NDIS Audit Checklist for Registered Providers
A practical checklist covering the key areas assessed by the NDIS Quality and Safeguards Commission during certification and verification audits of registered NDIS providers.
What NDIS audits assess
Registered NDIS providers are required to undergo audits conducted by approved quality auditors on behalf of the NDIS Quality and Safeguards Commission. These audits assess whether a provider meets the NDIS Practice Standards — a set of quality and safety requirements that apply to all registered support providers.
The type of audit (certification or verification) depends on the registration group and risk level of the supports delivered. Certification audits are more comprehensive and include both document review and on-site assessment. Verification audits are generally conducted through document review only.
Both audit types assess compliance against the Core Module of the NDIS Practice Standards, with additional modules applied depending on the supports registered.
NDIS audit checklist by area
Governance and operational management
- Governing body roles, responsibilities, and meeting records documented
- Organisational policies reviewed and approved within the last 12 months
- Risk management framework in place and current
- Complaint management system operational with records maintained
- Incident management and reporting procedures documented and followed
Rights and responsibilities
- Participant rights communicated at intake and documented in service agreements
- Access to independent advocacy information provided to participants
- Participant feedback and complaints process clearly explained
- Privacy and confidentiality policy in place and communicated
Provision of supports
- Support plans developed with participant input and reviewed regularly
- Support workers have required qualifications and current NDIS Worker Screening clearances
- Medication management procedures in place where supports include medication assistance
- Records of service delivery maintained and accessible
Support provision environment (if applicable)
- Safety of premises assessed and documented
- Emergency evacuation procedures in place and practiced
- WHS risk assessments completed for the support environment
- Equipment and aids checked and maintained
Human resources
- Staff recruitment processes include reference and background checks
- Induction program covers NDIS Code of Conduct, rights, safeguarding
- Ongoing training records maintained for all support workers
- Supervision arrangements documented and occurring regularly
Common gaps identified in NDIS audits
The most frequently cited non-conformances in NDIS audits include: outdated or unsigned policies, incomplete incident records, missing or expired NDIS Worker Screening clearances, and support plans that were developed without adequate participant involvement.
Risk management documentation is another area where providers often fall short. The NDIS Practice Standards require a documented risk management system, and auditors will check whether it is current, whether risks have been assessed, and whether controls are implemented and monitored. A standalone risk assessment for each support environment or high-risk activity is increasingly expected.
Preparing for your NDIS audit
- Review your policy suite: Ensure all policies are current, approved by your governing body, and reflect actual practice. Outdated policies that do not match what staff do in practice are a common finding.
- Check Worker Screening clearances: Every worker who delivers NDIS supports or has more than incidental contact with participants must have a current NDIS Worker Screening clearance. Verify records are complete before the audit.
- Audit your incident records: Auditors will check that reportable incidents were identified, reported to the Commission within required timeframes, and that appropriate follow-up occurred.
- Document your risk assessments: If you deliver supports that involve physical risk to participants — including support for daily activities, community participation, or in a shared living setting — documented risk assessments should be on file.
Need a risk assessment for NDIS compliance?
If your NDIS audit preparation has identified gaps in your risk documentation, speak with a risk advisor about how a structured risk assessment can support your compliance.
Contact a Risk Advisor