Psychology Board of Australia
Psychology Board of Australia
 

Audit

About audit

AHPRA conducts regular audits of health practitioners on behalf of the National Boards.

Audits are an important way for all practitioners to demonstrate to the Boards and the public that they understand, have met, and will continue to meet the mandatory registration standards relevant to their profession.

At registration renewal, each practitioner submits their annual statement declaring their compliance with these standards.
The purpose of audit is to confirm that the practitioner has complied with these standards. Audit involves the assessment of information submitted as evidence of compliance, and taking relevant action if compliance is not confirmed.

AHPRA and the National Boards have developed a nationally consistent approach to audit for all practitioners.

Declarations, Registration and the National Law

Each time a practitioner applies to renew their registration they make an annual statement declaring that during the previous registration period they have (or have not) fully met the four mandatory registration standards for their profession.

This annual statement includes (but is not limited to) declarations about whether the practitioner has:

  1. met the Recency of practice requirements stated in the Board’s recency of practice registration standard;
  2. met the Board’s Continuing Professional Development (CPD) requirements stated in the Board’s CPD registration standard;
  3. practised in accordance with the Professional Indemnity Insurance (PII) requirements stated in the Board PII registration standard, and whether they commit to practise in accordance with that registration standard; and
  4. fully disclosed all changes in their criminal history whether in Australia or outside Australia.

Under the Health Practitioner Regulation National Law, as in force in each state and territory (the National Law), AHPRA can request (on behalf of a Board) that the practitioner submit further information as evidence to demonstrate that they have met the standards, as declared in their annual statement.

How will the practitioner know if they are being audited?

Each year a random sample of practitioners are selected for audit.

The practitioner will receive an audit notice in the mail from AHPRA.

The audit notice will:

  • identify which of the four mandatory registration standard(s) are being audited;
  • specify the information the practitioner is required to submit to demonstrate compliance with the audited standard(s);
  • specify the due date for the submission of the required information;
  • include a checklist, templates and tools to support the practitioner to prepare their submission; and
  • provide contact details should further information is required.

To avoid submitting unnecessary information, it is important that the practitioner carefully follows the directions in their audit notice.

What standards are audited?

All four mandatory registration standards could be audited at any time.

Practitioners should anticipate an audit and should routinely maintain their records in accordance with the standards and guidance information developed by the Board and relevant to their profession.

The boards determine which standard/s are the ‘audited standards’ for each specified audit period. Each audit will target one or more of the standard/s.

What action must the practitioner take if selected for audit?

If selected for audit the practitioner must take the required action relevant to the audited standard.

The audit notice includes a checklist for the required actions for the practitioner.

The practitioner must complete the required actions by the due date.

As a guide, this table provides an example of the usual required actions for each registration standard.

** Note: Standards are updated from time to time. The audit will be conducted against the version of the standard that was effective during the specified audit period. The audit notice will specify the version of the standard that is applicable. 

Potential audited registration standard Action to be taken if the practitioner is selected for audit of this standard PDF Accessible format

Criminal history registration standard, effective from 1 July 2015

No further action is required unless the practitioner is asked to provide more information. AHPRA uses an independent service provider to check domestic criminal history, which will happen automatically at no cost to the practitioner.

The practitioner must submit the required information or seek approval for an extension before the date specified in their audit notice.

If the practitioner has not fully complied with the standard they must submit a statement to explain their specific circumstances.
PDF 
(249KB)
Word version (574 KB,DOCX)
Continuing professional development (CPD) registration standard, effective from December 2015 The practitioner must submit evidence of the CPD activities undertaken to meet the requirements of the Board standard relevant to the specified audit period.

The practitioner must submit the required information or seek approval for an extension before the date specified in your their audit notice.

If the practitioner has not fully complied with the standard they must submit a statement to explain their specific circumstances.
PDF 
(171KB)
Word version 
(104KB,DOCX)
Recency of practice registration standard, effective to 30 November 2016* The practitioner must submit evidence of the ROP undertaken to meet the requirements of the Board standard relevant to the specified audit period.

The practitioner must submit the required information or seek approval for an extension before the date specified in your their audit notice.

If the practitioner has not fully complied with the standard they must submit a statement to explain their specific circumstances.
PDF 
(335KB)
Professional indemnity insurance (PII) registration standard, effective from 1 June 2012* The practitioner must submit evidence of PII arrangements which meet the requirements of the Board’s PII registration standard.

The practitioner must submit the required information or seek approval for an extension before the date specified in their audit notice.

If the practitioner has not fully complied with the standard they must submit a statement to explain their specific circumstances.
PDF 
(335KB)

What happens after the practitioner has made their audit submission?

On behalf of the Board, AHPRA assesses the practitioner’s submission for evidence of compliance. Further information might be requested during this assessment.

If the audit finds that the practitioner has demonstrated full compliance with the audited standard/s, the practitioner will be advised of the findings. No further action is required.

The vast majority of practitioners have been found to comply with the registration standards.

What if the practitioner is found to be non-compliant?

When an audit finds that the practitioner has not demonstrated full compliance with the audited standards, all Boards follow an approach consistent with the regulatory principles, which adopts an educational approach seeking to balance the protection of the public with the use of appropriate regulatory force.

The Board’s action is determined on a case by case basis having taken into account all available information and the specific circumstances of the practitioner.

Practitioners who are found to have ‘not quite’ met the registration standard but are able to provide evidence of achieving full compliance during the next audit period, are managed through education to achieve full compliance and the submission of evidence within a specified timeframe that in most cases with coincide with the next renewal period.

Practitioners who are found to have not met the registration standard are usually subject to the Board taking relevant action in accordance with the National Law. Examples of relevant action, pursuant to section 178 of the National Law include:

  • caution the practitioner about the importance of complying with the registration standards
  • accept an undertaking from the practitioner
  • impose a condition/s for example requiring the practitioner to:
    • complete specified further education or training within a specified timeframe
    • undertake a period of supervised practice
    • do or refrain from doing something in connection with their practice
    • manage their practice in a specified way
    • report to a specified person at specified times about their practice
    • not employ, engage or recommend a specified person or class of person
  • refer the matter to another entity, including, for example, a health complaints entity for investigation of further action.

All matters that involve issuing a caution or placing conditions on a registration are subject to a ‘show cause’ process. This show cause process alerts the practitioner to the boards proposed action and gives the practitioner an opportunity to respond before a final decision is made.

Templates and resources

Below are resources to help you fulfill the requirements of the audit.

*Exemption from Web Content Accessibility Guidelines

The above documents have been made available on this website in compliance with the National Law and also in the interest of transparency. Wherever possible, the Psychology Board of Australia provides web content in accessible formats. However in cases where the documents have been provided by other parties, accessible format files may not be available or be approved for use.

If you have difficulty accessing one of these documents, please contact AHPRA at webservices@ahpra.gov.au, and we will attempt to provide you with an accessible version.

 
 
 
Page reviewed 13/02/2017