NDIS New Provider Checklist: Everything You Need Before Your First Audit

Phase 1: Business Foundations (Weeks 1-2)

Before you touch a single NDIS form, your business entity must be properly established. The NDIS Commission assesses your organisational fitness as part of the registration process, so getting the foundations right matters.

• Register your business entity (company, sole trader, or partnership) with ASIC or state equivalent
• Obtain your Australian Business Number (ABN) from the Australian Business Register
• Register for GST (required if your annual turnover will exceed $75,000, which most providers will)
• Open a dedicated business bank account (separate from personal accounts)
• Decide on your business structure and governance arrangements (board, directors, management)
• Create an organisational chart showing governance structure, management roles, and reporting lines
• Identify your key personnel (directors, CEO, senior managers) who will be assessed for fitness and propriety
• Determine which NDIS registration groups you will apply for
• Research whether your registration groups require verification or certification audit
• Set up a business email address, phone number, and physical address

Take time at this stage to be deliberate about your registration groups. Each group you add increases audit scope and cost, but applying for all relevant groups together is more efficient than adding them later. Think about all the supports you plan to deliver in the next three years, not just your immediate services.

Phase 2: Insurance and Legal (Weeks 2-4)

• Obtain public liability insurance (minimum $10 million recommended)
• Obtain professional indemnity insurance (minimum $5 million recommended)
• Obtain workers' compensation insurance (mandatory if you have employees)
• Consider motor vehicle insurance (if transporting participants)
• Obtain certificates of currency for all insurance policies
• Ensure your insurance covers NDIS-funded disability support services specifically
• Consult an accountant about tax obligations, BAS reporting, and superannuation
• Understand your state or territory's disability services legislation and its intersection with the NDIS
• If operating SIL group homes, investigate residential tenancy obligations in your state

Insurance is a hard requirement — you cannot register without it. Get quotes early, as specialist disability services insurance can take time to arrange. Make sure your insurance broker understands the NDIS provider context and covers the specific services you will deliver.

Phase 3: Policies, Procedures, and Documentation (Weeks 3-8)

This is typically the most time-consuming phase if you are writing from scratch. Using audit-ready templates mapped to the Practice Standards can reduce this phase from 8 weeks to a few days.

Core Policies (Required for All Providers)

• Incident Management Policy (Practice Standards Outcome 2.4)
• Complaints and Feedback Policy (Outcome 1.5)
• Risk Management Policy (Outcome 2.2)
• Worker Screening Policy (Outcome 2.6)
• Governance Framework (Outcome 2.1)
• Privacy and Confidentiality Policy (Outcome 1.3)
• Safeguarding Policy — VANED (Outcome 1.5)
• Human Resources Policy (Outcome 2.6)
• Quality Management and Continuous Improvement Policy (Outcome 2.3)
• Person-Centred Support Policy (Outcome 1.1)
• Independence and Informed Choice Policy (Outcome 1.4)
• Information Management Policy (Outcome 2.4)
• Financial Management Policy (Outcome 2.5)
• Work Health and Safety Policy (Outcome 2.6)
• Support Delivery Policy (Outcome 3.2)
• Access to Supports Policy (Outcome 3.1)
• Transition Policy (Outcome 3.4)
• Safe Environment Policy (Outcome 4.1)
• Medication Management Policy (Outcome 4.3)
• Participant Money and Property Policy (Outcome 4.2)
• Cultural Safety Policy (Outcome 1.2)
• Infection Control Policy (Outcome 4.5)
• Emergency and Disaster Management Policy (Outcome 2.2)
• Recruitment and Selection Policy (Outcome 2.6)
• Supervision Policy (Outcome 2.6)

Essential Forms and Templates

• Incident Report Form
• Service Agreement Template
• Participant Rights Statement
• Consent to Collect Information Form
• Consent to Share Information Form
• Code of Conduct Acknowledgement Form
• Staff Induction Checklist
• Supervision Record Template
• Performance Review Template
• Participant Support Plan Template
• Progress Notes Template
• Dignity of Risk Assessment Form
• Medication Administration Record (MAR)
• Risk Assessment Template
• Complaints and Feedback Form
• Internal Audit Report Template
• Shift Handover Procedure

Registers

• Incident Register
• Complaints Register
• Continuous Improvement Register
• Worker Screening Register
• Training Register
• Code of Conduct Register
• Risk Register
• Document Control Register
• Participant Money Register (if managing participant funds)
• Restrictive Practices Register (if applicable)

Phase 4: Workforce Setup (Weeks 4-10)

• Create position descriptions for all roles (support workers, team leaders, managers)
• Develop recruitment and selection procedures
• Advertise and recruit staff (allow adequate lead time for screening)
• Submit NDIS Worker Screening Check applications for all staff in risk-assessed roles
• Verify qualifications and check references for all candidates
• Ensure all staff complete the NDIS Worker Orientation Module
• Conduct Code of Conduct training and obtain signed acknowledgements
• Complete staff induction using your induction checklist
• Deliver mandatory training: incident reporting, complaints, manual handling, first aid, CPR, infection control, fire safety, medication management (for SIL)
• Set up and populate your training register with all training records
• Set up and populate your worker screening register
• Schedule formal supervision sessions for all staff
• Commence and document supervision records
• Ensure key personnel have completed fitness and propriety requirements

Worker screening is the bottleneck in this phase. Processing times vary by state (2-8 weeks), so submit applications as early as possible. Do not leave this until the last minute — an audit with unchecked workers in risk-assessed roles is a guaranteed non-conformance.

