NDIS restrictive practice reports, and two records of your own

A registered NDIS provider that uses regulated restrictive practices must give the Commissioner monthly reports on that use, in the approved form and with any information and documents the Commissioner requires; a use that is also a reportable incident must be notified under the Incident Rules as well.

Held text: NDIS (Restrictive Practices and Behaviour Support) Rules, Comp. No. 1 (F2020C01087).

what an auditor asks to see Monthly restrictive practice reports lodged through the Commission portal with dates; Internal use data reconciled to what was reported; Roster of who prepares and approves monthly reports

where it usually falls short Months missed when no use occurred and nil reporting expected; Reported numbers differ from use records

Every Restrictive Practices Rules clause we hold

The provider must lodge evidence that the use is authorised with the Commissioner as soon as reasonably practicable after using the practice in relation to the person.

Held text: NDIS (Restrictive Practices and Behaviour Support) Rules, Comp. No. 1 (F2020C01087).

what an auditor asks to see Commission portal lodgement records of authorisation evidence; Tracker of authorisations obtained against lodgement dates; Correspondence with the Commission on lodgements

where it usually falls short Authorisation held on file but never lodged; Renewed authorisation not lodged

Every Restrictive Practices Rules clause we hold

Where a provider uses a regulated restrictive practice that needed State or Territory authorisation but was not authorised, and the use will or is likely to continue, it must obtain authorisation for ongoing use as soon as reasonably practicable and lodge evidence of it with the Commissioner as soon as reasonably practicable after receiving it.

Held text: NDIS (Restrictive Practices and Behaviour Support) Rules, Comp. No. 1 (F2020C01087).

what an auditor asks to see Application for authorisation with submission date; Authorisation decision and lodgement record with the Commission; Reportable incident notification for the unauthorised use

where it usually falls short Unauthorised use continued without applying for authorisation; Reportable incident not notified

Every Restrictive Practices Rules clause we hold

A behaviour support plan containing a regulated restrictive practice, including a reviewed plan, must be lodged with the Commissioner as soon as practicable after it is developed, in the manner required, whether or not State or Territory authorisation is required or has been obtained.

Held text: NDIS (Restrictive Practices and Behaviour Support) Rules, Comp. No. 1 (F2020C01087).

what an auditor asks to see Commission portal lodgement records for each interim, comprehensive and reviewed plan; Tracker reconciling plans developed against plans lodged; Lodgement confirmation receipts

where it usually falls short Reviewed plans not re-lodged; Lodgement delayed until authorisation obtained

Every Restrictive Practices Rules clause we hold

The provider keeps a written list of every risk assessed role filled with it, whether by a worker, personnel or an individual provider, stating for each the title or identifier, which limb of the definition applies, a description, the date it was assessed as a risk assessed role and the name and title of the assessor. The list is updated within 20 business days when a new risk assessed role is identified or an existing role is reclassified.

Held text: NDIS (Practice Standards: Worker Screening) Rules, Comp. No. 4 (F2021C00788), the latest compilation at 1 Oct 2026.

what an auditor asks to see Risk assessed role register with the five required fields for each role; Change log showing each new or reclassified role added within 20 business days

where it usually falls short Register lists people rather than roles; Assessor name and date missing; New service lines launched without updating the register

Every Worker Screening Rules clause we hold

A person must not provide a support under a participant's plan where the NDIS rules require registration for it and the person is not registered (s 73B(2)), nor hold themselves out as able to provide such a support (s 73B(3)). Rules s 7 requires registration for: specialist disability accommodation (s 7(1)); any class of supports where there is, or is likely to be, an interim or ongoing need to use a regulated restrictive practice (s 7(2)); specialist behaviour support that includes a behaviour support assessment or developing a behaviour support plan (s 7(3)); assistance with supported independent living (s 7(4) and (5)); and NDIS digital platform services (s 7(6)). Separately, supports to a participant whose funding is managed by the Agency may be provided only by a registered provider (Act ss 32D(7) and 33(6)). Contravention is a fault-based offence (up to 2 years' imprisonment or 120 penalty units), a strict liability offence and a civil penalty (up to 10,000 penalty units for a serious contravention by an NDIS provider).

Held text: NDIS Provider Registration Rules, Comp. No. 6, compilation in force from 1 Jul 2026; NDIS Act Part 3A, Comp. No. 27.

what an auditor asks to see Certificate of registration listing every class of support delivered, checked against the service catalogue; Register of participants whose supports involve regulated restrictive practices, with the provider's registration class for each; Review of website, brochures and platform listings confirming no claim to deliver registration-only supports without registration; Plan management type checked for each participant (Agency-managed participants served only while registered)

where it usually falls short Unregistered provider delivering supports where restrictive practices are in use; Marketing that implies SIL or SDA capability without registration; Serving Agency-managed participants after registration lapsed

Every Registration Rules clause we hold