NDIS Compliance, a Guide for New Providers
Updated: Aug 27
Starting a new business to deliver services funded by the National Disability Insurance Scheme (NDIS) can be both exciting and overwhelming. As a new provider, you want to ensure that you meet all compliance requirements while delivering high-quality services. This blog post will guide you through the essential aspects of NDIS compliance support, helping you navigate the complexities of the system.
Understanding NDIS Compliance
NDIS compliance refers to the adherence to the rules and regulations set by the NDIS Act and associated legislation. They are enforced by the NDIS Quality and Safeguards Commission and are designed to protect participants to ensure they receive safe and effective services.
Key Compliance Areas for New Providers
As a new NDIS provider, there are several key areas you need to focus on to ensure compliance with the NDIS. Here are the most important ones:
1. Registration Requirements
You MUST register to deliver the below services:
To undertake Functional Behaviour Assessments to deliver Behaviour Support Plans
To implement a Behaviour Support Plan
To deliver Specialist Disability Accommodation (SDA)
To deliver Supported Independent Living (SIL) from 01 October 2026
To deliver Plan Management
To deliver Early Childhood Intervention Supports
Before claiming for services that are NDIA Managed (also known as Agency Managed) in a Participant's NDIS plan
Before you can provide the above services, you must register with the NDIS. This process involves:
Having an ABN
Being cleared to deliver services through your state/territory's screening unit (have an NDIS Worker Screening Clearance in place for yourself and other key personnel)
Successfully setting up your digital ID through myID
If you own the business, connecting the ABN with myID
Completing an application form Application Home Realm Discovery | DSS Identity Manager.
Providing evidence of your qualifications and experience.
Completing a self-assessment of your ability to deliver services/supports against the relevant NDIS Practice Standards
Undergoing a quality assessment (audit).
Make sure to gather all necessary documents before starting your application. If you do not complete the application within 60 days, it will be deleted and you will need to start all over. You can read more about the process here: Apply for registration | NDIS Quality and Safeguards Commission
2. Quality and Safeguarding Framework
The NDIS Quality and Safeguarding Framework outlines the standards you must meet to ensure the safety and well-being of participants. Key components include:
Participant Rights: Respecting the rights of participants is essential. Consider their human rights, rights to self-expression, choice, privacy and dignity.
Safety Measures: Implementing safety measures to protect participants and workers from harm. These include risk management, emergency and disaster management, continuity of supports, etc.
Feedback Mechanisms: Establishing ways for participants to provide feedback about your services, including ways to provide this feedback anonymously.
3. Worker Training and Development
Your workers play a crucial role in delivering quality services. Therefore, investing in their training and development is essential. Consider the following:
Induction Programs: Provide new staff with comprehensive induction programs. This should cover the organisation's policies and procedures, the NDIS Code of Conduct, Emergency Management training, Incident Handling training, Feedback and Complaint Handling training. Additionally, it should include documented inductions into each individual's support needs and preferences, their goals and aspirations, and their circumstances.
Ongoing Training: Provide regular training sessions and opportunities to keep staff updated on best and better practices.
Supervision and Support: Ensure staff have access to supervision and support and engage with a provider of Employee Assistance Programs so that they have an independent third party to discuss their concerns with.
Practical Steps for Achieving Compliance / Passing the NDIS Audit
Achieving compliance can seem daunting but breaking it down into manageable steps can make the process easier. Here are some practical steps to follow:
Start with a Business Plan
You know what services you want to (or already do) deliver. Your Business Plan should articulate how you will start delivering them, or how you intend to grow or maintain your business. It should also show how you came to the decision that it's a desirable service, that you (or your workers) have the necessary qualifications and/or experience, and training to deliver the service safely and effectively. Additionally, it should articulate that you have considered your current position vs where you want to be in 'the market', and that you have considered your strengths and weaknesses, and external opportunities and threats to your business. There are many templates available online, and AI can assist you in developing your business plan.
Develop Policies and Procedures that reflect YOUR business
Creating clear policies and procedures that are aligned to the NDIS Practice Standards is essential for compliance. These documents should outline how your organisation will operate and ensure participant safety. Many providers purchase their first set of policies and procedures, but these are not developed with your organisation's specific role names, processes, system names etc. An auditor can (and will) spot a generic set of policies and procedures a mile away! So, if you do purchase them, take time to read them, understand them, and critically analyse whether they truly articulate your organisation's operational methods, systems, and culture. If not, they need to be amended before you submit them as evidence within your application.
