• Internal audits against NDIS Practice Standards at regular intervals (e.g. quarterly)
• Maintain a Policy & Procedure Manual aligned with the Standards
• Conduct regular staff training on participant rights, service delivery, and ethical practice
• Maintain a continuous improvement register and track updates based on staff and participant feedback
• Implement a risk management framework (including financial, WHS, and service delivery risks)
DESIRED OUTCOME
• Policies and procedures are aligned to the Standards.
• Evidence of quality management (e.g., internal audits, continuous improvement).
• Staff are trained, and participant outcomes are tracked.
• Auditors find consistency between policy, practice, and participant experience.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Incident Management
• Record, manage, and respond to all incidents.
• Report reportable incidents (such as abuse, neglect, or unauthorised restrictive practices) to the NDIS Commission within required timeframes.
• Proper follow-up, support, and continuous improvement processes must be documented.
PROCESS
Processes to implement:
• Establish a clear incident management policy and procedure (accessible to staff)
• Use a secure, centralised system (like HuGo) to log, review, and track all incidents
• Classify incidents (e.g., minor, moderate, critical) based on a risk matrix
• Report Reportable Incidents to the NDIS Commission within 5 business days (or 24 hours for serious ones like death or abuse)
• Conduct incident debriefings, follow-ups, and root cause analyses
• Use data from incidents to improve training and risk mitigation
DESIRED OUTCOME
Audit Outcome: Compliant
• Clear incident management system is in place and used.
• Reportable incidents are lodged within timeframes.
• There’s evidence of analysis, learning, and system improvement.
• Staff know how to report and respond to incidents.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Complaints Handling
• Encourages feedback.
• Protects confidentiality.
• Enables resolution and follow-up.
• Complaints about serious issues (e.g. safety, abuse) must be reported to the NDIS Commission.
PROCESS
Processes to implement:
• Establish a clear incident management policy and procedure (accessible to staff)
• Use a secure, centralised system (like HuGo) to log, review, and track all incidents
• Classify incidents (e.g., minor, moderate, critical) based on a risk matrix
• Report Reportable Incidents to the NDIS Commission within 5 business days (or 24 hours for serious ones like death or abuse)
• Conduct incident debriefings, follow-ups, and root cause analyses
• Use data from incidents to improve training and risk mitigation
DESIRED OUTCOME
• Clear incident management system is in place and used.
• Reportable incidents are lodged within timeframes.
• There’s evidence of analysis, learning, and system improvement.
• Staff know how to report and respond to incidents.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Worker Screening and Training
• Keep worker records up to date.
• Provide appropriate training and supervision, especially around participant rights, safety, restrictive practices, and emergency procedures.
PROCESS
Processes to implement:
• Maintain a comprehensive employee register including:
• Worker screening status (NDIS Worker Check).
• Qualification evidence.
• Training completion dates.
• Set up automated alerts for expiring screenings, licenses, and first aid.
• Deliver mandatory onboarding training (including rights, safeguarding, incident reporting, code of conduct).
• Conduct annual refresher training and performance reviews.
Supervise new or high-risk staff through buddy shifts or probation programs.
DESIRED OUTCOME
• Staff have current NDIS Worker Screening Checks.
• Training records are complete and up to date.
• Induction and supervision processes are in place.
• Training aligns with participants’ needs (e.g. behaviour support, communication).
HUGO MODULE TO ENSURE DESIRED OUTCOME
Behaviour Support and Restricitive Practices
• Work with an NDIS-registered Behaviour Support Practitioner.
• Have an authorised behaviour support plan in place.
• Submit data reports and notify the NDIS Commission of incidents.
• Follow state/territory authorisation frameworks.
PROCESS
Processes to implement:
• Establish a clear incident management policy and procedure (accessible to staff)
• Use a secure, centralised system (like HuGo) to log, review, and track all incidents
• Classify incidents (e.g., minor, moderate, critical) based on a risk matrix
• Report Reportable Incidents to the NDIS Commission within 5 business days (or 24 hours for serious ones like death or abuse)
• Conduct incident debriefings, follow-ups, and root cause analyses
• Use data from incidents to improve training and risk mitigation
DESIRED OUTCOME
• Clear incident management system is in place and used.
• Reportable incidents are lodged within timeframes.
• There’s evidence of analysis, learning, and system improvement.
• Staff know how to report and respond to incidents.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Rostering, Staff and Participant Care Supports
Matching staff skills to participant needs
Inability to roster staff with the right qualifications or behavioural training (e.g. PEG feeding, PBSPs).
Staff assigned to shifts without understanding the participant’s communication style, culture, or triggers.
Lack of visibility into worker screening, training, or expired compliance checks.
PROCESS
Recommended Processes:
• Maintain a staff skills matrix in your rostering system (e.g. training, qualifications, behaviour support capacity).
• Use rostering software (like HuGo) with tag-based matching (e.g. “PBSP trained,” “complex care approved”).
