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The NDIS SIL certification audit checklist

Every document the NDIS Commission asks for at a SIL certification audit - 38 artefacts across participant files and staff records, with triggers, tags and per-item detail. Delivered as a printable PDF.

  • 20 participant documents with ‘applies if’ triggers
  • 18 staff records across pre-employment, onboarding, training
  • Every item aligned to the NDIS Practice Standards
  • Printable, shareable, auditor-ready

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The NDIS SIL Certification Audit Checklist - a Checkbase guide

38

Total artefacts catalogued

20

Participant documents

18

Staff records

100%

Practice-Standards aligned

How to use this guide

A working reference - not a generic checklist.

We built this from inside the audit room: every artefact the NDIS Commission's approved auditors ask for during a SIL certification Stage 1 review, grouped by when each one applies.

What it covers

Every artefact the Commission's auditors request in Stage 1 - grouped as Mandatory-All (every provider), Conditional (applies if triggered), or Ongoing (maintained over time).

Who it's for

Operations managers, quality leads and owners of small-to-medium SIL providers (1–50 staff). Smaller teams: tackle participant-side first. Larger teams: split governance and participant files in parallel.

How to work it

Catalogue, not a checklist for your specific org. Work Mandatory-All groups first, then triage Conditional against your actual service mix (behaviour support, restrictive practices, etc.).

Track every SIL artefact

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Participant Documents

Every document below must be in the participant's file. Auditors conduct file sampling during certification and unannounced visits. A missing document is an audit finding.

Universal - Required for Every Participant

Mandatory for every provider
1.1

SIL Service Agreement

Formal contract between provider and participant covering all supports, costs, and rights.

Signed by participant / guardianReview at every plan reviewPre-commencement

Must include

  • Provider legal name, ABN, NDIS number
  • Participant name and NDIS number
  • All supports to be delivered
  • Support hours, frequency, and times
  • Cost of each support (NDIS Pricing)
  • Participant rights and how to complain
  • Privacy and information sharing
  • Process to change or end the agreement
  • Emergency and disaster arrangements

Who signs

  • Participant OR guardian/nominee
  • Authorised provider representative
  • If participant can't sign: document alternative method (verbal witnessed by 2 staff)
  • Review: Every NDIS plan review, or when supports change
  • Note: Separate from tenancy agreement
1.2

Tenancy Agreement (Residential Lease)

Legal document giving the participant tenancy rights in the property. Must be separate from the SIL Service Agreement.

Signed by participant + landlordPre-commencement
  • Property address and commencement date
  • Rent amount and bond details (lodged with state bond authority)
  • Entry notice requirements (min 24–48hrs notice)
  • Maintenance obligations and grounds for ending tenancy
  • Tenant rights under relevant state Residential Tenancies Act
  • Review: On renewal or when terms change
  • Warning: If provider owns the property, a Conflict of Interest must be documented
1.3

Individual Support Plan (ISP)

Operational care plan translating NDIS goals into day-to-day supports. Not the NDIS plan - this is the provider's working document.

Developed with participantReview every 12 months min

Must include

  • Personal details, preferred name, key contacts
  • NDIS goals in the participant's own words
  • Support strategies for each goal
  • Daily routine with support needs at each time
  • Communication profile
  • Cultural and personal preferences
  • Health and medical summary
  • Functional capacity - what they can/can't do independently
  • Known risks and management strategies

Also review when

  • NDIS plan is reviewed
  • Significant change in health or function
  • New diagnosis received
  • Participant requests a change
  • Incident that changes the risk profile
1.4

Participant Risk Assessment

Documented assessment of all risks to the participant and to staff supporting them.

Review every 12 months + after incidentsApproved by manager
  • Risks across: physical safety, health/medical, behavioural, community access, financial, environmental
  • For each risk: likelihood, consequence, current controls, residual risk rating
  • Specific WHS risks for workers supporting this participant
  • Action plan for any HIGH or EXTREME risks
  • Participant involvement in the assessment documented
1.5

Communication Profile

How the participant communicates - must be readable by all staff before their first unsupported shift.

Update immediately if communication changes
  • Preferred communication methods (verbal, AAC, PECS, signing, etc.)
  • Level of language comprehension
  • How they express needs, preferences, and distress
  • How they indicate yes/no
  • How they communicate pain
  • AAC device details and who maintains it (if applicable)
  • Speech pathology recommendations (if applicable)
1.6

Emergency Contact & Key People List

All contacts to call in an emergency - including who to call first for different scenarios.

