Overview

Essential documentation requirements for NDIS audits and maintaining compliance standards. This checklist is designed to help you walk into NDIS audits with confidence and maintain strong governance, safety and quality every day, not just at audit time.

Diversity Sync'd supports this work by centralising rostering, documentation, incidents and compliance into one system, so your evidence is organised, consistent and easy to access when regulators ask for it.

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4. Incident and Reportable Events

Incident management policy and procedure (aligned with NDIS and any state-based requirements)

Staff training records for incident and reportable incident processes

Incident report templates and examples (completed)

Incident register (including type, severity, and date of incident)

Evidence of reportable incidents being notified to the NDIS Commission (and state bodies if required)

Investigations or root cause analysis (where applicable)

Corrective and preventative action plans, with outcomes and sign-off

Trends analysis reports (e.g. monthly or quarterly incident summaries)

Evidence that incident learnings are fed back into policies, training and practice

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6. Financial and Billing Records

NDIS price guide or pricing arrangements used for reference

Invoices issued to participants, plan managers or the NDIA

NDIS claims and remittance advice records

Funding utilisation reports by participant (current and historic)

Evidence of participant approval for any additional or changed charges

Statements provided to participants or their representatives

Reconciliation records (matching claims, payments and services delivered)

Procedures for handling overpayments, refunds and disputed invoices

Segregation of duties documentation (who approves, who claims, who reconciles)

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7. Health, Safety and Risk

Work Health and Safety (WHS) policy and procedures

Hazard and risk register (including environmental and client-related risks)

Incident and injury records (for staff and participants)

Emergency and evacuation plans for all sites and community-based services

Fire and emergency drill records

Equipment maintenance records (hoists, vehicles, medical devices, etc.)

Manual handling and infection prevention and control training records

Vaccination records where applicable (e.g. flu, COVID-19 if required by policy)

Safe medication management policy and associated records (if providing medication support)

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8. Quality, Feedback and Continuous Improvement

Internal audit schedule and completed internal audit reports

Quality improvement or continuous improvement (CI) register

Corrective action plans and documented outcomes

Participant feedback and satisfaction surveys

Complaints register (including outcomes and learnings)

Staff feedback mechanisms and survey results

Evidence that feedback and audit findings are discussed in meetings (minutes, action lists)

Evidence of policy updates driven by feedback, incidents or audit results

Diversity Sync'd advantage: Quality dashboards and incident/complaints records can make it easier to demonstrate continuous improvement, showing regulators not just what went wrong but how you responded and improved.

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9. Information Management and Privacy

Privacy and confidentiality policy (aligned with Australian Privacy Principles and NDIS requirements)

Data retention and disposal policy

Records of data breaches or potential breaches and responses

Access control procedures (who can access what information and how this is controlled)

Cybersecurity measures documentation (MFA, backups, encryption, etc.)

Staff training records on privacy, confidentiality and cyber safety

Participant consent regarding data sharing and communication preferences

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10. Third Parties, Contractors and Partnerships

Contracts and service level agreements (SLAs) with third-party providers

Due diligence records for contractors and key partners

Evidence that third-party services align with NDIS quality and safeguarding expectations

Records of monitoring or reviewing third-party performance

Insurance certificates of currency (public liability, professional indemnity, etc.)

Compliance Documentation Checklist

Table of Contents

Overview

1. Governance and Organisational Documents

Policies and Procedures

Documentation Management

2. Participant Information and Rights

Consent Forms

Support Planning

3. Worker and HR Compliance

Qualification and Training Certificates

Ongoing HR Documentation

4. Incident and Reportable Events

5. Service Delivery Documentation

Restrictive Practices Documentation

6. Financial and Billing Records

7. Health, Safety and Risk

8. Quality, Feedback and Continuous Improvement

9. Information Management and Privacy

10. Third Parties, Contractors and Partnerships

Compliance Documentation Checklist

Table of Contents

Overview

1. Governance and Organisational Documents

Policies and Procedures

Documentation Management

2. Participant Information and Rights

Consent Forms

Support Planning

3. Worker and HR Compliance

Qualification and Training Certificates

Ongoing HR Documentation

4. Incident and Reportable Events

5. Service Delivery Documentation

Restrictive Practices Documentation

6. Financial and Billing Records

7. Health, Safety and Risk

8. Quality, Feedback and Continuous Improvement

9. Information Management and Privacy

10. Third Parties, Contractors and Partnerships