01 / Information Management
Can you show how each participant is informed about collection, use, storage, disclosure, access, correction, and consent changes? The Practice Standards expect participant information to be handled with clear consent, purpose, storage, access, and correction processes.
consent form privacy collection notice information-sharing notes
Can you show how each participant is informed about collection, use, storage, disclosure, access, correction, and consent changes? Clear and current Some evidence Needs work Not relevant 02 / Information Management
Are participant records identifiable, accurate, current, confidential, and available to the right workers when needed? Auditors look for a proportionate information management system, not scattered files that only one person understands.
client profile access list record update history
Are participant records identifiable, accurate, current, confidential, and available to the right workers when needed? Clear and current Some evidence Needs work Not relevant 03 / Record Keeping
Do your support/session records consistently show date, duration, support type, worker/practitioner, and what was delivered? NDIS record keeping expects complete, accurate evidence of supports delivered and the details needed to verify claims or service history.
case notes support logs timesheets or appointment records
Do your support/session records consistently show date, duration, support type, worker/practitioner, and what was delivered? Clear and current Some evidence Needs work Not relevant 04 / Record Keeping
Do notes and reports connect work back to participant goals, support needs, outcomes, or plan context where relevant? Good records should make the reason for the support understandable later, especially during review, handover, or audit preparation.
SOAP/progress notes goal review notes plan context
Do notes and reports connect work back to participant goals, support needs, outcomes, or plan context where relevant? Clear and current Some evidence Needs work Not relevant 05 / Client File
Can you quickly find current service agreements, plans, consent forms, reports, assessments, and expiry dates? External audit preparation becomes harder when required documents are split across email, drives, local folders, and memory.
document register expiry tracker service agreement folder
Can you quickly find current service agreements, plans, consent forms, reports, assessments, and expiry dates? Clear and current Some evidence Needs work Not relevant 06 / Privacy And Access
Can you prove only relevant workers can access each participant file, and that access is removed when roles change? Confidentiality depends on practical access controls, especially for teams, contractors, and changing caseloads.
user roles client assignment list offboarding checklist
Can you prove only relevant workers can access each participant file, and that access is removed when roles change? Clear and current Some evidence Needs work Not relevant 07 / Safeguards
Are incidents, complaints, feedback, actions, and outcomes recorded in a way you can review and learn from? Registration audits commonly examine whether providers have real systems for complaints, incidents, and continuous improvement.
incident register complaints register action log
Are incidents, complaints, feedback, actions, and outcomes recorded in a way you can review and learn from? Clear and current Some evidence Needs work Not relevant 08 / Worker Readiness
Can you show worker checks, qualifications, orientation, CPD/training, supervision, and role suitability evidence? Verification and certification pathways both rely on documentary evidence that workers are suitable for the supports delivered.
screening checks qualification records training register
Can you show worker checks, qualifications, orientation, CPD/training, supervision, and role suitability evidence? Clear and current Some evidence Needs work Not relevant 09 / Governance
Do you keep an internal audit, review, or improvement process that is proportionate to your provider size and supports? The governance standards expect continuous improvement and internal review, scaled to the organisation rather than copied from a template.
internal audit schedule improvement register meeting notes
Do you keep an internal audit, review, or improvement process that is proportionate to your provider size and supports? Clear and current Some evidence Needs work Not relevant 10 / Audit Readiness
If an auditor asked tomorrow, could you produce a clean evidence pack without exposing unrelated participant information? Audit readiness is partly about having the evidence and partly about sharing it in a controlled, privacy-aware way.
evidence folder export process redaction process
If an auditor asked tomorrow, could you produce a clean evidence pack without exposing unrelated participant information? Clear and current Some evidence Needs work Not relevant