NDIS Audit Checklist 2026: Everything You Need Before Your Certification Audit

How to Use This Checklist

This checklist is organised by compliance area, aligned to the NDIS Practice Standards Core Module outcomes that your Approved Quality Auditor will assess during a certification audit. Each item represents something the auditor will look for — a document, a record, a process, or a piece of evidence.

Work through each section systematically. For every item you cannot tick off, you have a gap that could result in a non-conformance finding. Address gaps before your audit date, not during it.

Checklist 1: Governance and Management

Practice Standard Reference: Core Module, Outcomes 2.1 (Governance and Operational Management), 2.3 (Quality Management), 2.5 (Information Management)

Auditors assess whether your organisation has appropriate governance structures, management oversight, and quality systems in place.

Governance Documents

• Governance framework or policy document defining organisational structure, roles, and decision-making authority
• Current organisational chart showing reporting lines, key personnel, and their qualifications
• Key personnel suitability assessments (for directors, managers, and anyone in a position of authority)
• Evidence of legal entity registration (ABN, ASIC registration, or relevant incorporation documents)
• Insurance certificates (professional indemnity, public liability, workers compensation)
• Financial management policy or procedure

Quality Management

• Quality management and continuous improvement policy
• Continuous improvement register with entries demonstrating ongoing improvement activities
• Internal audit schedule showing planned and completed audits
• At least one completed internal audit report (if you have been operating for more than 6 months)
• Evidence of management review of quality and compliance data (meeting minutes, reports)
• Document control register listing all policies, procedures, and forms with version numbers and review dates

Information Management

• Information management policy covering record creation, storage, access, and disposal
• Data breach response plan
• Records management procedure (how long records are kept, how they are secured, who can access them)

Checklist 2: Risk and Incident Management

Practice Standard Reference: Core Module, Outcomes 2.2 (Risk Management), 2.4 (Incident Management)

Risk Management

• Risk management policy and framework
• Risk register identifying current organisational risks, their likelihood, impact, and mitigation strategies
• Risk assessment template for assessing new risks as they arise
• Evidence of regular risk register review (at least quarterly)
• Emergency and disaster management plan
• Business continuity plan (how supports continue during disruptions)

Incident Management

• Incident management policy covering identification, recording, reporting, investigation, and learning
• Incident management procedure with step-by-step instructions for staff
• Incident report form with sections for description, classification, root cause analysis, corrective actions, and management review
• Incident register tracking all incidents with dates, classifications, and resolution status
• Reportable incidents procedure aligned with NDIS Commission reporting requirements (24-hour and 5-day notifications)
• Reportable incidents quick reference guide for frontline staff
• Evidence of completed incident reports (at least 3 examples if you have been operating)
• Evidence of root cause analysis and corrective actions following incidents

Checklist 3: Human Resources and Worker Screening

Practice Standard Reference: Core Module, Outcome 2.6 (Human Resource Management)

Policies and Procedures

• Human resources policy covering recruitment, induction, training, supervision, and performance management
• Recruitment and selection procedure
• Code of conduct (aligned to the NDIS Code of Conduct)
• Worker screening policy specifying NDIS Worker Screening Check requirements
• Supervision policy defining frequency, format, and documentation requirements
• Work health and safety policy
• Position descriptions for all roles (including key responsibilities and required qualifications)

Staff Records (for each staff member)

• Current NDIS Worker Screening Check clearance (or proof of application with risk assessment for interim period)
• Signed code of conduct acknowledgement
• Completed induction checklist
• Relevant qualifications and certifications (verified copies)
• First aid and CPR certification (current)
• Training records showing completed mandatory and role-specific training
• Supervision session records (at least one per quarter for direct support staff)
• Performance review records (if due during the period)

Registers

• Worker screening register with clearance numbers, dates, and expiry tracking
• Training register showing all staff training with dates and topics
• Code of conduct training register

Checklist 4: Participant Rights and Support Planning

Practice Standard Reference: Core Module, Outcomes 1.1 (Person-Centred Supports), 1.2 (Individual Values and Beliefs), 1.3 (Privacy and Dignity), 1.4 (Independence and Informed Choice), 1.5 (Violence, Abuse, Neglect, Exploitation and Discrimination)

