How to Pass Your Stage 1 NDIS Audit
Stage 1 is usually 1-2 days of file review. Your auditor sits with your evidence and forms initial impressions. Get Stage 1 right and Stage 2 becomes straightforward. Here's what to do.
What Happens in Stage 1
Your auditor reviews: self-assessment answers, policies and procedures, participant files (5-10 sample files), worker records (recruitment, screening, training, contracts), incident logs, risk registers, safety documentation, and participant feedback evidence. They're checking whether your documentation matches your self-assessment answers and whether you're evidencing NDIS Practice Standards Modules 1-4. Stage 1 usually takes 1-2 days. Some auditors do it via video call, reviewing shared documents. Others visit in person. The format doesn't matter - the rigour is the same. Your auditor writes up Stage 1 findings and flags any gaps. Most providers have 5-15 findings after Stage 1 - this is normal.
Preparing Your Evidence Binder
Create a physical or digital folder organised by NDIS Practice Standards module. Module 1: governance documents (board minutes, policies, conflict of interest declarations). Module 2: service delivery evidence (participant files with agreements, support plans, progress notes). Module 3: worker records (screening evidence, employment contracts, training records, supervision notes). Module 4: health and safety (incident logs, risk register, safety audits, emergency plans). Your binder should be clearly labelled and easy to navigate. We use colour-coded tabs. An auditor who can find documents quickly forms positive impressions. A messy binder slows the audit and frustrates your auditor.
Preparing Participant Files for Stage 1 Review
Select 5-10 participant files that represent your service diversity - different age groups, support types, durations of involvement. For each file, prepare: participant agreement, current support plan, progress notes (last 3 months), incident logs (if any), feedback or complaints (if any), risk assessments. Auditors will examine these files in detail. Ensure they're complete, up-to-date, and person-centred. Weak participant files are the most common Stage 1 finding. If your files show scattered notes, missing signatures, or vague progress updates, you'll get multiple non-conformities. Invest time in file quality before your audit.
Getting Your Policies Right
Review your policies against NDIS Practice Standards Modules 1-4. You should have at minimum: recruitment and screening policy (Module 3), service delivery and person-centred planning policy (Module 2), health, safety and risk management policy (Module 4), complaint and feedback policy (Modules 2 and 4), worker training and supervision policy (Module 3), confidentiality and privacy policy (Module 2), and incident reporting policy (Module 4). All policies should be dated, version-controlled, and recently reviewed (within 12 months). Outdated policies (2+ years old) signal poor governance. We provide templated policies to Provider Scale clients - don't write from scratch.
Coaching Your Staff for Stage 1 Interviews
Auditors may interview 1-3 staff members during Stage 1. Prepare them. Conduct a mock interview using NDIS Practice Standards terminology. Ask: What's our service philosophy? How do we involve participants in planning? How do we respond to incidents? How do we ensure worker competence? Good staff interviews convince auditors you have a quality culture. Poor interviews raise doubts - Staff seemed uncertain about how we involve participants." Spend 2-3 hours coaching staff on NDIS language and your service approach."