Preparing for Your NDIS Audit

Step 1: Understand Your Audit Type and Requirements

Before you begin preparation, confirm:

• Which audit type: Verification or certification? (Use our Registration Pathway Checker)
• Which modules apply: Core Module (always) plus any supplementary modules for your registration groups
• Your timeline: Are you subject to mandatory registration deadlines?

Step 2: Select an Approved Quality Auditor

Choose from the NDIS Commission's list of approved auditors. Consider:

• Experience with your registration groups
• Geographic coverage (especially for on-site inspections)
• Pricing and payment terms
• Availability and turnaround times
• Reputation and referrals from other providers

Step 3: Establish Required Policies and Procedures

You must have documented policies covering all relevant NDIS Practice Standards. Core Module requirements include:

For certification audits, you'll also need comprehensive policies for medication management, restrictive practices, positive behaviour support, living environment standards, and 24-hour support arrangements (for SIL).

Step 4: Implement Your Systems

Policies alone aren't enough — you must demonstrate that they're implemented in practice:

• Train all staff on relevant policies and procedures
• Conduct worker screening checks and keep records
• Create service agreements with participants
• Set up your incident management register
• Establish your feedback and complaints process (and make it accessible)
• Maintain participant records securely
• Document evidence of implementation (meeting minutes, training records, signed agreements)

Step 5: Gather Evidence and Documentation

Your auditor will request evidence. Prepare:

Organisational Documents

• Organisational chart and governance structure
• Business registration, insurance certificates, ACN/ABN
• All policies and procedures relevant to the NDIS Practice Standards

Worker Records

• NDIS worker screening clearances for all workers
• Qualifications and professional registrations (where required)
• Induction and training records
• Supervision and performance review records

Participant Records

• Service agreements (sample)
• Support plans or care plans
• Incident reports and how they were managed
• Feedback and complaints records (if any)

For Certification Audits (SIL)

• Medication management records and protocols
• Restrictive practice authorisations and monitoring
• Staff rosters demonstrating appropriate ratios
• Living environment safety checks and maintenance records
• Positive behaviour support plans

Step 6: Conduct a Self-Assessment

Before your formal audit, conduct your own gap analysis:

• Use our Audit Readiness Checklist to identify gaps
• Consider engaging your auditor for a pre-audit or mock audit
• Address any identified issues before the formal audit

Step 7: Schedule and Complete Your Audit

When you're confident your systems meet the standards:

1. Schedule the audit with your chosen auditor
2. Provide requested documentation in advance (desktop review phase)
3. Arrange on-site visits if required
4. Make staff and participants available for interviews
5. Address any clarification requests during the audit
6. Receive your audit report
7. If successful: submit your report through the Commission portal
8. If issues identified: address them and arrange follow-up audit

Recommended Timeline

Additional Resources

• Audit Readiness Checklist
• Full NDIS Practice Standards
• Approved Quality Auditors List