Phase 5: Participant Systems (Weeks 6-12)

• Establish your intake and assessment process
• Create a participant file structure (physical or electronic) with standard sections
• Prepare service agreement templates customised to your services
• Develop participant support plan templates
• Set up your progress notes system (paper forms, electronic records, or software)
• Create participant rights materials in accessible formats (easy-read, large print)
• Establish your complaints process and create accessible information about it
• Set up your incident management system and reporting pathways
• Create advocacy information sheets with local advocacy service contacts
• For SIL providers: set up house files for each property (emergency plans, safety checklists, participant information)
• For SIL providers: conduct property safety inspections and document results
• Develop your rostering system
• Set up medication management systems (if applicable)
• Establish quality feedback mechanisms (surveys, suggestion boxes, regular check-ins)

If you are already delivering supports to participants (perhaps as an unregistered provider to self-managed participants), begin implementing these systems immediately. Having real participant files, completed progress notes, and a populated incident register at audit time is much stronger evidence than empty templates.

Phase 6: Application and Audit (Weeks 8-20)

• Submit your NDIS provider registration application through the NDIS Commission portal
• Complete the self-assessment against all applicable Practice Standard outcomes
• Research and obtain quotes from at least three Approved Quality Auditors (AQAs)
• Select your AQA and agree on audit scope, dates, and costs
• Submit your self-assessment and supporting documents to the AQA
• Participate in the AQA's pre-audit planning (they may request a pre-audit call or meeting)
• Prepare an evidence folder or system with all documents organised by Practice Standard outcome
• Brief staff on the audit process, what to expect, and how to participate in interviews
• For SIL providers: prepare participant accommodation for auditor visit
• Conduct an internal pre-audit review against all quality indicators

Phase 7: Final Audit Preparation (Weeks 16-20)

• Conduct a final document completeness check — every policy reviewed, every register current
• Verify all worker screening clearances are current and recorded
• Verify all training records are complete and up to date
• Check all participant files for signed service agreements and current support plans
• Review all incident and complaint records for completeness (investigation, actions, outcomes)
• Ensure your continuous improvement register has active entries demonstrating real improvements
• Confirm supervision records are current for all staff
• Brief staff on the NDIS Code of Conduct (all 8 requirements)
• Brief staff on incident reporting procedures and complaint pathways
• Prepare the physical audit space (meeting room, document access, refreshments)
• Confirm participant and family availability for auditor interviews
• Ensure key personnel are available for the entire audit period
• Prepare opening meeting presentation (organisation overview, services, participant cohort)
• Have contact details for your AQA readily available in case of last-minute changes

For a detailed guide on what happens on audit day itself, see our NDIS Audit Day: A Minute-by-Minute Guide.

Registration Timeline Summary

Here is a realistic timeline for new providers starting from scratch. Phases overlap — you should be working on multiple phases simultaneously.

• Weeks 1-2: Business setup, ABN, bank account, organisational structure
• Weeks 2-4: Insurance, legal requirements, state-specific research
• Weeks 3-8: Policies, procedures, forms, registers (1-2 days with templates, 6-8 weeks writing from scratch)
• Weeks 4-10: Staff recruitment, worker screening, training, induction
• Weeks 6-12: Participant systems, intake processes, service agreements, house setup (SIL)
• Weeks 8-12: Submit NDIS application, complete self-assessment, engage AQA
• Weeks 12-16: Pre-audit preparation, evidence organisation, staff briefings
• Weeks 16-20: Final preparation and audit
• Weeks 20-24: Address non-conformances (if any), await NDIS Commission decision

Total realistic timeframe: 4-6 months. This can be compressed to 3 months with pre-built templates, an efficient AQA, and no significant non-conformances. It can extend to 8+ months if policies need to be written from scratch, worker screening is delayed, or major non-conformances require extensive remediation.

The most common causes of delay are: slow worker screening processing in some states, difficulty scheduling auditors (especially in peak periods), and corrective action requirements following audit findings. Start early and build buffer time into your plan.

For answers to common registration questions, see our NDIS Provider FAQ. To understand the mistakes that most commonly cause audit problems, read our guide to the 20 Most Common NDIS Compliance Mistakes.