Free tool
NDIS audit checklist
The documents, registers and records to have ready for your audit. Choose your audit type and tick items off as you go. Each item is our summary of an official quality indicator or NDIS Commission guidance, linked to the Practice Standard it comes from.
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- Official sources
Verification audit
Desktop audit for lower-risk supports, against the Verification module.
- Initial scope of audit from the NDIS Commission, used to get quotes from approved quality auditors
Sent by email when you submit your application. It sets out your audit type, registration groups and the information to share with your auditor.
- Evidence of qualifications and professional registrations or memberships for workers in roles that need them
The Commission's Qualification and Professional Associations Required Documentation Guide lists the evidence auditors must receive for each profession.
Practice Standard: Human resource management (Module 6)
- Worker records: identity, right to work, pre-employment checks, and qualifications or experience
Practice Standard: Human resource management (Module 6)
- NDIS worker screening clearances for key personnel and workers in risk-assessed roles
Checked as part of your registration application, not against a Verification module indicator.
- NDIS Worker Orientation Module completion for each worker, and records of continuing professional development
Practice Standard: Human resource management (Module 6)
- Infection prevention and control training records, including refresher training
Practice Standard: Human resource management (Module 6)
- PPE training records for workers who support participants directly, and PPE available for those who need it
Practice Standard: Human resource management (Module 6)
- Documented risk management system for work health and safety risks, proportionate to your size and supports
Practice Standard: Risk management (Module 6)
- Current insurance: professional indemnity, public liability and accident insurance
Practice Standard: Risk management (Module 6)
- Emergency and disaster planning as part of your risk management system
Practice Standard: Risk management (Module 6)
- Regular risk assessments that consider how much participants rely on your services and how disruption would affect their health and safety
Practice Standard: Risk management (Module 6)
- Infection prevention and control standard precautions in all settings
Practice Standard: Risk management (Module 6)
- Complaints management and resolution system that meets the NDIS (Complaints Management and Resolution) Rules 2018
Practice Standard: Complaints management (Module 6)
- Incident management system that meets the NDIS (Incident Management and Reportable Incidents) Rules 2018
Practice Standard: Incident management (Module 6)
- Plan management (0127) only: a list of all workers who deliver plan management, certified copies of their qualifications and professional memberships, and their worker screening clearances
- Completed self-assessment against the Practice Standards that apply to you, with supporting evidence
Part of the registration application.
Certification audit
Two-stage audit for higher-risk supports, against the Core module and any supplementary modules.
- Initial scope of audit, used to get quotes from approved quality auditors
- Completed self-assessment against the Practice Standards that apply to you, with supporting evidence
Part of the registration application.
- Participants told about the audit, that they're included unless they opt out, and any opt-outs recorded and passed to the auditor
The Commission publishes factsheets you can give participants.
- Governance structure, delegations of responsibility and authority, and the qualifications or experience of managers
Practice Standard: Governance and operational management (Core module)
- Conflict of interest policy, with conflicts managed and documented
Practice Standard: Governance and operational management (Core module)
- Evidence the governing body oversees quality, risk and safeguarding, such as meeting minutes and reports
The Commission's audit case study describes auditors examining minutes of meetings, risk registers and incident trend reports.
Practice Standard: Governance and operational management (Core module); Quality management (Core module)
- Documented risk management system covering incidents, complaints, finances, governance, human resources, information, work health and safety, and emergencies
Practice Standard: Risk management (Core module)
- Current insurance: professional indemnity, public liability and accident insurance
Practice Standard: Risk management (Core module)
- Quality management system with a documented internal audit program and continuous improvement records
Practice Standard: Quality management (Core module)
- Privacy and information management: participant consent to collect and share information, confidentiality policy, and secure records storage and retention
Practice Standard: Privacy and dignity (Core module); Information management (Core module)
- Complaints management system, complaints records, information for participants on how to complain, and staff training in complaints handling
Practice Standard: Feedback and complaints management (Core module)
- Incident management system and records that show incidents handled from start to finish, and staff training in incident management
Auditors may trace a reported incident from the initial report through review, actions and notifications.
