NDIS Audit Day: A Minute-by-Minute Guide to What Actually Happens

The Week Before: Final Preparations

The week before your audit should be about confirmation and calm, not panic. If your documentation is in order, this week is about logistics.

• Confirm the audit date, time, and location with your AQA
• Confirm which staff will be available for interviews and schedule their shifts accordingly
• Confirm participant and family availability for interviews (with consent)
• Prepare the audit space: a quiet room with a desk, power outlets, Wi-Fi access, and good lighting
• Organise all documents in an evidence folder (physical or laptop) structured by Practice Standard outcome
• Conduct a final walk-through of SIL properties checking cleanliness, safety, and documentation accessibility
• Brief all staff: who the auditor is, what they will ask, and the schedule for the day
• Prepare a welcome pack for the auditor: organisational overview, staff list, participant list (first names only), property addresses, and your self-assessment
• Check that all registers are current as of the audit date
• Ensure tea, coffee, water, and a working bathroom are available for the auditor

Morning: Auditor Arrival and Opening Meeting (8:30-9:30 AM)

The auditor typically arrives between 8:30 and 9:00 AM. They will be professional but friendly — experienced auditors know that providers are nervous and will work to put you at ease.

What happens in the opening meeting

The opening meeting usually takes 30-60 minutes and covers:

• Introductions: The auditor introduces themselves and explains their role. You introduce your team — who is available for interviews and when.
• Audit scope confirmation: The auditor confirms which registration groups, Practice Standards outcomes, and quality indicators will be assessed. This should align with what was agreed during audit planning.
• Audit schedule: The auditor outlines the plan for the day(s) — when document review will happen, when interviews are scheduled, when site visits will occur. This is negotiable — if the proposed schedule does not work with your staff availability, say so.
• Confidentiality and methodology: The auditor explains how evidence will be collected, how findings will be recorded, and how the report will be prepared and submitted.
• Your organisation overview: This is your opportunity to present your organisation: history, values, services, participant cohort, staffing model, and any unique aspects. Keep it brief (10-15 minutes) but use it to set context. A confident, clear presentation creates a positive first impression.
• Questions: You can ask the auditor anything about the process. There are no stupid questions.

Key tip: The opening meeting sets the tone for the entire audit. Be welcoming, organised, and transparent. Auditors are not adversaries — they are there to assess compliance, not to catch you out. A cooperative relationship makes the process smoother for everyone.

Document Review Phase (9:30 AM - 12:30 PM, continuing after lunch)

The document review is typically the longest phase. The auditor will work through your evidence, often in outcome order, reviewing documents against quality indicators.

What the auditor reviews

• Policies and procedures: Are they comprehensive? Do they reference relevant legislation? Have they been reviewed within the last 12 months? Are version numbers and approval records current?
• Registers: Are the incident register, complaints register, CI register, worker screening register, and training register complete and current? Do entries include all required fields?
• Staff files: The auditor will sample 3-5 staff files checking for: position description, signed Code of Conduct acknowledgement, worker screening clearance, training records, supervision records, performance reviews, and induction checklist completion.
• Participant files: The auditor will sample 3-5 participant files checking for: signed service agreement, current support plan, consent forms, progress notes, incident records, and evidence of participant involvement in planning.
• Governance documents: Organisational chart, key personnel records, meeting minutes, financial management evidence, risk register, and insurance certificates.

During the document review, the auditor may ask questions for clarification. Answer honestly and directly. If you do not know the answer, say so and offer to find it — do not guess or fabricate. The auditor will take notes and may flag areas for further exploration in interviews.

Common document review outcomes

• Conformance: The evidence meets the quality indicator. No further action needed.
• Observation: The evidence meets the requirement but the auditor has a suggestion for improvement. Not a non-conformance, but worth noting.
• Minor non-conformance: A gap that does not significantly affect quality or safety. You will need to submit a corrective action plan.
• Major non-conformance: A systemic failure or direct risk. Must be addressed before registration can be recommended.

Staff Interviews (Scheduled throughout the day)

The auditor will interview 3-6 staff members, typically including a mix of: management/key personnel, team leaders/coordinators, and frontline support workers. Interviews usually last 20-40 minutes each.

Common interview questions

• Can you describe your role and responsibilities?
• What are the 8 requirements of the NDIS Code of Conduct?
• How would you report an incident? Walk me through the steps.
• How would a participant make a complaint? What would you do if they told you something concerning?
• Tell me about a participant you support — what are their goals? How do you support them to achieve those goals?
• What training have you received since starting here?
• How often do you receive supervision? What happens in supervision sessions?
• What would you do if you witnessed a colleague behaving inappropriately towards a participant?
• Where do you find your organisation's policies and procedures?
• What does "person-centred" mean to you? Can you give me an example?
• How do you ensure participant privacy and confidentiality?
• What would you do in an emergency at the house?

Key tips for staff interviews:

• Answer honestly — auditors can tell when responses are scripted
• Use real examples from your work rather than reciting policy language
• It is perfectly fine to say "I'm not sure, but I would check with my supervisor" — that demonstrates appropriate escalation
• Relax — auditors interview hundreds of workers; they understand nervousness
• Do not try to cover for gaps. If you have not received training on something, say so honestly

Participant and Family Interviews

For certification audits, the auditor will request to speak with 2-4 participants and/or their families or nominees. Participant consent is required, and the auditor must accommodate communication needs (interpreters, communication aids, support persons).

