Provider blog · audit organisation
How to build an NDIS audit evidence index
An evidence index is a map to your records. It helps you find the current document, explain what it shows and identify what is still missing. It does not need to be complex: a spreadsheet can work if it is accurate, maintained and accessible to the right people.
Audits & Practice Standards4 min readLast reviewed:
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Begin with your scope, not a downloaded folder
Keep your Initial Scope of Audit and the auditor's evidence requests together. Use these to decide which areas your index needs to cover. If a requested item seems unrelated to your services, record the question and ask the auditor rather than deleting the request.
A folder full of generic policies makes it hard to see what your business actually does. Give each record a clear name and connect it to a purpose. The index should help you explain the record, not simply count documents.
The columns your index needs
| Column | What to enter | Why it helps |
|---|---|---|
| Requirement or request | The relevant standard, indicator or auditor request, using the wording from your scope. | Makes the reason for the evidence clear. |
| Policy or procedure | Document title and current version, if relevant. | Shows how your process is intended to work. |
| Implementation evidence | A record showing the process operating; distinguish real records from practice exercises. | Connects the written process with what happens. |
| Location and access | Controlled folder or record reference, with access limited appropriately. | Lets the authorised reviewer find the evidence. |
| Owner and date | Person responsible, record date and next review date where relevant. | Keeps responsibility and currency visible. |
| Gap and next action | What is missing, who will address it and when. | Prevents an incomplete folder being mistaken for readiness. |
A worked example for a fictional small provider
| Area | Written process | Practical evidence to locate | Gap to record |
|---|---|---|---|
| Complaints | Current complaints procedure and accessible information. | Where applicable, a securely held complaint record showing follow-up; otherwise a clearly labelled process test. | Team cannot yet explain the non-email contact option. |
| Worker preparation | Induction process and role responsibilities. | Relevant induction and training records, with dates and responsibility recorded. | A changed procedure has not yet been covered in induction. |
| Document control | Method for approving and updating documents. | Version history and the current approved copy. | Two folders contain different versions of the same procedure. |
| Improvement | Process for recording issues and actions. | An action register with an owner, follow-up and completion evidence. | An action is marked complete but has no supporting record. |
Keep policies and implementation evidence separate
A policy describes your intended process. A completed record may show how the process operated in a particular situation. Keep separate columns so you can see when you have only one of these. Do not claim that a template proves a process is being followed.
The Commission describes verification as a desktop audit of relevant documents. Certification includes assessment of implementation and may involve site visits and interviews. Your auditor determines what is needed for your scope; ask about the format and secure method for providing it.
Check the index before sharing it
- 01
Open every reference
Check that each location leads to the intended record and that the authorised reviewer can access it. A broken shortcut is not usable evidence.
- 02
Check dates and versions
Confirm the document is the approved current copy. Retain historical records where needed, but make their status clear so people do not use an obsolete procedure.
- 03
Check accuracy and privacy
Share through the agreed secure method. Avoid putting participant details in filenames or a broadly shared index; ask the auditor how to handle sensitive records and any redaction.
- 04
Ask the owner to explain the record
The person responsible should be able to describe what the record shows, what it does not show and any follow-up still needed.
If you have no service history yet
Do not invent participants, complaints, incidents or service delivery records. Record your current stage honestly. Mark a draft, scenario or process test as such and ask the auditor which evidence is appropriate for a new business in your scope.
Use the gaps to plan the next week
Move unresolved gaps into your action register. Include the record reference so the owner can return to the right row. When an action is completed, update the index and keep the result rather than merely changing the status to green.
After the audit, use the index as a starting point for document maintenance. Review it when services, roles or procedures change. If maintaining it takes more effort than using it, simplify the folder structure and remove duplicate pointers without discarding required records.
Frequently asked questions
- Is an evidence index an official NDIS form?
- No. This is a suggested organisation tool. Use the Commission's application requirements and your approved quality auditor's requests for your actual scope.
- Can a spreadsheet be used for the index?
- Yes, if it suits your business. Use clear ownership, controlled access and links to current records. The software does not determine whether the underlying evidence is adequate.
- Should I hide missing evidence before the audit?
- No. Record gaps accurately and agree the appropriate next action. Ask the auditor about unresolved requests rather than substituting a fabricated or misleading record.
Official sources and further reading
Requirements change. Always confirm the current position with the relevant authority before making decisions.
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