Review every 6 months
  • Next of kin / primary emergency contact
  • Guardian or nominee (if applicable)
  • General Practitioner name, practice, and phone
  • All treating specialists
  • Plan Manager and Support Coordinator
  • After-hours medical advice line
  • Clear instruction: who to call first for medical emergency vs. behaviour incident vs. hospital admission
1.7

Consent Documentation

Written consent for service delivery, information sharing, photography, and any other data use. Consent is ongoing - not a one-time event.

Signed by participant / guardianReview annually
  • Consent to receive supports described in the Service Agreement
  • Consent to collect and use personal/sensitive information
  • Consent to share information with nominated third parties
  • Consent to photography or video (if used)
  • Statement of right to withdraw consent at any time
  • Method of consent documented (written, verbal witnessed, supported decision)
1.8

Personal Emergency Evacuation Plan (PEEP)

Exactly how this participant will be evacuated from the home in a fire or emergency. Required by both NDIS and fire safety legislation.

Life safety documentReview every 6 months + when mobility changes
  • Mobility status - can self-evacuate / needs prompting / needs physical assistance / non-ambulant
  • Equipment required (evacuation chair, mattress, hoist)
  • Step-by-step evacuation procedure for this participant
  • Which staff member is responsible on each shift
  • Assembly point and alternative evacuation route
  • Record of last drill and outcome
  • Non-ambulant participants: Must specify equipment AND minimum 2 trained staff required
1.9

Health Care Summary / Medical Alert

Single-page summary of current health conditions, allergies, medications, and critical medical information. Accessible to staff and emergency services.

Review every 6 months + when health changes
  • Full name, DOB, Medicare number
  • Current diagnoses and known allergies (with severity)
  • Current medications - name, dose, route, frequency
  • Medical devices in use
  • GP and specialist contact details
  • Critical medical alerts (e.g. diabetic, epileptic, anaphylaxis risk)
1.10

Goals Progress Documentation

Regular evidence that supports are working toward the participant's NDIS goals. Required to demonstrate 'reasonable and necessary' outcomes.

Update monthly, formal review 6-monthly
  • Reference to each NDIS plan goal
  • Specific actions being taken toward each goal
  • Measurable progress indicators
  • Participant's own feedback on progress
  • Barriers to goal achievement and how they are addressed
  • Contribution to NDIS progress report at plan review

Conditional - Required When Trigger Applies

Applies when triggered
2.1

Behaviour Support Plan (BSP)

Developed by a registered NDIS Behaviour Support Practitioner. Must be lodged with the NDIS Commission if any restrictive practices are included.

Applies if: Any behaviours of concern OR any regulated restrictive practice in use

Lodge with NDIS Commission if RP includedReview annually
  • Description of each behaviour of concern (observable and measurable)
  • Function of the behaviour - what need it is communicating
  • Triggers and proactive prevention strategies
  • De-escalation and response strategies
  • Any regulated restrictive practices - type, conditions for use, reduction plan
  • Data collection requirements and staff training requirements
  • Named BSP Practitioner and registration status
2.2

Mealtime Management Plan

Developed by a Speech Pathologist. All staff who assist with meals must be trained on this plan before providing support.

Applies if: Any difficulty with eating, drinking, or swallowing - including texture/fluid requirements

High-risk support areaReview annually by SLP
  • IDDSI texture level required for solids (Level 3–7)
  • IDDSI fluid consistency required (Level 0–4)
  • Positioning requirements and utensils/equipment to use
  • Signs of aspiration or choking to watch for
  • Emergency response procedure (choking/aspiration)
  • Foods and fluids to NEVER give this participant
2.3

Medication Management Plan + MAR

Plan covering storage, administration, and recording of all medications. Medication Administration Record (MAR) completed for every dose given.

Applies if: Any prescribed medication

Required for every medicationReview annually with GP
  • Full medication list (name, dose, route, frequency, prescriber)
  • PRN medication protocols - conditions for use, max dose
  • Storage requirements and who is authorised to administer
  • What to do if a dose is missed or participant refuses
  • MAR completed for every dose: drug, dose, time, staff signature, participant response
  • Controlled drug register for Schedule 8 medications
2.4

Seizure Management Plan

Medical action plan from neurologist or GP. Tells staff exactly what to do during and after a seizure, including when to call 000.

Applies if: Epilepsy or history of seizures

Issued by neurologist / GPReview annually
  • What a seizure looks like for this participant
  • Known triggers and what to do/not do during a seizure
  • Duration that is 'normal' vs. when to call 000
  • Rescue medication - drug, dose, route, who can administer
  • Post-ictal period - what to expect and how to support
  • Seizure diary recording requirements
2.5

Mental Health Crisis Plan

Participant-developed plan documenting early warning signs, what helps, and exactly what to do in a mental health crisis.