Policies

• Person-centred support policy
• Independence and informed choice policy
• Privacy and confidentiality policy
• Cultural safety policy
• Safeguarding policy (violence, abuse, neglect, exploitation, discrimination — VANED)
• Complaints and feedback policy and procedure
• Advocacy information sheet for participants
• Participant rights statement

Participant Files (for each participant)

• Signed service agreement
• Consent to collect information form
• Consent to share information form
• Privacy notice provided and acknowledged
• Participant rights statement provided and acknowledged
• Individualised support plan developed with the participant
• Evidence of regular support plan review (at least annually, or when circumstances change)
• Progress notes demonstrating goal-linked support delivery
• Dignity of risk assessment (if applicable)
• Evidence that the participant knows how to make a complaint

For support workers writing daily progress notes, our free NDIS Notes Rewriter converts rough shift notes into audit-ready, goal-linked documentation.

Checklist 5: Environment and Safety (SIL-Specific)

Practice Standard Reference: Core Module, Outcomes 4.1 (Safe Environment), 4.2 (Participant Money and Property), 4.3 (Medication Management), 4.5 (Infection Control)

For SIL providers, the on-site audit will include inspection of residential properties. This checklist covers the key environmental and safety requirements.

Safe Environment

• Safe environment policy
• SIL house safety inspection checklist (completed regularly — at least monthly)
• Fire safety and evacuation plan displayed at each property
• Fire safety equipment in place and tested (smoke alarms, extinguishers, blankets)
• First aid kits stocked and accessible at each property
• Emergency contact numbers displayed
• Hazard identification and reporting process
• Evidence of regular maintenance and repairs

Medication Management

• Medication management policy and procedure
• Medication Administration Record (MAR) for each participant who receives medication support
• Evidence of staff competency in medication administration
• Secure medication storage arrangements
• Medication error reporting process (linked to incident management)

Participant Money and Property

• Participant money and property policy
• Participant money register for each participant whose finances you assist with
• Receipts and records for transactions
• Separation of participant funds from organisational funds

Infection Control

• Infection prevention and control policy
• Hand hygiene supplies available at all properties
• Personal protective equipment (PPE) available and accessible
• Cleaning schedules maintained
• Staff training in infection control procedures

Checklist 6: Records and Registers

Registers are living documents that auditors expect to see populated with entries spanning your operational period. An empty register is almost as problematic as a missing one — it suggests the underlying process is not functioning.

Checklist 7: Staff Interview Preparation

Auditors will interview your staff — typically frontline support workers and management separately. Staff responses must demonstrate that policies are understood and used in practice, not just filed away.

Key Topics Staff Should Be Able to Discuss

• Incident reporting: What constitutes an incident, how to report one, what is a reportable incident, and the 24-hour notification requirement
• Complaints: How participants can make a complaint, how complaints are handled, and how to escalate if a complaint is not resolved
• Safeguarding: What to do if a participant discloses abuse, neglect, or exploitation — including mandatory reporting obligations
• Person-centred support: How they ensure participant choice and control in daily support delivery
• Privacy: How participant information is collected, stored, and shared — and when consent is required
• Code of conduct: Key principles of the NDIS Code of Conduct and examples of how they apply in practice
• Worker screening: Whether their own screening check is current and where it is kept on file
• Emergency procedures: What to do in a fire, medical emergency, or natural disaster
• Medication: Safe administration procedures, documentation requirements, and what to do if an error occurs
• Policies: Where to find the organisation's policies and when they were last trained on them

For a comprehensive list of interview questions and model answers, see our NDIS Audit Interview Questions guide.

Summary: Your Audit Day Readiness Check

In the final week before your NDIS certification audit, run through this rapid readiness check:

1. All policies and procedures are current, version-controlled, and accessible to staff
2. All registers are populated with entries spanning your operational period
3. All staff files contain current worker screening checks, signed code of conduct, and training records
4. All participant files contain signed consent forms, support plans, and progress notes
5. All SIL properties have fire safety plans displayed, first aid kits stocked, and safety inspections completed
6. All staff have been briefed on the audit and can discuss key policies and procedures
7. Management can demonstrate governance oversight, quality management, and continuous improvement
8. Evidence folders are organised so documents can be located quickly during the audit

If you can tick every item on this checklist, you are well prepared for your NDIS certification audit. If you have gaps, address them now — not on audit day.