Compliance Documentation Checklist

Maintaining comprehensive and compliant documentation is essential for NDIS providers. This checklist covers all the documentation you need to stay audit-ready and deliver quality services.

Use this guide as your reference for ensuring nothing falls through the cracks. Each section includes practical tips for maintaining documentation standards.

Essential Business Documents

These documents establish your organization's legal structure and compliance framework.

• •Business registration and ABN documentation
• •NDIS registration certificate and scope of registration
• •Public liability and professional indemnity insurance
• •Workplace health and safety policies
• •Privacy policy and data management procedures
• •Complaints and feedback management policy
• •Quality and safeguards policies aligned with NDIS Practice Standards
• •Risk management framework and risk register

Review and update these documents annually, or whenever significant changes occur in your organization.

Worker Screening and Qualifications

Maintaining current staff documentation is critical for compliance and participant safety.

• •NDIS Worker Screening Check (renewed every 5 years)
• •Working with Children Check (state-specific requirements)
• •National Police Check (renewed every 3 years minimum)
• •Qualification certificates and transcripts
• •First Aid and CPR certificates (renewed annually)
• •Professional registrations (where applicable)
• •Reference checks and employment history
• •Position descriptions and duty statements
• •Training records and professional development logs
• •Performance reviews and supervision records

Set up automated reminders in Diversity Sync'd to track expiry dates and ensure renewals are completed on time.

Essential Participant Records

Comprehensive participant documentation ensures person-centered, compliant care delivery.

• •NDIS plan and funding breakdown
• •Service agreement signed by participant or guardian
• •Consent forms for service delivery, photos, and data sharing
• •Care plan with goals and support strategies
• •Risk assessments and management plans
• •Behavior support plans (if applicable)
• •Medication administration records
• •Emergency contact information
• •Medical history and healthcare professionals
• •Communication preferences and access requirements
• •Cultural and religious considerations

Ongoing Documentation

• •Shift notes for every support session
• •Progress notes tracking goal achievement
• •Incident and accident reports
• •Communication logs with participants and families
• •Changes to care plans or support needs
• •Budget tracking and service delivery records

Daily Documentation Requirements

Accurate service delivery documentation demonstrates quality care and supports NDIS claims.

• •Date, time, and duration of each support session
• •Staff member who provided support
• •Activities completed during the session
• •Progress toward participant goals
• •Participant's response and feedback
• •Any incidents, concerns, or changes observed
• •Support items or equipment used
• •Communication with other providers or family members

Shift notes should be completed before the end of each shift while details are fresh. Diversity Sync'd makes this easy with mobile access and templates.

Reportable Incidents

Certain incidents must be reported to the NDIS Commission. Proper documentation is essential for compliance and participant safety.

• •Death of a participant
• •Serious injury requiring medical attention
• •Abuse or neglect
• •Unlawful sexual or physical contact
• •Sexual misconduct
• •Unauthorized use of restrictive practices

Incident Report Requirements

• •Date, time, and location of incident
• •People involved (participants, staff, witnesses)
• •Detailed description of what occurred
• •Immediate actions taken
• •Injuries sustained and medical treatment provided
• •Notifications made (family, Commission, police)
• •Investigation findings and outcomes
• •Preventative measures implemented
• •Follow-up actions and timeline

Demonstrating Quality

Document your organization's commitment to quality and continuous improvement.

• •Quality improvement plan and goals
• •Audit and review schedules and results
• •Participant satisfaction surveys and feedback
• •Complaints register and resolution outcomes
• •Staff training completion rates
• •Incident trends and prevention strategies
• •Service delivery performance metrics
• •Outcomes measurement for participants

Regular review of these documents helps identify improvement opportunities and demonstrates your commitment to quality.

Being Audit-Ready

The best approach to audits is to stay prepared year-round rather than scrambling when notified.

• •Conduct quarterly internal audits using NDIS Practice Standards
• •Maintain an audit-ready folder with all required documents
• •Ensure all documents are current and easily accessible
• •Keep evidence of policy implementation, not just policies themselves
• •Document how you respond to feedback and complaints
• •Show evidence of continuous improvement activities
• •Maintain clear version control and review dates on all policies

Using Technology

Diversity Sync'd helps you stay audit-ready by centralizing documentation, tracking expiry dates, and maintaining comprehensive audit trails. Generate compliance reports with a single click.