Applies if: Psychosocial disability or any mental health condition with crisis risk

Developed WITH participantReview annually + after crisis
  • What 'well' looks like and early warning signs of deterioration
  • Crisis indicators - when to call for mental health emergency response
  • What helps and what makes things worse
  • CATT/MHCAT contact details for the participant's region
  • Treating mental health team contacts
  • Hospital preference and relevant admission history
2.6

High Intensity Support Plan / Clinical Care Plan

Clinically developed plan for each high-intensity procedure. Provider must be registered under HIDPA. One plan per procedure.

Applies if: Any high-intensity support - PEG, catheter, stoma, tracheostomy, ventilator, complex wound, insulin

HIDPA registration requiredReview annually by clinician
  • Named procedure and clinical rationale
  • Step-by-step procedure approved by relevant specialist
  • Equipment required and complication signs to monitor
  • Emergency response if something goes wrong
  • Named staff who are individually competency-assessed for this procedure
2.7

Restrictive Practice Authorisation

State/territory authorisation obtained BEFORE the practice is used. Monthly reporting to NDIS Commission required.

Applies if: Any regulated restrictive practice in use

Must be obtained BEFORE useMonthly Commission reporting
  • Type of restrictive practice and conditions for use
  • Authorising body (NCAT in NSW, OSP in VIC, QCAT in QLD, etc.)
  • Duration and expiry date - never allow to lapse
  • Monthly reporting log to NDIS Commission
  • Never: Use a restrictive practice after authorisation expiry - this is an unauthorised RP and a reportable incident
2.8

Guardianship & Decision-Making Documentation

Copies of all legal orders and appointments affecting who can make decisions for the participant.

Applies if: Guardianship order, administration order, or formally appointed nominee

Check expiry dates
  • Copy of guardianship order noting scope of guardian's authority
  • Copy of financial administration order (if applicable)
  • NDIS nominee appointment letter (if applicable)
  • Clear notation: which decisions participant makes independently vs. which require guardian
  • Contact details for Public Guardian or private guardian
  • Expiry dates of time-limited orders

Ongoing - Must Be Maintained Throughout

Ongoing, maintained over time
3.1

Progress Notes & Shift Handover

Daily record of support provided, participant wellbeing, and any issues. Must be written at or near the end of each shift.

DailySigned/initialled by staff
  • Date, shift start/end, staff name and signature
  • Participant's mood, wellbeing, and any changes
  • Meals, activities, appointments, medication given
  • Any incidents (linked to Incident Report)
  • Handover to next shift - what the next staff member needs to know
  • Stored securely - participant has right to access their own notes
3.2

Incident Reports (where applicable)

Documented record of any incident - injury, near-miss, medication error, behaviour of concern, or anything unusual. NDIS-reportable incidents must be lodged with the Commission within 24 hours.

NDIS reportable: notify Commission within 24 hoursEvery incident, at the time
  • Date, time, location, people involved
  • Factual description of what happened - not opinion
  • Immediate actions taken and medical attention given
  • Notifications made (family, Commission, WHS)
  • Root cause analysis for serious incidents
  • Actions to prevent recurrence - linked to Quality Improvement plan

Staff Documents

Every document below must be in the staff member's file. Missing staff records are one of the most common audit findings and are particularly visible in Stage 2 (on-site) review.

Pre-Employment

Mandatory for every provider
S1.1

Signed Employment Contract / Engagement Letter

Formal written agreement with every staff member - employee or contractor. Required before first shift.

Before first shiftBoth parties
  • Employment type (full-time / part-time / casual / contractor)
  • Award or Enterprise Agreement coverage (SCHADS most common)
  • Position description attached
  • Probation period (if applicable)
  • Pay rate, superannuation, leave entitlements
  • Termination clauses and notice period
S1.2

Proof of Right to Work in Australia

Citizenship, permanent residency, or valid visa with work rights. Provider must verify via VEVO for non-citizens.

Verify via VEVORe-verify on visa expiry
  • Passport or citizenship certificate (citizens)
  • Passport + VEVO check result (visa holders)
  • Record of VEVO reference number and check date
  • Diary reminder to re-verify before visa expiry
S1.3

NDIS Worker Screening Check - Cleared

Current 'cleared' result from the NDIS Worker Screening Check. Required for all risk-assessed roles in SIL.

Must be CLEARED before unsupervised work5-year validity - renew before expiry
  • Cleared certificate with unique application ID
  • Expiry date tracked - renewal starts 6 months before
  • State of issue (portable across Australia)
  • Interim clearance rules if outcome pending
S1.4

Working With Children Check (WWCC) - state-dependent

State-issued clearance to work with children. Required if supporting any participant under 18 or families with children.

