Facing an NDIS audit can feel overwhelming, but with the proper preparation, you can approach it with confidence. Whether you’re undergoing verification or certification, this guide will help you pass Stage 1 and Stage 2 audits with ease.
Verification vs. Certification
Verification audits apply to lower-risk providers:
• Combined desktop review
• One-day, remote process
• Focus on policies, insurance, and staff records
Certification audits apply to higher-risk providers (e.g., SIL, behaviour support, nursing):
• Stage 1: Desktop review of your documentation
• Stage 2: On-site review where auditors test if your policies are being followed in practice
Stage 1 Audit: Getting Paperwork in Order
Auditors will verify whether your documents comply with the NDIS Practice Standards. This includes:
• Core policies (complaints, incident, risk, WHS, safeguarding)
• Organisational records (job descriptions, org chart, insurance, authority delegations)
• Participant documents (service agreements, consent forms, welcome packs, easy-read versions)
• Staff records (qualifications, training, police checks)
💡 Pro Tip: Keep policies as living documents. Staff should not only be aware of their existence but also be able to explain how they utilise them.
Stage 2 Audit: Bringing Policies to Life
This is where auditors verify that your organisation lives up to its own standards. They will:
• Interview staff and sometimes participants
• Review HR files, incident reports, and complaints registers
• Check if risk, complaints, and incident systems are used consistently
💡 Pro Tip: Use the 4–6 weeks between Stage 1 and Stage 2 to fix any gaps, train staff, and run an internal audit.
Handling Non-Conformances
Most providers will receive some findings—it’s part of the process.
• Minor non-conformances (e.g., missing training record): Corrective plan due in 7 days, up to 12 months to close out
• Major non-conformances (e.g., no police checks): Must be closed in 3 months and may trigger a follow-up audit
💡 Pro Tip: Don’t panic. Auditors are looking for a willingness to fix issues, not perfection.
5 Secrets to Passing with Ease
1. Prepare early – update documents and train staff well before the audit.
2. Stay organised – keep a compliance folder with policies, registers, and evidence.
3. Engage staff – they should be able to explain how they follow policies.
4. Communicate – respond quickly to auditors’ questions and requests.
5. Use checklists – spot and fix gaps before the audit team arrives.
After the Audit
• Verification providers: Re-verification every 3 years
• Certification providers: Surveillance audits in Years 1 and 2, full recertification every 3 years
Treat audits as part of continuous improvement, not just a tick-box exercise.
Final Thoughts
Passing Stage 1 and 2 audits doesn’t have to be stressful. With strong documentation, engaged staff, and a proactive approach, you’ll not only pass but strengthen your organisation’s quality and compliance.
✅ Need Help Preparing for Your Audit?
At NITCONSULT, we help NDIS providers prepare, identify gaps, and succeed in their audits.
👉 Book a free consultation today and get audit-ready with confidence.