• Set rules that prevent assigning unqualified staff to shifts with specific participant profiles
Integrate HuGo Passport data (or similar) to auto-flag compliance issues during rostering.
DESIRED OUTCOME
Audit Outcome: Compliant
• Auditors would see a clear system (digital or manual) matching staff capabilities with participant needs.
• Evidence of qualified staff consistently rostered with participants who require specialised care.
• No breaches in qualification, worker screening, or behavioural support assignments.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Last minute changes and shift gaps
• Difficulty backfilling shifts quickly while maintaining compliance.
• Manual or disconnected systems slow down communication and approvals.
PROCESS
Recommended Processes:
• Develop a rapid response protocol for unplanned absences (e.g. SMS to standby list, 2-hour rule).
• Maintain an up-to-date on-call roster with a nominated contact each day.
• Use a mobile-enabled rostering app to instantly notify staff of changes.
• Have pre-approved short-notice fill-in staff tagged in the system for each shift type.
DESIRED OUTCOME
• Auditors would view structured protocols to manage short-notice changes, reducing risk to participants.
• Records of standby staff, SMS logs, and minimal disruption in continuity of care would demonstrate resilience.
Shift logs and handovers remain complete and timely.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Poor communication between rostering and support worker teams
• Roster messages get lost across multiple platforms (text, email, apps, calls).
• No clear documentation of who accepted a shift and when.
PROCESS
Recommended Processes:
• Use one platform (e.g. HuGo Hoot) for all roster-related communications.
• Log all shift offers, acceptances, and changes with digital confirmation.
• Set up automated alerts (email/SMS) when shifts are modified.
• Run a weekly “roster readiness check” with Team Leaders to ensure accuracy.
DESIRED OUTCOME
• Auditors would see consolidated communications (e.g., via HuGo Hoot or a single platform).
• Staff can confirm shifts and receive changes in real time.
• Clear documentation of shift acceptance and coverage — aligned with participant support requirements.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Lack of integration with other business systems
• Payroll.
• Incident reporting.
• Compliance registers (e.g. worker expiry dates).
Leads to double-handling, data errors, and audit risks.
PROCESS
Recommended Processes:
• Ensure rostering software integrates with payroll, compliance, and incident reporting tools.
• Automate alerts when a staff member with expired credentials is rostered.
• Use system reporting to track discrepancies between rosters and shift notes.
• Perform monthly data sync audits across systems (roster vs. timesheets vs. incidents).
DESIRED OUTCOME
• Integration with HR, compliance, and payroll systems improves accuracy and reduces duplication.
• Auditors can trace a shift from rostering to delivery to payment — with consistent records.
• System-generated reports aid transparency and reduce audit friction.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Compliance and Fairwork issues
• Breach of NDIS Award rules (e.g. back-to-back shifts, overtime, rest breaks).
• Insufficient audit trail for who worked when and with whom.
• Failing to meet NDIS audit expectations for roster documentation.
PROCESS
Implement built-in Fair Work Award rules in your rostering system. Track and alert for breaches of:
• Rest breaks.
• Minimum time between shifts.
• Overtime limits.
• Store digital evidence of rosters and worked shifts for audit readiness.
• Run weekly exception reports to flag non-compliant roster pattern.
DESIRED OUTCOME
• No evidence of award breaches (rest breaks, max hours, back-to-backs).
• Documentation shows shifts are fairly assigned and within legal boundaries.
• Rostering logs align with payroll and timesheets — a major tick during audits.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Participant impact/duty of care
• Poor tracking of required qualifications (e.g., First Aid, CPR, Manual Handling).
• Staff rostered without meeting compliance (e.g., restrictive practices, behaviour support).
PROCESS
Recommended Processes:
• Prioritise consistency of staff in roster planning (assign familiar workers wherever possible).
• Tag workers preferred by each participant in the rostering system.
• Track staff changes per participant per week and set internal limits (e.g. no more than 3 unfamiliar staff in 7 days).
• Gather participant feedback monthly on support consistency and quality.
DESIRED OUTCOME
• Participants report consistent support from familiar staff.
• There is evidence of planning for continuity, especially for those with complex needs.
• Feedback mechanisms are in place and acted on, showing participant outcomes are prioritised.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Workforce Capability and Audit
Worker screening and compliance gaps
• Poor tracking of required qualifications (e.g., First Aid, CPR, Manual Handling).
• Staff rostered without meeting compliance (e.g., restrictive practices, behaviour support).
PROCESS
Processes to implement. Centralised compliance tracker (e.g., HuGo Passport or HR software) for:
• NDIS Worker Screening Checks
• First Aid, CPR, Medication, Manual Handling
• Expiry alerts 30–60 days prior
• Pre-roster checks that prevent unqualified staff being rostered
• Monthly compliance audits reported to leadership
• Require new staff to submit documents before first shift (no exceptions)
DESIRED OUTCOME
• Auditors would confirm that all staff have NDIS Worker Screening Checks and required qualifications.
• The system proactively flags and prevents non-compliant staff from being rostered.
• Documented audit trail shows expiry alerts, follow-ups, and training history.
