Allied Health NDIS Audit Checklist: worksheet
NDIS Practice Standards and Quality Indicators. Edition held: Rules Schedules 1 to 8, Compilation No. 6 (F2026C00527) and Quality Indicators Guidelines Compilation No. 3 (F2026C00528), in force 1 July 2026; checked current on 6 October 2026 (Federal Register: both compilations are the latest version on 6 October 2026).
Under review, not in force: The NDIS Commission's review of the Practice Standards (a proposed quality framework and changes to the standards and how they are assessed) is still being considered; nothing from it is in force.
Standards library: https://compliance.theartofservice.com/frameworks/australia-ndis-practice-standards-and-quality-indicators. Page: https://allied-health-ndis-audit-checklist.theartofservice.com/rules/ndis-practice-standards/core-governance/
| Ref | Requirement (our statement of the clause) | Evidence an auditor or the regulator asks for | Common gap to check | Held (yes, partly, no, not applicable) | Where it is kept | Owner | Last reviewed | Next review |
|---|---|---|---|---|---|---|---|---|
| Core 9.1 | The governing body gives people with disability opportunities to contribute to the organisation's governance and to have input into policies and processes about the provision of supports and the protection of participant rights. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Board or committee membership showing people with disability, or an advisory group terms of reference; Minutes or consultation records showing participant input on policy changes; Policy review log recording who was consulted | Consultation limited to satisfaction surveys with no link to policy; Advisory group set up but not met in the last year | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| Core 9.2 | The governing body puts in place a defined structure to meet its financial, legislative, regulatory and contractual responsibilities and to monitor and respond to quality and safeguarding matters in the delivery of supports. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Organisational chart and governance charter or constitution; Compliance or legislative register reviewed by the governing body; Board or owner meeting minutes reviewing quality, incidents and complaints; Delegations register | Sole trader or small board with no documented way of tracking legal obligations; Quality and safeguarding data never reported to the governing body | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| Core 9.3 | The skills and knowledge the governing body needs to govern well are identified, and members undertake relevant training to close any gaps. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Board skills matrix or capability assessment; Training records for governing body members on NDIS obligations and safeguarding; Induction pack for new board members | Skills matrix never completed or not updated; Board members unaware of reportable incident obligations | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| Core 9.4 | The governing body makes sure strategic and business planning takes account of legislative requirements, organisational risks, NDIS operating requirements such as Agency requirements and guidance, the needs of participants and workers, and the wider organisational environment. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Current strategic or business plan with a review date; Minutes showing the plan was considered alongside the risk register and legislative changes; Workforce and participant needs analysis feeding the plan | Business plan out of date or limited to financial targets; No link between the risk register and planning | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| Core 9.5 | The governing body monitors how management performs, including how individual issues are responded to, and uses that monitoring to drive continuous improvement in management practice. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Management reports to the governing body with key performance indicators; Minutes recording questions, decisions and follow-up actions on management issues; Performance review records for the chief executive or manager | Reports noted without any recorded action; Individual serious issues never escalated to the governing body | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| Core 9.6 | The provider is managed by suitably qualified or experienced people with clearly defined responsibility, authority and accountability for providing supports. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Position descriptions for key personnel stating responsibility and authority; Qualification, experience and screening records for managers and key personnel; Records of key personnel notified to the NDIS Commission | Position descriptions do not say who is accountable for support delivery; Key personnel changes not reflected in records or notifications | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| Core 9.7 | There is a documented system that delegates responsibility and authority to another suitable person when a usual position holder is absent. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Delegation of authority policy or register; Acting appointment records for periods of leave; Contact and escalation lists naming the delegate | Delegation only informal in a small provider; No one authorised to make decisions while the owner is on leave | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| Core 9.8 | Perceived and actual conflicts of interest are proactively identified, managed and documented, including through organisational policies that are developed and kept up to date. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Conflict of interest policy; Conflict of interest register with declarations and management actions; Board minutes with declarations recorded at each meeting | Register exists but has no entries despite related-party arrangements; Conflicts declared but no record of how they were managed | ☐ yes ☐ partly ☐ no ☐ n/a |
Completing this worksheet records what your practice holds and where. It does not make a practice compliant or ready for audit, and it is not legal advice.