NDIS Audit Checklist

Use this NDIS Audit Checklist to ensure compliance with Australia's NDIS Practice Standards for participant safety, service quality, and documentation.

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NDIS Audit Checklist



Provider Registration And Governance

1. The organisation's NDIS registration is current and covers all support types being delivered


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2. The registration scope accurately reflects all services actively provided to participants


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3. Key personnel are listed on the NDIS provider registration and their details are up to date


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4. The NDIS Commission has been notified of any changes to key personnel, service locations, business structure, or ownership as they occurred


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5. A governance structure is documented, including reporting lines, decision-making authority levels, and escalation procedures


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6. The organisation's constitution, ABN, and business registration details are current and accessible


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7. The Code of Conduct obligations are documented and communicated to all workers and subcontractors


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8. Subcontractors and third-party service providers are covered by written agreements that include NDIS compliance obligations


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Policies And Procedures Documentation

1. A current policy register lists all required policies with version numbers and review dates


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2. All policies have been reviewed within the last 12 months and reflect current NDIS Practice Standards


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3. Policies are stored in a location accessible to all relevant workers


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4. Policies cover: participant rights and privacy, incident management, complaints handling, risk management, worker screening, restrictive practices (if applicable), and business continuity


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5. Each policy names the responsible role for implementation and review


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6. Workers have acknowledged they have read and understood all relevant policies, with records retained


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7. Procedures are documented in sufficient detail for a new worker to follow without additional instruction


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Risk Management And Emergency Planning

1. A risk register is maintained and reviewed at least annually, with risks rated by likelihood and consequence


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2. Each identified risk has an assigned owner and documented treatment or mitigation strategy


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3. An emergency management plan is in place covering natural disasters relevant to the organisation's operating region (bushfire, flood, cyclone as applicable)


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4. The emergency plan includes evacuation procedures, communication protocols, and continuity arrangements for participants with high support needs


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5. The emergency plan has been tested or reviewed within the last 12 months


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6. Business continuity arrangements are documented for scenarios involving key staff absence, system outages, or service disruption


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7. Participants' individual emergency and evacuation needs are documented in their support plans


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Worker Screening And Staff Management

1. All workers in risk-assessed roles hold a current NDIS Worker Screening Clearance


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2. A register of risk-assessed roles and the workers filling them is maintained and kept for a minimum of seven years


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3. Screening clearance expiry dates are monitored and renewals are initiated before expiry


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4. Workers engaged as sole traders or through labour hire are screened in accordance with NDIS requirements


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5. Position descriptions exist for all roles and include the capabilities required under the NDIS Commission's guidance


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6. Workers have completed NDIS Worker Orientation Module induction, with completion records retained


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7. Ongoing training requirements are tracked and records of completion are maintained for each worker


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8. Supervision arrangements for support workers are documented and followed in practice


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9. Worker performance issues relevant to participant safety are documented and addressed through a formal process


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Participant Rights And Service Agreements

1. Each participant has a current, signed service agreement that specifies the supports to be delivered, their frequency, cost, and location


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2. Service agreements are written in plain language and in a format accessible to the participant (or their representative)


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3. Participants have been informed of their rights under the NDIS, including the right to make complaints, the right to privacy, and the right to choose their provider


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4. Consent has been obtained and documented for all services, information sharing, and use of photographs or personal information


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5. Participants have been informed of the organisation's complaints process in a format they can understand


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6. A current privacy policy is in place and participants are made aware of how their personal information is collected, used, and stored


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7. Participant records are stored securely and access is limited to authorised workers


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8. Participants are supported to make decisions about their own services and this is documented in their support plans


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Incident And Complaint Management

1. An incident management system is in place and documented in a written procedure


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2. All workers are trained on how to identify, record, and report incidents


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3. Incident report forms capture: date, time, description of the incident, people involved, immediate actions taken, and follow-up required


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4. Reportable incidents are notified to the NDIS Commission within the required timeframes (within 24 hours for serious incidents, five days for written report)


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5. A register of all incidents is maintained and reviewed regularly by management


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6. Each incident record includes a root cause assessment and any corrective actions taken


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7. Trends in incident data are reviewed at least quarterly and used to inform quality improvement


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8. A complaints management procedure is in place and accessible to participants, families, and advocates


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9. All complaints are recorded, acknowledged within a reasonable timeframe, and resolved with the outcome communicated to the complainant


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10. Complaint data is reviewed regularly and used to identify systemic issues or improvement opportunities


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11. Workers are not subject to adverse action for raising concerns or complaints in good faith


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Support Delivery And Care Planning — Certification Providers

1. Each participant has a current, individualised support plan developed with their involvement or the involvement of their representative


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2. Support plans document the participant's goals, preferences, support needs, communication style, and any risk factors relevant to their care


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3. Support plans are reviewed at intervals agreed with the participant and updated following any significant change in their circumstances


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4. Progress notes are completed after each support shift and document what occurred, the participant's response, and any concerns observed


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5. Support workers are briefed on each participant's support plan before delivering services


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6. Medication management procedures are documented and followed where workers assist with medication (certification providers delivering health supports)


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7. Restrictive practices are only used where authorised under relevant state or territory legislation, documented in the participant's behaviour support plan, and reported to the NDIS Commission as required


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8. Behaviour support plans are developed or reviewed by a registered behaviour support practitioner where restrictive practices are in use


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9. Participant health and wellbeing is monitored and any deterioration is escalated promptly to appropriate personnel or health practitioners


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Record Keeping And Evidence Readiness

1. Participant files contain all required documentation: service agreements, support plans, progress notes, incident reports, consent forms, and relevant correspondence


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2. Records are retained for the minimum required periods (seven years for most participant records, or longer if required by state legislation)


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3. Records are stored securely, with access controls in place and audit trails where records are digital


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4. Financial records, including NDIS payment claims, are accurate, reconciled, and retained in accordance with NDIS pricing and payment requirements


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5. The organisation only claims for supports that have been delivered and are within the participant's plan and service agreement


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6. Evidence of service delivery (shift records, progress notes, participant signatures or equivalent) is retained for all claims submitted to the NDIA


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7. Documentation is organised and retrievable within a timeframe that would meet an auditor's request during an unannounced audit


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Continuous Improvement

1. A continuous improvement register or log is maintained, recording identified improvements and their status


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2. Findings from incidents, complaints, audits, and participant feedback are reviewed and translated into improvement actions


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3. Improvement actions have assigned owners and target completion dates


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4. The outcomes of completed improvement actions are evaluated to confirm they achieved the intended result


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5. Management reviews compliance performance data at least quarterly, including incident trends, complaint rates, and audit findings


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6. Participants and workers are given opportunities to provide feedback on service quality, and this feedback is used to inform improvement


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7. The organisation conducts internal self-assessments against the NDIS Practice Standards at least annually, ahead of scheduled external audits


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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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