Practical Tips for Documenting the NDIS Management Systems

What needs to be documented?

Are you planning to become a registered NDIS provider and not sure about what needs to be documented? 

NDIS providers are required to present a management system outlining how they meet the NDIS standards and requirements. A documented system could include the following:

• The way the business operates
• Policies and procedures (with supporting templates)
• Guidelines that address the mandatory requirements or key elements of the standards for their state registers

This article outlining the required documentation, policies, and procedures is mainly for businesses planning to become a registered NDIS providers and needing to comply with the Core Module of NDIS Quality Indicators Guidelines 2018.

Documented information Vs Records

Documented information is broken up into two categories; documents and records. Policies, procedures, forms, templates, or registers are all considered as part of the documented system. When a form is filled out, it becomes a record.

Why do things need to be documented?

What needs to be documented is a common question asked by the business owners or NDIS providers. The reason to have a documented system is to address one or all of the following:

• Legislative requirements
• Business needs and risks considering the size and scale of the organisation
• Any other requirements such as NDIS Quality Indicators Guidelines 2018 or ISO 9001:2015

To become a registered NDIS provider, what are the mandatory documentation?

Providers are often not sure about what needs to be documented to meet the NDIS requirements. The level of complexity, size and scale of the organisations are often the main driver for what needs to be documented. However, there are some mandatory requirements that must be followed by any provider regardless of the size or complexity.

This list shows what needs to be documented as per the Core Module of the NDIS Quality Indicators Guidelines 2018:

1. Indicator number 11(governance and operational management) Section 7 There is a documented system of delegated responsibility and authority to another suitable person in the absence of a usual position holder.
2. Indicator number 11(governance and operational management) Section 8 Perceived and actual conflicts of interest are proactively managed and documented.
3. Indicator number 12 (Risk Management) Section 8 A documented system that effectively manages identified risks.
4. Indicator number 13 (Quality Management) Section 2 a documented program of internal audit
5. Indicator number 17(Human Resource Management) Section 1 The skills and knowledge required for each position.
6. Indicator number 17 ( Human Resource Management) Section 6 the performance of workers
7. Support plans, indicator number 18 (Continuity of supports), the needs and preference of each participant
8. Indicator number 19 (Access to support) section 1, The supports available, and any access/entry criteria (including any associated costs) are clearly defined and documented
9. Indicator number 20 (Support planning) section 2, In collaboration with each participant, a risk assessment is completed and documented for each participant’s support plan
10. Indicator number 21 (Service agreement with participants) Section 4 Where the provider delivers supported independent living supports to participants in specialist disability accommodation dwellings, documented arrangements are in place with each participant and each specialist disability accommodation provider
11. Indicator number 23 (Transition to or from the provider) Section1 A planned transition to or from the provider is facilitated in collaboration with each participant when possible, and this is documented, communicated, and effectively managed
12. Indicator number 23 (Transition to or from the provider) Section 2, risks associated with each transition to or from the provider are identified, documented, and communicated.

To support compliance against the above items, providers need to have a management system in place that is formed from policies, procedures and templates.

The list below is a general guide to the type of documents required for your management. The level of complexity of these documents may vary due to the size and scale of the organisation:

• Policy and Procedures Manual
• Specific Module Policy and Procedures (for modules 1-5)
• HR checklist
• Incident form
• Incident register
• Feedback form
• Complaint form
• Complaint register
• Hazard identification form
• Risk register
• Home safety checklist
• Conflict of interest form
• Act as advocate form
• Participant
• Intake form
• Intake checklist
• Risk Assessment form
• Consent form
• Progress notes form
• Referral form
• Exit/Transition form
• Handbook
• Service agreement template
• Support plan template
• Easy read document
• Worker
• Induction checklist
• Contract template
• Employment handbook
• Timesheet form
• Business plan
• Business continuity risk assessment
• Organisation chart
• Module-specific forms, registers and templates (for modules 1-5)

Who We Are

At core, LMS TRG is a compliance consulting and training organisation that builds and delivers powerful and practical products for people and businesses. Born and bred in Melbourne, Australia with an amazing team of expert auditors, consultants, and entrepreneurs.

Our area of expertise lies in providing training and guidance on compliance with the National Disability Insurance Scheme (NDIS) and the International Organisation for Standardisation (ISO). We also assist organisations in implementing effective management systems that are tailored to their specific needs and requirements. Our comprehensive approach to compliance training and management systems ensures our clients have the knowledge and tools necessary to meet regulatory requirements and industry standards. We are committed to helping our clients achieve success and maintain a culture of excellence in their operations.

We Care for each other, our members, and our society.

We Dare to discover and experiment, trying to be different and be fearless, and innovative.

We share our knowledge and experience, work together and continue to support our members.