NDIS Audit Readiness: Documentation, Certification, and Workforce Training

Preparing for an NDIS audit doesn’t have to be overwhelming. With the right documentation, certification processes, and a trained workforce, your organisation can approach audits with confidence.

A few weeks ago, we hosted a webinar, Empowering Your Workforce: The Role of Training in NDIS Compliance with National Disability Services (NDS) and Engels Floyd. The session explored how training and training records align with NDIS documentation standards.

Let’s explore some of the questions that were asked during the webinars' question-and-answer session.

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Are NDIS Worker Screening and Orientation mandatory before audits?

Yes; these are mandatory requirements under the NDIS. Failing to complete them would be considered a non-conformance. Every support worker must complete these modules before providing any support to anyone, and they must also undergo NDIS Worker Screening.

So, it’s crucial that service providers ensure support workers are trained in the required induction modules. Beyond that, the NDIS also expects some basic induction training specific to the organisation/service provider itself. This induction training should cover the relevant organisational policies and procedures.

Remember the risks: if staff are providing support to participants, they need to be trained to do so. Support workers should be trained in managing complaints, handling incidents, and understanding their responsibilities.

Following the initial training, further training should be provided after a month or so to ensure support workers continue to upskill and are aware of their responsibilities.

Ongoing training may include:
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• Manual handling and mobility support (e.g. using hoists, transferring clients)
• Medication assistance (if part of the worker’s role)
• Infection control procedures (e.g. PPE use, hand hygiene)
• First aid and CPR (must be assessed in person under HLTAID units)
• Use of assistive technology or equipment
• Behaviour support strategies (especially where restrictive practices are involved)

‍The safety of participants must always come first, and untrained workers pose a significant risk.

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What identity records do I have to keep on file?

Do service providers need to have copies of birth certificates, passports, or citizenship certificates for all staff?

The NDIS Commission Verification Module—Required Documentation outlines the specific evidence you need to provide. At the time of writing, this module's current and latest version is May 2025.

Available to download as either a PDF or Word document, the first few pages outline what is mandatory for sole traders and body corporates.

To comply with the module, service providers must show evidence of:
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• Relevant qualifications, expertise, and experience
• Incident management processes/policies
• Complaints management processes/policies
• Risk management processes/policies

Remember, NDIS Worker Screenings must also be stored on file and kept up-to-date.

Additionally, support workers should present various forms of identification to score at least 100 points to show proof of ID, including birth certificates, passports, drivers’ licences, etc. (see the Verification Module for more details). These should all be stored in line with the NDIS’s documentation standards.

Keep other legislation in mind when it comes to collecting, handling, and storing this information, including privacy legislation and documentation requirements.