ProviderPass

The NDIS audit checklist

Every document you'll need to pass a Verification, Certification, or Midterm audit — organised by category and aligned to the NDIS Practice Standards.

Professional reviewing NDIS audit checklist documents at desk

Most providers walk into their first NDIS audit underprepared — not because they're disorganised, but because they didn't realise how many documents the Practice Standards actually require. The list is long, and missing items cause non-conformities that delay your registration.

This is the full checklist. Use it to scope your audit prep, identify gaps in your existing documents, or as a sanity check before booking your auditor.

Your full audit checklist

Policies and procedures

  • Incident Management Policy and Procedure
  • Risk Management Policy and Procedure
  • Complaints and Feedback Policy and Procedure
  • Privacy and Confidentiality Policy
  • Code of Conduct (Workers and Providers)
  • Continuous Improvement Policy and Procedure
  • Governance and Operational Management Policy
  • Human Resources Policy and Procedure
  • Worker Screening Policy
  • Conflict of Interest Policy
  • Service Delivery Policy and Procedure
  • Participant Rights and Responsibilities Policy
  • Supporting Decision Making Policy
  • Information Management and Record-Keeping Policy
  • Work Health and Safety Policy
  • Emergency and Disaster Management Policy
  • Restrictive Practices Policy (Certification only)
  • Behaviour Support Policy (Certification only)

Forms and templates

  • Service Agreement Template
  • Participant Consent Form
  • Participant Intake Form and Support Plan
  • Personal Details Form
  • Risk Assessment Form
  • Incident Report Form
  • Complaint Form
  • Feedback Form
  • Conflict of Interest Declaration Form
  • Employment Agreement Template
  • Employee Induction Checklist
  • Performance Review Form
  • Reference Check Form
  • Hazard Identification Form
  • Emergency Drill Report Form
  • Service Agreement Discharge Letter

Registers

  • Incident Register
  • Complaints and Feedback Register
  • Risk Register
  • Conflict of Interest Register
  • Document Control Register
  • Continuous Improvement Register
  • Employment Register
  • Training Register
  • Risk-Assessed Role Register
  • Assets Register
  • Delegation of Authority Register
  • Participant Money and Property Register
  • Waste Management Register

Evidence and supporting documents

  • Self-Assessment against the NDIS Practice Standards
  • Position Descriptions for each role
  • Staff training records and certificates
  • Worker screening check evidence (NDIS Worker Screening, working with children where applicable)
  • Insurance certificates of currency
  • Business continuity plan
  • Quality and Continuous Improvement Plan
  • Internal audit schedule and reports
  • Evidence of Practice Standards in operation (sample completed forms, registers in use)
  • NDIS Code of Conduct posters displayed in the workplace

How to use this checklist

Print this checklist or save it and tick off documents as you prepare them. Anything you can't tick off is a gap to close before booking your auditor.

Note that this is a comprehensive list — not every provider needs every item. Verification audits cover a smaller subset (Certification-only items are marked above). Higher-risk supports may require additional documents not listed here. When in doubt, check your Initial Scope of Audit document from the NDIS Commission.

Professional signing NDIS compliance documents

Skip the writing. Get the whole checklist in one pack.

Every document on this checklist is in the ProviderPass Audit Pack — already written, already aligned to the NDIS Practice Standards, already in editable Word and Excel format. You tailor each document to your business, save it, and you're audit-ready.

The NDIS Audit Pack

NDIS Audit Pack

One pack. Every policy, procedure, form, and register required by the NDIS Practice Standards. Editable Word and Excel templates, delivered instantly to your inbox.

  • Covers Verification, Certification & Midterm audits
  • 60+ editable Word & Excel templates
  • Aligned to NDIS Practice Standards
  • Delivered instantly to your inbox
View the pack →

Common questions about audit prep

Do I need every document on this checklist?

Not necessarily. Verification audits cover fewer documents than Certification audits, and your specific registration groups may require additional documents not listed here. Use your Initial Scope of Audit from the NDIS Commission as the definitive list.

What's the difference between a policy and a procedure?

A policy states what your organisation will do (e.g. "we manage incidents in line with NDIS requirements"). A procedure states how you'll do it (e.g. step-by-step process for recording, investigating, and closing an incident). Auditors expect both — and expect them to match how you actually operate.

How long should my policies be?

Long enough to cover the topic, short enough that staff actually read them. Most NDIS policies sit between 2 and 8 pages. Practice Standards alignment matters far more than length.

Can I copy policies from another provider?

Technically yes, legally risky, and audit-failure prone. Generic copied policies don't reflect how your business operates, which is exactly what auditors check for. Start with templates aligned to the Practice Standards, then tailor them to your business.

What's the most-missed document at audit?

Registers. Providers focus on policies and forget that auditors expect to see registers in active use — incident registers with real entries, training registers showing completed records, complaint registers showing entries and outcomes. Empty registers are a red flag.

Get every document on this list — in one pack

Editable Word and Excel templates aligned to the NDIS Practice Standards. Delivered instantly.

Get the Audit Pack