NDIS compliance guide

A written plan co-created with the participant (and/or their representative) detailing their goals, preferred routines, cultural considerations, communication style and scheduled review date.

What to include

• participant name
• participant goals
• communication preferences
• cultural considerations
• support strategies
• review date
• participant or representative signature

An ongoing dated record of two-way communication between the provider and participant (or representative), documenting decisions, preferences expressed, and follow-up actions.

What to include

• date
• participant name
• communication method
• summary
• action taken
• staff name

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Certificates or records evidencing that all staff have completed recognised training in cultural competency, including culturally safe practice for Aboriginal and Torres Strait Islander peoples.

What to include

• staff name
• training provider
• training title
• completion date
• expiry date

Per-participant assessment records capturing cultural background, religious observances, language preferences, gender identity considerations, and any factors affecting how supports should be delivered.

What to include

• participant name
• cultural background
• language preference
• religious considerations
• assessor name
• assessment date

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

A current, reviewed policy outlining how the organisation collects, stores, uses and discloses participant information in compliance with the Privacy Act 1988 (Cth) and Australian Privacy Principles.

What to include

• policy version
• review date
• data collection practices
• disclosure conditions
• participant access rights
• approved by

An ongoing register recording all actual and suspected data breaches, including date, nature of breach, data affected, persons notified, and remediation actions taken.

What to include

• incident date
• description
• data affected
• persons impacted
• notification date
• remediation action

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Per-participant assessment that documents the participant's informed choice to engage in activities carrying personal risk, the risks discussed, safeguards agreed, and the participant's autonomous decision.

What to include

• participant name
• activity or decision
• risks identified
• safeguards agreed
• participant decision
• participant signature
• date

Signed consent forms covering collection/use of personal information, sharing of information with third parties, use of photos/videos, and consent to specific support activities.

What to include

• participant name
• consent type
• scope of consent
• participant or guardian signature
• date signed
• capacity confirmed

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Current NDIS Worker Screening Clearance records for all workers (paid, unpaid and contractors) who deliver supports or have more than incidental contact with participants.

What to include

• worker name
• worker id
• clearance number
• clearance issue date
• clearance expiry date
• role

A register of referrals made to independent advocacy services on behalf of participants, including date, reason, advocacy body contacted, and outcome.

What to include

• date
• participant name
• reason for referral
• advocacy body
• staff who referred
• outcome

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

An ongoing register of declared conflicts of interest by board members, executives and staff, including the nature of the conflict, how it is managed, and who it was declared to.

What to include

• declarant name
• role
• nature of conflict
• date declared
• management action
• reviewed by

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Signed minutes from board or governing body meetings evidencing oversight of organisational performance, compliance, risk, and strategic decisions. Minimum quarterly cadence.

What to include

• meeting date
• attendees
• quorum confirmed
• agenda items
• resolutions
• signed by chair

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

A current register of identified organisational risks (operational, financial, clinical, compliance), rated by likelihood and impact, with assigned owners and mitigation actions.

What to include

• risk description
• category
• likelihood rating
• impact rating
• risk owner
• mitigation actions
• residual risk rating
• last reviewed date

Annual independent financial audit reports prepared by a registered auditor, demonstrating financial viability and sound financial management.

What to include

• audit period
• auditor name
• auditor registration
• opinion type
• key findings
• management response

Current certificate of currency for Professional Indemnity insurance with minimum $1,000,000 cover per claim, naming the NDIS registered entity as the insured.

What to include

• insurer name
• policy number
• insured entity
• cover amount
• policy start date
• policy expiry date

Current certificate of currency for Public Liability insurance with minimum $10,000,000 cover per occurrence.

What to include

• insurer name
• policy number
• insured entity
• cover amount
• policy start date
• policy expiry date

Current certificate of currency for Personal Accident insurance where the organisation engages contractors or volunteers not covered by Workers' Compensation.

What to include

• insurer name
• policy number
• insured entity
• cover type
• policy start date
• policy expiry date

An ongoing log of identified improvement opportunities (from audits, complaints, incidents, feedback), with assigned owners, actions taken, and closure dates.

What to include

• date identified
• source
• description
• assigned to
• action planned
• action completed date
• outcome

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

An annual documented plan of scheduled internal audits covering all NDIS Practice Standards, with scope, methodology, assigned auditors, and dates.

What to include

• audit year
• audit scope
• standards covered
• assigned auditor
• scheduled dates
• approved by

A master register of all controlled documents (policies, procedures, forms) with version numbers, approval dates, review dates, and current status.

What to include

• document title
• document id
• current version
• approved by
• approval date
• next review date
• status

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

A current policy governing information security, password management, device usage, data storage, breach response, and staff obligations regarding digital information assets.

What to include

• policy version
• review date
• scope
• password requirements
• device policy
• breach response procedure
• approved by

An ongoing register of all complaints received (formal and informal), including date received, complainant details, nature of complaint, assigned investigator, and current status.

What to include

• complaint id
• date received
• complainant
• complaint description
• category
• assigned to
• status
• resolution date

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Documentation for each resolved complaint showing the investigation findings, outcome communicated to the complainant, and any systemic improvements made as a result.