State-specificCheck state expiry rules
  • NSW: Working With Children Check
  • VIC: Working With Children Check
  • QLD: Blue Card
  • Other states: state equivalent
  • Expiry date - never allow to lapse
S1.5

Two Professional Reference Checks - Documented

At least two references from previous supervisors, with documented call notes or written responses.

Documented on file
  • Name, role, organisation, contact number of each referee
  • Written notes of the reference conversation
  • Specific questions asked about conduct, reliability, suitability
  • Signature of the staff member who made the check
S1.6

Position Description Signed and Dated

Clear, role-specific description of duties, expectations, and reporting lines. Signed acknowledgement by the staff member.

Signed by staff
  • Role title and reporting line
  • Key duties and responsibilities
  • Essential and desirable qualifications
  • Mandatory training requirements
  • Key performance indicators

Onboarding & Orientation

Mandatory for every provider
S2.1

NDIS Orientation Module - Completion Certificate

Free online module from the NDIS Quality and Safeguards Commission. Must be completed before first shift.

Before first shift
  • Completion certificate saved to staff file
  • Unique certificate number recorded
  • Completion date tracked
S2.2

Induction Checklist - Signed

Documented induction covering the provider, policies, systems, and specific participants the staff member will support.

Signed by staff + inductor
  • Organisational overview, values, Code of Conduct
  • Key policies: incident management, complaints, privacy, WHS
  • Emergency procedures and site-specific emergency plans
  • Introduction to participants they will support - Individual Support Plans reviewed
  • Systems training - rostering, documentation, reporting
S2.3

Code of Conduct (NDIS + Org) - Signed

NDIS Code of Conduct plus the provider's own Code of Conduct. Signed annually.

Signed annually
  • Copy of the NDIS Code of Conduct
  • Provider's own Code of Conduct
  • Signed acknowledgement with date
  • Re-signed at each annual performance review
S2.4

Participant-Specific Plan Acknowledgement

For each participant this staff member will support, a signed acknowledgement that they have read and understood the relevant plans.

One per participant supported
  • Individual Support Plan read and understood
  • Behaviour Support Plan read (if applicable)
  • Mealtime Management Plan read (if applicable)
  • Emergency Evacuation Plan read
  • Signature, date, and acknowledgement that they will ask if unsure
S2.5

Conflict of Interest Declaration

Written declaration of any real, potential, or perceived conflicts of interest. Signed at onboarding and annually.

Signed annually
  • Family or relationship links to other staff or participants
  • Other employment that could conflict
  • Financial interests in related businesses
  • Declaration reviewed by manager

Training & Competency

Mandatory for every provider
S3.1

First Aid and CPR - Current

HLTAID011 Provide First Aid OR HLTAID012 Provide First Aid in an Education and Care Setting. CPR must be refreshed every 12 months.

CPR annualFirst Aid every 3 years
  • Accredited training provider certificate
  • CPR refresher certificate - within last 12 months
  • Original certificate photocopied to file
  • Diary reminder 1 month before expiry
S3.2

Manual Handling Training

Accredited manual handling training - required for any staff supporting participants with mobility needs.

Refresher every 2 years
  • Completion certificate
  • Specific training on equipment used (hoists, slings, transfer boards)
  • Competency assessment signed by trainer
S3.3

Medication Administration Training (if applicable)

Formal training covering the provider's medication policy + competency assessment. Required for any staff administering medication.

Before administering any medicationAnnual competency
  • Theory training (6 Rs of medication administration)
  • Provider-specific medication policy acknowledged
  • Practical competency assessment signed by supervisor
  • Annual refresher and competency reassessment
S3.4

Infection Control Training

Training on standard and transmission-based precautions. Heightened expectation since COVID; some state-funded services require annual refresh.

Annual refresher
  • Hand hygiene 5 moments
  • PPE use and disposal
  • Cleaning and disinfection protocols
  • Outbreak response procedures
S3.5

Participant-Specific Competency Sign-Offs

For high-intensity supports, each staff member must have a documented competency assessment against the specific procedure for the specific participant.

Per-procedure, per-participantAnnual
  • Procedure name (e.g. PEG feeding, tracheostomy care)
  • Named participant
  • Trainer name and qualification
  • Observation of staff performing procedure correctly
  • Date of competency and review date

Ongoing

Ongoing, maintained over time
S4.1

Supervision and Performance Review Records

Documented supervision (monthly) and formal performance review (annually).

Monthly supervision + annual review
  • Supervision notes - topics discussed, actions agreed
  • Performance review template completed + signed
  • Training needs identified + added to training plan
  • Goals for coming period
S4.2

Professional Development Log

Running record of training completed, in-services attended, and self-directed learning. Required to demonstrate continuing competence.

Updated as completed
  • Date, topic, provider, duration, outcome
  • Certificates and transcripts attached
  • Linked to training plan and performance goals

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