HUGO MODULE TO ENSURE DESIRED OUTCOME
High staff turnover, workforce instability (client care)
• Difficulty attracting and retaining qualified support worker.
• Over-reliance on casual staff, leading to inconsistent care.
• Burnout and poor morale due to under-support or unclear expectations.
PROCESS
Processes to implement:
• Conduct exit interviews and trend analysis to identify root causes of turnover.
• Create a retention plan: flexible hours, wellbeing support, mentoring.
• Offer secure pathways (casual → part-time → full-time) with performance milestones.
• Recognise long service with certificates, small bonuses, or public acknowledgment.
DESIRED OUTCOME
• Regular exit interviews show you’ve identified turnover drivers.
• Actions taken to reduce churn (e.g. flexible roles, wellbeing programs) are documented.
• Auditors see stable workforce planning, with consistent care teams in high-needs areas.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Inadequate Onboarding & Inductions (Individualised)
• Rushed or inconsistent onboarding processe
• New staff unclear on participant-specific needs, incident reporting, or restrictive practice protocols
• No probation period structure or follow-up check-ins
PROCESS
Processes to implement:
• Use of a structured onboarding checklist (admin, tech access, policies, values, support expectations).
• Pair new workers with mentors or buddy shifts.
• Include site-specific and participant-specific inductions (PBSP, behaviour triggers, routines).
• Conduct a 30/60/90-day review for probationary staff.
DESIRED OUTCOME
• Every new staff member has a documented onboarding record.
• Participant-specific inductions and probation reviews are standard.
• Staff interviewed during audit are aware of expectations, policies, and who to contact for support.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Poor training and workforce development
• Inability to track who has completed mandatory or role-specific training.
• No learning management system (LMS) or centralised records.
• Little focus on upskilling, leading to stagnation or disengagement.
PROCESS
• Implement a Learning Management System (LMS) or integrate with HuGo to assign and track mandatory training.
• Set automated refresher alerts.
• Link training modules to specific service types (e.g. SIL, community, complex behaviour).
Create an annual training plan that includes:
• Mandatory compliance
• Optional upskilling
• Leadership development
DESIRED OUTCOME
Audit Outcome: Compliant to Exceeding
• Your LMS or training register is up-to-date and linked to staff profiles.
• Mandatory training is current and role-appropriate (e.g. PBSP, infection control, medication).
• Auditors see a clear workforce development plan, not just compliance-focused training.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Lack of trust or access to HR support
• HR seen as aligned with senior management, not neutral or approachable.
• No clear process for reporting bullying, burnout, or team conflict.
• Confidentiality not respected or perceived as compromised.
PROCESS
• Appoint an independent or neutral People & Culture Partner for confidential support.
• Offer an anonymous feedback channel (digital or physical).
• Train HR team on confidentiality, trauma-informed care, and non-biased handling.
• Communicate clearly how staff can raise issues — and ensure there’s no risk of retaliation.
DESIRED OUTCOME
Audit Outcome: Compliant/Leading Practice
• Evidence of confidential, neutral pathways for staff to raise concerns (e.g. People & Culture role).
• Staff report they feel safe and supported to voice issues without fear of retaliation.
• HR logs show timely, respectful resolution of internal matters.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Rostering disconnects
HR not fully aligned with rostering team, leading to:
• Staff being rostered outside of availability or award limits.
• Misalignment of qualifications with participant needs.
• Overlooked fatigue and WHS breaches.
PROCESS
• Collect and report HR metrics monthly: turnover, absenteeism, engagement.
• Integrate HR in leadership decision-making (e.g., workforce forecasting, culture change).
• Build a HR calendar with strategic initiatives (e.g., diversity reviews, succession planning).
• Train HR leaders in data analysis, workforce planning, and leadership coaching.
DESIRED OUTCOME
Audit Outcome: Compliant
• Rostering aligns with HR records (availability, fatigue, skills).
• Staff are only rostered when fully qualified, compliant, and within Award limitations.
• Auditors see integrated systems and strong collaboration between HR and operations.
HUGO MODULE TO ENSURE DESIRED OUTCOME
Limited Strategic HR capabilities
• HR seen as reactive/admin-focused rather than proactive and strategic.
• No data-driven workforce planning (e.g., succession, diversity, performance).
• HR lacks influence in leadership decisions.
PROCESS
• Collect and report HR metrics monthly: turnover, absenteeism, engagement.
• Integrate HR in leadership decision-making (e.g., workforce forecasting, culture change).
• Build a HR calendar with strategic initiatives (e.g., diversity reviews, succession planning).
• Train HR leaders in data analysis, workforce planning, and leadership coaching.
DESIRED OUTCOME
Audit Outcome: Compliant to Exceeding
• HR contributes to leadership strategy, with workforce metrics, planning, and risk forecasting.
• Evidence of action on diversity, engagement, and retention.
• Auditors see HR as a driver of culture and compliance — not just admin.
HUGO MODULE TO ENSURE DESIRED OUTCOME