What to include

• complaint id
• investigation summary
• outcome
• complainant notified date
• improvement action
• closed by

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

An ongoing register of all incidents (including near misses), with triage level, date, description, persons involved, immediate actions taken, investigation status, and preventive measures.

What to include

• incident id
• date
• triage level
• incident type
• participant name
• staff involved
• description
• immediate actions
• investigation status
• reportable to commission

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Evidence that reportable incidents (death, serious injury, abuse, unlawful sexual contact, use of restrictive practices, unexplained absence) were notified to the NDIS Quality and Safeguards Commission within required timeframes: 24 hours for priority incidents (death, abuse with physical/sexual contact, unlawful sexual contact), 5 business days for others.

What to include

• incident id
• triage level
• incident date
• commission notification date
• commission reference number
• follow up report due date

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Current NDIS Worker Screening Clearance for all workers, including casual, contract, and volunteer workers with more than incidental contact with participants.

What to include

• worker name
• clearance number
• clearance issue date
• clearance expiry date
• role
• employment type

Annual or role-specific assessments confirming each worker's skills, knowledge and capability to perform their duties safely and to the required standard.

What to include

• worker name
• role
• assessment date
• competencies assessed
• outcome
• assessed by
• next due date

Current certificate of currency for Workers' Compensation insurance covering all employees, or Personal Accident insurance for sole traders/contractors.

What to include

• insurer name
• policy number
• insured entity
• workers covered
• policy start date
• policy expiry date

A current documented plan identifying critical functions, risks to continuity (natural disaster, cyber incident, pandemic), recovery time objectives, and procedures for maintaining participant supports during disruption.

What to include

• plan version
• review date
• critical functions
• risk scenarios
• recovery time objectives
• communication plan
• approved by

Dated records of at least two emergency/evacuation drills conducted in the rolling 12-month period, including scenario used, participants involved, outcomes, and follow-up actions. Mandated from 2025.

What to include

• drill date
• scenario type
• location
• staff participants
• duration
• outcomes observed
• follow up actions
• facilitator

A current policy defining how the organisation assesses whether a person meets criteria for its services, including any restrictions on the cohorts served and how waitlist decisions are made.

What to include

• policy version
• review date
• eligibility criteria
• waitlist process
• decision making authority
• appeals process
• approved by

Per-participant intake assessment completed prior to or at commencement of supports, documenting the participant's needs, goals, risks and eligibility determination.

What to include

• participant name
• assessment date
• assessor name
• presenting needs
• risk factors
• eligibility determination
• recommended supports

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Signed service agreement between the provider and participant (or representative) specifying the supports to be delivered, pricing, cancellation terms, complaint process and participant rights.

What to include

• participant name
• provider name
• supports listed
• pricing
• start date
• end date
• cancellation policy
• participant signature
• provider signature

Ongoing records demonstrating progress toward the participant's NDIS plan goals, including measurable outcomes, staff observations, and participant feedback.

What to include

• participant name
• goal description
• measurement method
• current status
• date recorded
• staff name
• participant feedback

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Executed copies of service agreements signed by the participant (or authorised representative) and provider, held on file and provided to the participant.

What to include

• participant name
• date signed
• participant or rep signature
• provider signature
• supports covered
• review date

Plain language or pictorial versions of the service agreement provided to participants with cognitive or communication support needs, ensuring informed consent.

What to include

• participant name
• version date
• format used
• provided date
• acknowledged by

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Contemporaneous notes completed by the support worker at or immediately after each shift, recording supports provided, participant wellbeing observations, and any incidents or changes noted.

What to include

• participant name
• date
• staff name
• shift start
• shift end
• supports provided
• observations
• incidents flagged

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Quarterly or trigger-based review records documenting reassessment of the participant's support needs, changes made to the support plan, and participant or family input.

What to include

• participant name
• review date
• reviewer name
• changes identified
• plan updated
• participant input
• next review date

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Documented interview with the participant (or representative) when they leave the service, capturing reasons for exit, satisfaction with services and suggestions for improvement.

What to include

• participant name
• exit date
• reason for exit
• satisfaction rating
• feedback
• conducted by
• date

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Structured handover package provided to the receiving provider or participant, including current support plan, risk assessments, medication information, and key contacts.

What to include

• participant name
• receiving provider
• handover date
• documents included
• risk summary
• medication summary
• key contacts
• prepared by

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Per-participant risk assessment of the home or community environment where supports are delivered, identifying hazards and agreed actions to mitigate them.

What to include

• participant name
• address
• assessment date
• hazards identified
• risk rating
• mitigation actions
• next review date
• assessor name

Annual formal safety inspection of any premises operated by the provider (day programs, SIL houses, offices), with findings and corrective actions documented.

What to include

• site name
• inspection date
• inspector name
• items inspected
• findings
• corrective actions
• sign off date

Detailed records of all participant funds handled by staff, including receipts, transaction descriptions, balances, and reconciliation dates.