What auditors ask participants

• Do you feel safe here?
• Do the staff treat you well? Do they respect your choices?
• Do you know what your goals are? Are the staff helping you work towards them?
• Do you know how to make a complaint if you are unhappy with something?
• Were you involved in making your support plan?
• Do staff knock before entering your room?
• Do you get to choose what you eat, what you wear, and how you spend your time?
• Is there anything you would like to change about the support you receive?

Participant interviews are often the most revealing part of the audit. If participants feel safe, respected, and involved in decisions, this is powerful evidence of good practice. If they do not, no amount of documentation will compensate. The best audit preparation is genuine person-centred practice throughout the year — not a last-minute effort before audit day.

Facility and Site Inspection (SIL/SDA Providers)

For SIL providers, the auditor will visit at least one (and possibly all) of your service delivery locations. The site inspection typically takes 30-60 minutes per property.

What auditors look for during site inspections

• General cleanliness, maintenance, and state of repair
• Fire safety equipment (extinguishers, smoke detectors, blankets) — current inspection tags
• Emergency evacuation plan posted and accessible
• Medication storage (locked, correct temperature, within date)
• Medication Administration Records accessible and current
• Participant support plans and BSPs accessible to staff on shift
• Mealtime management plans displayed in kitchen (where applicable)
• Shift handover records and communication books
• NDIS Commission complaints information displayed
• Participant rights information displayed
• Privacy of participant bedrooms and personal spaces
• Hazard identification and management (trip hazards, chemical storage, pool fencing)
• Evidence that participants personalise their living spaces

Closing Meeting and Preliminary Findings (Late afternoon, final day)

The closing meeting typically runs 30-60 minutes and is the most important meeting of the audit after the opening.

What happens in the closing meeting

• Summary of findings: The auditor presents their preliminary findings, including areas of conformance, observations, and any non-conformances identified. These are preliminary — the formal report may differ slightly.
• Discussion of non-conformances: For each non-conformance, the auditor will explain what was found, which quality indicator is affected, and what evidence would be needed to address it. You can ask questions and seek clarification.
• Positive feedback: Auditors also highlight areas of good practice. This is valuable — note it for your continuous improvement records.
• Next steps: The auditor explains the timeline for the formal report, the process for submitting corrective action plans, and how the report is submitted to the NDIS Commission.
• Your questions: Ask anything you are unsure about. This is your opportunity to understand exactly what is expected.

Key tip: Do not argue with the auditor about non-conformances in the closing meeting. If you disagree, note your position calmly and address it through the formal response process. Arguing creates a negative impression and does not change the finding. Focus on understanding what is needed so you can address it efficiently.

After the Audit: What Happens Next

Week 1-4 after audit: Formal report

The auditor writes their formal report, typically issued within 2-4 weeks. The report details every outcome assessed, the evidence reviewed, conformance or non-conformance findings, and the auditor's recommendation to the NDIS Commission.

If you have non-conformances: Corrective Action Plan

For each non-conformance, you must submit a Corrective Action Plan (CAP) outlining: the non-conformance, root cause analysis, corrective actions to be taken, responsible person, timeline for completion, and evidence of implementation. Minor non-conformances typically allow 30-90 days. Major non-conformances may require faster resolution.

Report submission to NDIS Commission

Once the auditor is satisfied with your CAP (or if there are no non-conformances), they submit the report and recommendation to the NDIS Commission. The Commission then makes the registration decision, which typically takes 4-8 weeks.

Registration decision

The NDIS Commission may: grant registration (unconditional), grant registration with conditions (e.g., additional training requirements, follow-up review), defer the decision pending further information, or refuse registration. If registration is refused, you have appeal rights through the Administrative Appeals Tribunal.

10 Audit Day Tips from Providers Who Passed

1. Be yourself. Auditors appreciate authenticity. Do not try to be something you are not.
2. Organise your evidence before the day. An evidence folder organised by outcome number saves hours of searching.
3. Brief your staff but do not script them. Staff who understand the "why" behind policies are more convincing than those who memorise answers.
4. Feed the auditor. Seriously. Tea, coffee, biscuits, and a proper lunch if the audit runs all day. It is hospitality, not bribery.
5. Assign a liaison person. One person who stays with the auditor throughout, facilitating access to documents, staff, and sites.
6. Be honest about gaps. If you know you have a weakness, acknowledge it and explain what you are doing about it. This is better than hoping the auditor does not notice.
7. Take notes during the closing meeting. Capture every non-conformance and observation so you can act on them accurately.
8. Keep normal operations running. The auditor wants to see your organisation as it normally operates, not a sanitised version.
9. Do not panic about non-conformances. Minor non-conformances are normal, especially for first audits. They are opportunities to improve, not failures.
10. Start your corrective actions immediately. Do not wait for the formal report — begin addressing findings the day after the audit while details are fresh.

An NDIS audit is an assessment, not an examination. The auditor is looking for evidence that your organisation delivers safe, quality supports in accordance with the Practice Standards. If you have been doing the right things throughout the year, audit day is simply the day you demonstrate it. For the common mistakes that trip providers up, see our guide to 20 Most Common NDIS Compliance Mistakes.

For daily compliance support, use our free Notes Rewriter to keep your progress notes audit-ready every shift.