Preparing for an NDIS audit can feel like a big task, but with the right guidance and resources, it becomes much more manageable. For NDIS providers, an audit is a critical part of maintaining registration and delivering high-quality supports. Whether you’re gearing up for your initial certification audit or a mid-term review, this guide outlines what you need to know to feel confident and ready.
At EnableUs, we’ve supported thousands of providers through this process, and we know where the common stress points are. In this guide, we walk you through the types of audits, what documentation you need to have ready, key requirements from the NDIS, and tips for preparing your team so you can face your audit with clarity and confidence.
What is an NDIS Audit?
An NDIS audit is an independent assessment to determine whether your business is complying with the NDIS Practice Standards and relevant legislation. All registered providers must undergo an audit either through:
- Certification Audit: Required for providers delivering high-risk or more complex supports. This includes an on-site visit and interviews with staff and participants.
- Verification Audit: Required for providers delivering lower-risk supports. This involves a desktop review of documents but no on-site inspection.
The type of audit you undergo depends on your registration group. You can check your audit pathway using the NDIS guidelines.
Step-by-Step Guide to Audit Preparation
1. Understanding the NDIS Practice Standards
The NDIS Practice Standards form the foundation of the audit process. They are structured into four core modules, with additional modules required depending on the type of supports your business provides. These standards cover areas such as rights of participants, governance, risk management, and service delivery.
Each module outlines specific outcomes and quality indicators that auditors will assess. Familiarise yourself with the standards applicable to your organisation using the official NDIS Practice Standards.
2. Review and Organise Your Documentation
One of the key steps in audit preparation is ensuring you have the right documents, policies, and procedures ready for review. These documents demonstrate your
compliance with the NDIS Practice Standards and may include:
- Participant service agreements
- Incident and complaint management procedures
- Risk assessments and mitigation strategies
- Staff qualifications, training records, and screening checks
- Governance and financial management policies
- Continuous improvement plans
You should ensure all documents are current, consistently applied, and reflect actual practice, not just what’s written on paper. Learn more about the NDIS documents you need to have here.
3. Conduct a Gap Analysis
A gap analysis is a useful tool to identify where your current practices may fall short of the NDIS Practice Standards. This process helps you:
- Pinpoint areas for improvement
- Update or implement new policies
- Train staff where knowledge gaps exist
We always recommend conducting an internal review or mock audit before engaging an official auditor. This proactive approach can help you flag potential issues early and fix them with time to spare.
Here’s how to run an internal audit effectively.
4. Choose an Approved Quality Auditor
Only auditors approved by the NDIS Commission can perform certification or verification audits. Once you’ve determined your audit pathway and gathered your documentation, the next step is to engage an auditor through the NDIS Approved Quality Auditor list.
Before the audit begins, the auditor will:
- Confirm your scope of supports
- Request pre-audit documentation
- Schedule the audit (including on-site components, if applicable)
5. Prepare Your Team
Audits aren’t just about paperwork, they also assess your service culture. Preparing your staff is essential to ensure they understand your policies and can confidently speak about how they implement them.
We suggest focusing on training around:
- The NDIS Code of Conduct
- Participant rights and engagement
- Incident reporting and feedback processes
- Your organisation’s values and policies
Clear communication, real examples of good practice, and a confident team go a long way in demonstrating compliance.
What Happens During the Audit?
The audit process is detailed and structured. Here’s what to expect:
For Verification Audits:
- A desktop review of documentation only
- No on-site assessment
- Assessment focuses on core standards such as Human Resource Management and Incident Management
For Certification Audits:
- Initial documentation review
- On-site visit by the audit team
- Interviews with staff and (optionally) participants
- Observations of practice
Auditors will be looking for evidence that policies are not only in place but are consistently followed.
You will receive a draft report after the audit. If non-conformities are identified, you may be asked to submit a corrective action plan. Once approved, your provider registration will be finalised or renewed.
What Comes After the Audit?
Even after a successful audit, compliance is ongoing. As a provider, you should:
- Continue reviewing policies and procedures regularly
- Document and act on participant feedback
- Monitor changes in NDIS requirements
- Prepare for mid-term audits (for certified providers)
We encourage you to view audits as opportunities for reflection and improvement. A successful audit not only secures your registration, it strengthens the quality and safety of the services you deliver.
Tips for a Smooth Audit Experience
Here are some practical strategies we’ve found helpful in making the audit process smoother:
- Start early: Begin preparation several months in advance of your scheduled audit.
- Use checklists: Work through each NDIS Practice Standard module and tick off completed actions.
- Keep your documents tidy: Well-organised records show auditors you take compliance seriously.
- Practice transparency: Be honest about challenges and how you’re addressing them.
- Reach out if you need support: We offer tailored assistance to help you prepare with confidence. See how we can help.
We’re Here to Enable Your Journey as an NDIS Provider
NDIS audits are an essential part of being a registered provider. While they may seem daunting at first, being well-prepared and informed can turn the process into a valuable checkpoint for your business.
By understanding what’s required, getting your documents in order, involving your team, and embracing continuous improvement, you’ll be ready to demonstrate your commitment to quality, safety, and the NDIS Practice Standards.
If you’d like support navigating your next audit, we’re here to help you every step of the way.
