Preparing for a NDIS audit
Preparing for a NDIS audit is much easier if you treat internal audits as an ongoing quality improvement process rather than a once-a-year task.
The common NDIS audit types are:
Audit Type | When it Occurs | Purpose |
Verification Audit | Initial registration or renewal (for lower-risk registration groups) | Reviews documentation to confirm compliance with the applicable NDIS Practice Standards. No on-site participant interviews are required. |
Certification Audit | Initial registration or renewal (for higher-risk registration groups) | A comprehensive audit including document review, interviews, observations and site visits to assess compliance with the NDIS Practice Standards. |
Mid-Term Audit | Approximately 18 months after registration for providers that underwent Certification | Confirms the provider continues to comply with the NDIS Practice Standards throughout the registration period. |
Renewal Audit | Before registration expires | Assesses ongoing compliance to support re-registration. This is another Verification or Certification Audit, depending on the provider's registration groups. |
Once you have obtained your NDIS registration keeping up to date with your internal audit schedule means that you are not rushing last minute to be ready for your Mid-Term audit – this audit is approximately 18 months after your certification audit.
Here are some practical tips:
1. Have a regular audit schedule
· Complete internal audits quarterly (or monthly for higher-risk areas).
· Spread audits across the year instead of reviewing everything just before
certification.
2. Use an audit checklist
Review key areas such as:
· Participant files
· Service agreements
· Risk assessments
· Incident management
· Complaints handling
· Worker screening and qualifications
· Training records
· Privacy and record keeping
· Medication management (if applicable)
· Restrictive practices (if applicable)
3. Keep participant files audit-ready
Ensure each file includes:
· Current service agreement
· Up-to-date support plan
· Progress/case notes
· Risk assessments
· Emergency Preparedness Plans
· Consent forms
· Goals and outcomes
· Incident records (where relevant)
· Evidence of participant involvement in decisions about their care/support
4. Monitor compliance continuously
Keep registers for:
· Staff training – Certificates, training registers, Staff meeting minutes
· Individual Staff T&D Plans
· Expiring qualifications
· Worker screening clearances
· First aid certificates
· Insurance
· Vehicle registrations, insurances & drivers licences (if applicable)
5. Close corrective actions quickly
If an internal audit identifies a problem:
· Record it.
· Identify the root cause.
· Assign responsibility.
· Set a due date.
· Verify that the fix has worked.
Auditors like to see evidence that issues are identified and resolved.
**Don’t forget to add any changes/improvements to your CQI (Continuous Quality Improvement) register – the auditors love these!
6. Keep policies current
Review policies at least annually and after:
· Legislative changes
· NDIS Practice Standards updates
· Serious incidents
· Significant organisational changes
· Don’t forget to share those updated policies with your staff and ensure they understand the changes and how it impacts their role
7. Talk to participants
Collect feedback through:
· Surveys
· Reviews
· Complaints
· Compliments
Be able to demonstrate how feedback has improved your services.
8. Prepare staff
Staff should understand:
· Their role
· Participant rights
· Incident reporting
· Complaints processes
· Privacy obligations
· Safeguarding responsibilities
Auditors often interview staff as part of the audit.
9. Keep evidence organised
Store documents in clearly labelled folders so you can quickly locate:
· Policies
· Registers
· Meeting minutes
· Internal audit reports
· Corrective actions
· Training records
10. Use a traffic light system
Track compliance using:
🟢 Compliant
🟡 Needs improvement
🔴 Action required
This helps you prioritise issues before an external audit.
A well-run internal audit program demonstrates a culture of continuous improvement, which is something NDIS auditors look for – they don’t just want to see perfectly worded Policies & Procedures, they want evidence of how you implemented them!
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