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/module-4-conflict-of-interest/
| 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 |
|---|---|---|---|---|---|---|---|---|
| Module 4 5.1 | The provider gives or explains its conflict of interest policies to each participant in the language, mode of communication and terms the participant is most likely to understand. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Conflict of interest policy in plain language or Easy Read; Signed acknowledgements or case notes showing the policy explained; Welcome pack contents list including the policy | Policy only on the website and never explained; No record of explanation for participants with communication needs | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| Module 4 5.2 | Each participant is helped to understand the difference between specialised support coordination and the other reasonable and necessary supports funded in their plan, in a way they are likely to understand. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Information resources explaining the support coordination role; Case notes recording the explanation given; Service agreement describing the scope of support coordination | Participants unclear which services the coordinator's organisation provides; Service agreement does not separate coordination from other supports | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| Module 4 5.3 | If the provider has an interest in any support option available to the participant, the participant knows about it and understands that choosing other providers will not affect the specialised support coordination they receive. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Conflict of interest declarations and register; Disclosure records signed or acknowledged by the participant; Referral data showing the share of referrals to the provider's own services | Referrals mostly to the provider's own services with no disclosure; No register of declared interests | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| Module 4 5.4 | Every referral to and from other providers is documented for each participant, showing who was referred, to or from whom, when and why, so referral patterns can be checked for conflicts of interest. Source: https://www.legislation.gov.au/F2018L00631/latest/text | Referral log per participant showing provider, date and reason; Copies of referral correspondence; Records of options considered before each referral | Referrals made by phone with no record; Referral log incomplete or not kept per participant | ☐ 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.