Practice Standard: Incident management (Core module)
- Staff files: position descriptions, pre-employment checks, qualifications, worker screening clearances, induction including the NDIS Worker Orientation Module, training, supervision and performance records
Auditors sample staff files and check worker screening clearances, qualifications, induction records and supervision notes.
Practice Standard: Human resource management (Core module)
- Infection prevention and control training and PPE training records, and PPE available to those who need it
Practice Standard: Human resource management (Core module); Safe environment (Core module)
- Continuity of supports arrangements, and emergency and disaster management plans that are tested, reviewed, shared with participants and workers, and trained in
Practice Standard: Continuity of supports (Core module); Emergency and disaster management (Core module)
- Policies and practices that prevent violence, abuse, neglect, exploitation and discrimination, and information for participants about advocates
Practice Standard: Independence and informed choice (Core module); Violence, abuse, neglect, exploitation and discrimination (Core module)
- Information about supports, access criteria and costs, provided in ways participants are most likely to understand
Practice Standard: Person-centred supports (Core module); Access to supports (Core module)
- Participant support plans with documented risk assessments, reviewed at least annually
Practice Standard: Support planning (Core module)
- Service agreements developed with each participant that explain the supports, any conditions and the arrangements in an emergency or disaster. If an agreement is in writing, the participant gets a copy signed by both of you; if that isn't practicable, or they choose not to have one, a record of why
Practice Standard: Service agreements with participants (Core module)
- Documented processes for planned and temporary transitions to and from your services (for example a hospital stay), with the risks of each transition identified and responded to
Practice Standard: Transitions to or from a provider (Core module)
- Protocols for medical emergencies and escalation in urgent health situations
Practice Standard: Safe environment (Core module)
- If you handle participants' money or property: processes to manage, protect and account for it
Practice Standard: Participant money and property (Core module)
- If you administer medication: medication records, safe storage, and trained workers
Practice Standard: Management of medication (Core module)
- If you provide mealtime management: assessed mealtime management plans, available to workers, and trained workers
Practice Standard: Mealtime management (Core module)
- Waste management policies and training for handling infectious or hazardous substances
Practice Standard: Management of waste (Core module)
Mid-term audit
For certification providers, during the registration period.
- Engage an approved quality auditor and confirm the audit's scope and timing, about 12 months after your registration date
- Make sure the audit starts no later than 18 months after your registration period began, unless the Commissioner allows longer
Provider Registration Rules s13B(4).
- Evidence for the governance and operational management standards (Part 3 of the Core module)
Provider Registration Rules s13B(5)(a).
Practice Standard: Governance and operational management (Core module); Risk management (Core module); Quality management (Core module); Information management (Core module); Feedback and complaints management (Core module); Incident management (Core module); Human resource management (Core module); Continuity of supports (Core module); Emergency and disaster management (Core module)
- Evidence you now meet any standard a previous audit said needed a corrective action plan (those standards are assessed again)
Provider Registration Rules s13B(5)(b): any standard a previous audit said needed a corrective action plan is assessed again.
- Evidence for any extra standards the NDIS Commission named in a written notice
Provider Registration Rules s13B(5)(c).
Official source: Evidence for any extra standards the NDIS Commission named in a written notice
- Staff and participants told that auditors will visit and observe your practices
- Auditor's final report submitted to the NDIS Commission by the deadline, and any non-conformities addressed promptly
Mid-term audits don't apply to an individual or partnership whose only certification class is early intervention supports for early childhood (0118), a provider registered only for specialist disability accommodation, or a transitioned provider or transitioned RAC provider (Rules s13B(7)).
Supported independent living (SIL)
Module 5A items. SIL providers also need everything on the certification list.
