NDIS Practice Standards audit checklist

The short answer

An NDIS Practice Standards audit checks whether a registered provider meets the standards in the NDIS (Provider Registration and Practice Standards) Rules 2018. To prepare, confirm which modules apply to your registration groups, gather evidence for each quality indicator, and check that your worker screening, incident, complaint and participant records are complete and current.

Sources
NDIS (Provider Registration and Practice Standards) Rules 2018
NDIS Quality and Safeguards Commission, NDIS Practice Standards and Quality Indicators
NDIS Quality and Safeguards Commission, The quality audit process
NDIS (Incident Management and Reportable Incidents) Rules 2018

Know which audit and modules apply

Registration groups are split into two audit pathways. Lower risk groups, such as therapeutic supports, plan management and household tasks, use verification, a desk-based review against the verification module. Higher risk groups, such as daily personal activities and behaviour support, use certification, which involves a stage 1 document review and a stage 2 site visit with staff and participant interviews. Certification audits assess the core module, which covers rights and responsibilities of participants, provider governance and operational management, provision of supports, and the support provision environment, plus any supplementary modules that apply, such as high intensity daily personal activities, specialist behaviour support, early childhood supports, specialised support coordination and supported independent living.

Governance and workforce evidence

Auditors expect to see a current risk register, documented policies with version control, evidence of board or management oversight, and continuity plans. For workers, have a register showing that every worker in a risk assessed role holds a current NDIS Worker Screening Check, plus qualifications, induction records, NDIS Code of Conduct acknowledgements and completed mandatory training such as the NDIS Worker Orientation Module. Show how you supervise staff and how performance concerns are handled. Confirm your insurance is current and that you have financial records that demonstrate viability. Keep evidence of how you told the NDIS Quality and Safeguards Commission about any changes to your key personnel or services.

Participant and service delivery records

For a sample of participants, auditors will look for a signed service agreement, evidence of informed consent, a current support plan linked to the participant's goals, and progress notes that show supports were actually delivered as claimed. They will check your incident management system, including that reportable incidents were notified to the Commission within the required timeframes, and your complaints register with outcomes recorded. Records kept under the Complaints Management Rules and the Incident Management Rules must be retained for 7 years. If you use restrictive practices, check that behaviour support plans are current and that every use has been reported.

Timing and after the audit

Registration runs for three years. Providers on the certification pathway also have a mid-term audit that must start within 18 months of the registration period beginning, so keep evidence flowing rather than scrambling before the visit. Book an approved quality auditor early, complete the self-assessment honestly, and fix obvious gaps first. After the audit, minor and major non-conformities come with fixed timeframes for corrective action, and the auditor's report goes to the Commission, which makes the registration decision. Treat the checklist as a living document and review it with your team each quarter.

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