What to include

• participant name
• transaction date
• description
• amount
• staff name
• balance
• reconciled by
• reconciliation date

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

A current policy setting out rules and controls for handling participant money and property, including prohibited conduct, authorisation thresholds, and reporting requirements.

What to include

• policy version
• review date
• prohibited conduct
• authorisation limits
• record keeping requirements
• breach reporting
• approved by

Medication Administration Records (MAR) completed for each participant receiving medication support, with dose, time administered, staff signature, and any refusals or omissions noted.

What to include

• participant name
• medication name
• prescribed dose
• administration time
• administered by
• participant response
• omission reason if applicable

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Incident reports for every medication error or near miss, including the nature of the error, contributing factors, immediate response and systemic corrective action.

What to include

• participant name
• error date
• error type
• medication involved
• contributing factors
• immediate response
• corrective action
• reported by

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Clinical assessment conducted by a qualified Speech Pathologist for participants with swallowing difficulties, specifying safe food and fluid textures (aligned to IDDSI framework) and mealtime risks.

What to include

• participant name
• assessing clinician
• assessment date
• iddsi texture level
• fluid consistency
• mealtime risks
• recommendations
• next review date

Per-participant mealtime management plan developed from the dysphagia assessment, providing step-by-step guidance for support workers on safe mealtime positioning, textures, and emergency procedures.

What to include

• participant name
• plan date
• positioning requirements
• texture level
• fluid consistency
• mealtime steps
• emergency procedure
• developed by

An ongoing record of biohazardous waste disposal activities (sharps, soiled dressings, contaminated PPE), including disposal dates, quantities, disposal method and contractor used.

What to include

• date
• waste type
• quantity
• disposal method
• contractor name
• staff member
• consignment note number

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

A current policy covering identification of waste categories, safe handling procedures, PPE requirements, storage requirements, and disposal contractor arrangements.

What to include

• policy version
• review date
• waste categories
• handling procedures
• ppe requirements
• storage requirements
• disposal arrangements
• approved by

Evidence that all workers delivering high intensity daily personal activities have completed specialist training relevant to the specific sub-module (e.g., tracheostomy, enteral feeding) delivered by a registered training organisation or qualified clinician.

What to include

• worker name
• sub module
• training provider
• training date
• expiry date
• competency outcome

A documented plan confirming that a Registered Nurse (or delegating clinician) provides oversight and delegation for high intensity supports, including the scope of delegation, supervision frequency, and escalation pathway.

What to include

• rn name
• ahpra registration number
• worker name
• delegated tasks
• supervision frequency
• escalation pathway
• plan date

Current registration or suitability assessment evidence for each Behaviour Support Practitioner employed or contracted, confirming they meet NDIS Commission suitability standards.

What to include

• practitioner name
• credential type
• issuing body
• registration number
• issue date
• expiry date
• scope of practice

Per-participant functional behaviour assessments conducted by a suitable Behaviour Support Practitioner, identifying the function of behaviour and informing the Behaviour Support Plan.

What to include

• participant name
• practitioner name
• assessment date
• behaviours of concern
• functional analysis summary
• hypothesis
• recommended strategies

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

An ongoing register of all regulated restrictive practices authorised for specific participants, including the type of practice, authorisation details, review dates, and reduction plan status.

What to include

• participant name
• practice type
• authorisation number
• authorising body
• authorisation date
• review date
• reduction plan status

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Evidence of monthly reporting to the NDIS Quality and Safeguards Commission on the use of regulated restrictive practices, including confirmation of submission and Commission reference numbers.

What to include

• reporting month
• submission date
• commission reference
• participants reported
• practices reported
• submitted by

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

Per-family plans demonstrating that early childhood supports are designed around the family's priorities, routines and natural learning environments, with family members as active partners.

What to include

• child name
• family name
• plan date
• family priorities
• natural environments
• intervention strategies
• family role
• review date
• key worker name

Documentation demonstrating the organisation's implementation of the key worker model, with a single allocated key worker per family coordinating all early childhood supports and communicating with the family.

What to include

• child name
• key worker name
• allocation date
• coordination activities
• family contact records

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.

A current policy establishing how the organisation manages and discloses conflicts of interest when providing both Specialist Support Coordination and other funded supports to the same participant.

What to include

• policy version
• review date
• conflict identification
• disclosure process
• management actions
• participant notification
• approved by

A documented framework for identifying and monitoring risks in complex cases, including trigger criteria for escalation, collaboration with other agencies, and participant safety planning.

What to include

• framework version
• review date
• risk indicators
• escalation triggers
• escalation pathway
• agency collaboration
• approved by

Current SDA enrolment certificates issued by the NDIS Commission for each enrolled SDA dwelling, confirming the dwelling type, design category, and enrolment period.

What to include

• dwelling address
• design category
• building type
• enrolment number
• enrolment start date
• enrolment expiry date

An ongoing log of all maintenance activities, safety checks and repairs carried out at each SDA property, ensuring the dwelling remains fit for purpose and meets SDA design standards.

What to include

• property address
• date
• maintenance type
• description
• completed by
• cost
• next scheduled check

No fixed interval is set in this JSON. Follow any timing described above and check the official requirements.