- If you were registered for 0115 and delivering SIL before 1 July 2026: expect the SIL Practice Standards at your next audit (mid-term or registration renewal)
- Supported decision-making policies and procedures that cover each of the matters the standard lists
Practice Standard: Supported Decision-Making Standard (Module 5A)
- Training and refresher training in supported decision-making for relevant workers
Practice Standard: Supported Decision-Making Standard (Module 5A)
- Accessible information that helps participants communicate their will and preferences about supports in their home
Practice Standard: Supported Decision-Making Standard (Module 5A)
- Safeguarding policies that balance dignity of risk with safety at home and in the community, and involve participants
Practice Standard: Safeguarding Standard (Module 5A)
- Procedures setting out workers' responsibilities for identifying and responding to bullying, conflict and harm in the home, including working with other providers and specialists
Practice Standard: Safeguarding Standard (Module 5A)
- Training for relevant workers in de-escalation, trauma-informed practice and positive behaviour support
Practice Standard: Safeguarding Standard (Module 5A); Practice Governance Standard (Module 5A)
- Records of safeguarding approaches being reviewed with participants and adjusted
Practice Standard: Safeguarding Standard (Module 5A)
- Worker development and training policies, including mentoring, supervision and training in cultural safety and positive behaviour support
Practice Standard: Practice Governance Standard (Module 5A)
- Competency assessments in person-centred and trauma-informed practice, active support and supported decision-making
Practice Standard: Practice Governance Standard (Module 5A)
- Documented vision, values, objectives and strategies for supports in the home
Practice Standard: Practice Governance Standard (Module 5A)
- Evidence participants are consulted before new co-tenants are placed and help decide who they live with
Practice Standard: Practice Governance Standard (Module 5A)
- Emergency arrangements for shared living that are coordinated, rehearsed and tailored, with governance oversight and participant consultation
Practice Standard: Practice Governance Standard (Module 5A)
- If you provide both SIL and tenancy: separate service and tenancy agreements, and support for participants to understand they're legally separate
Practice Standard: Agreements about tenancy, housing and support arrangements (Module 5A)
- If you provide both SIL and tenancy: conflict of interest policies, available in accessible formats
Practice Standard: Agreements about tenancy, housing and support arrangements (Module 5A)
- Policies that let participants raise concerns about their supports and tenancy without fear of retribution, with help to access advocacy or legal services
Practice Standard: Agreements about tenancy, housing and support arrangements (Module 5A)
- Written service agreements covering concerns about the home, co-tenant conflicts, changes in circumstances, vacancies, behaviours of concern and visitors
Practice Standard: Agreements about tenancy, housing and support arrangements (Module 5A)
- If you deliver SIL in specialist disability accommodation: documented arrangements with each participant and each SDA provider setting out who handles concerns about the dwelling, conflicts, changes in circumstances, filling vacancies in shared living, and behaviours of concern that may put tenancies at risk
Practice Standard: Service agreements with participants (Core module)
- If you provide both SIL and tenancy: accessible information about tenancy rights and responsibilities (house-sharing, notice periods and exit processes), help to access advocacy or legal services, support to change SIL provider at any time, and a copy of the tenancy agreement signed by both of you (or a record of why not)
Practice Standard: Agreements about tenancy, housing and support arrangements (Module 5A)
- If you provide both SIL and tenancy: participants have house keys and private spaces they control, are involved in decisions about shared spaces, have no limits on access or possessions unless a behaviour support plan allows them, and the home complies with building standards and tenancy laws
Practice Standard: Agreements about tenancy, housing and support arrangements (Module 5A)
Frequently asked questions
What do NDIS auditors look at?
In a certification audit, auditors look at how your systems work in practice, not just your policies: incident reports, complaints records, training logs and supervision notes, a sample of staff files, interviews with participants and workers, and observation of supports. A verification audit is a desktop review of your documents.
How many items are on each checklist?
Verification 16, certification 25, mid-term 7 and SIL 20 items. SIL providers also need everything on the certification list.
Do participants have to take part in the audit?
No. Audits use an opt-out approach: you tell participants they're included, and if someone doesn't want to take part you respect that, record it and tell the auditor.
Related
- Practice Standards self-assessment
Work through every outcome and record your evidence.
- Registration cost estimator
What the audit is likely to cost.
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