Create Forms, Templates, and Systems that Work for You
Based on the policies that reflect your business and your support model and the procedures to follow, you should have forms and templates in place as tools to implement the policies and procedures. An example; if a procedure states that a form is used to gather details of emergency contact numbers of people who you support, then that form should be in place, and ready for the auditor to view.
Similarly, if a procedure states that all participant contact information is held within the CRM, and there is no CRM in place, the auditor is likely to pick up on this and issue a non-conformance under the NDIS Practice Standard: Core Module / Information Management.
Prepare Registers
Many people are perplexed by the term 'Register'. The NDIS requires registered providers to hold and maintain records of important events and activities, and to show how they were managed. They are actually simple records to create if we look at them as spreadsheets that tell a story.
For example, your Continuous Improvement Register should show ideas or actions required to improve your processes, systems, culture etc. The linear view of the register holds the idea, who is going to oversee it or implement it, when it is due, what the outcome was, and what its evaluation delivered.
The same can be said of the Feedback, Compliments and Complaints Register. It will hold a linear view of each piece of feedback, who provided the feedback, what the reposnse was, whether it is open or closed, the date it closed, how long it took to close, and whether the person who made a complaint feels that it was satisfactorily resolved.
When used effectively by leadership, you can demonstrate good governance though review of your registers. They 'paint a picture' of how many complaints you've received over a period of time, they show how many incidents have been reported and resolved, whether a worker is involved in more incidents than others, if one person is making repeated complaints about the same or very similar issue.
Ensure that Your Worker Records are Complete
Every worker is subject to mandatory conditions of employment by registered NDIS providers. These conditions depend on their role and their engagement with people with disability and it is impoerant to know what they are! Most providers set their policies to exceed the requirements of the NDIS Practice Standards by requiring EVERY worker, not matter their level of engagement with people with disability, is required to have an NDIS Worker Screeening Clearance certificate. Others require their workers to have Woring with Children Check clearances.
Whatever you decide your policy is, you need to be able to demonstrate it and this applies to training and credentialling too. If the policy states that all workers MUST have a valid driving licence, every worker's record must show a valid licence in place if the auditor asks for it.
And, we cannot place enough emphasis on this, every worker MUST have written, signed, and dated records of how they were inducted into the organisation's policies, procedures, systems, and culture.
Have completed Service Agreements and other Participant Records Ready
As a minimum, every participant must have the following documents completed with them (or their authorised representative) and it should be acknowledged in writing that they were involved in the development of the document (or at least agree to the document).
Service Agreement (with a Schedule of Supports that aligns with the funding periods within the participant's NDIS plan)
Consent Form to Obtain, Store, and Release Information
Risk Assessment (Participant's needs and preferences)
Risk Assessment (Environment in which services will be delivered)
Emergency and Disaster Management Plan, specific to the participant's needs and preferences
Support Plan
The Role of Compliance Support Services
As a new provider, you may benefit from engaging compliance support services. These services can help you navigate the complexities of NDIS compliance. Here are some ways they can assist you:
1. Expert Guidance
Compliance support services offer expert guidance on navigating the NDIS landscape. They can help you understand:
Registration processes.
Quality and safeguarding requirements.
Best practices for service delivery.
2. Tailored Solutions
Every organisation is unique, and compliance support services can provide tailored solutions to meet your specific needs. They can help you:
Develop customised policies and procedures.
Create training programs for your staff.
Implement effective feedback mechanisms.
3. Ongoing Support
Compliance is not a one-time task; it requires ongoing effort. Compliance support services can provide ongoing support to help you stay compliant. This may include:
Regular check-ins to assess your compliance status.
Updates on changes to NDIS regulations.
Assistance with internal audits and assessments.
Are You Ready to be NDIS Compliant?
Navigating the NDIS compliance landscape can be challenging for new providers. However, with commitment to meet the requirements, the right support and resources, you can successfully meet the NDIS Practice Standards and deliver high-quality services.
By focusing on key compliance areas, developing clear policies, preparing for your audit and possibly engaging with compliance support services, you can build a strong foundation for your business. Remember, compliance is not just about meeting regulations; it is about ensuring the safety and well-being of the participants you serve.
Blog by Bonny Shaw-Newland, Founder and Lead Consultant at Provider Support. Bonny has successfully supported many providers to achieve registration with the NDIS Commission and is passionate about embedding a culture of compliance wherever she goes. She meets with people from all levels of every she client she works with and engages with them to understand their commitment to compliance with the NDIS. In her 'spare' time, Bonny enjoys catching up with her friends, family, and furry family members too; her cat, two dogs, and a ferret named Che'.
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