Record keeping requirements
Registered NDIS providers are required to keep a list of risk assessed roles that a person engages in.
For each risk assessed role, the list must include:
When a new risk assessed role is identified, or an existing role is reclassified as a risk assessed role following a review, the written list of roles must be updated within 20 business days of the identification or review of the risk assessed role.
Registered NDIS providers must keep an up-to-date written list of each worker who engages in a risk assessed role (not including staff members or personnel that are provided to the registered NDIS provider under an appropriate contract). The list must also contain the following information, for each worker in a risk assessed role:
- full name, date of birth and address
- risk assessed role or roles in which the person engages
- if the worker may engage in a risk assessed role without an NDIS worker screening clearance:
- the basis on which they may do so (refer to sections below regarding the exceptions to the requirement for a worker to have an NDIS worker screening clearance)
- start and end date of the period of the exception that allows them to work in a risk engaged role
- name of the person who supervises the worker during this period (if supervision is required)
- if the worker may only engage in a risk assessed role with an NDIS worker screening clearance:
- their NDIS Worker Screening Check application reference number
- NDIS Worker Screening check number
- expiry date of the NDIS Worker Screening Check outcome
- whether their clearance is subject to any suspension or revocation, or any other decision which has the effect that the registered NDIS provider may not allow the worker to engage in a risk assessed role, and the nature of any such decision (for example, interim bar, suspension, exclusion)
- records relating to any interim bar, suspension, exclusion, or any action taken by the provider in relation to these kinds of decisions in relation to any worker
- allegations of misconduct against a worker with an NDIS worker screening clearance and action taken by the registered NDIS provider in response, including any investigation.
It is important these lists are kept up to date. A record about a worker must be kept for seven years from the date the record was made. Records should be kept in an organised, accessible and legible manner. Registered NDIS providers are required to keep the written list about workers in a way that would allow the NDIS Commission or a quality auditor to know which workers were engaged in a risk assessed role on any given day in the past seven years.
Registered NDIS providers must also keep certain records about the personnel that they engage through contractors, including a copy of any:
- appropriate contract
- record relating to the administration of the appropriate contract, including the enforcement of any obligation mentioned in section 5A(2) of the National Disability Insurance Scheme (Practice Standards—Worker Screening) Rules 2018 (Worker Screening Rules)
- record relating to the reasonable steps it has taken to satisfy itself that the individual has a clearance
- record about an allegation of any misconduct against an individual that it has engaged through a contractor with an NDIS worker screening clearance.
Now that the NDIS Worker Screening Checks have commenced, there are additional responsibilities and obligations for registered NDIS providers who engage another organisation or individual to perform work as part of their provision of supports and services in the NDIS. The organisation or individual will be a contractor engaged by the registered NDIS provider. The registered NDIS provider and the contractor need to work together to ensure that any workers of a contractor, including an individual contractor themselves, have an NDIS worker screening clearance.
The Worker Screening Rules place additional requirements on registered NDIS providers that engage contractors.
Any staff obtained through a contractor must only be allowed to engage in a risk assessed role if the registered NDIS provider has:
- identified to the contractor each risk assessed role that the individual will engage in
- entered into an appropriate contract with the contractor for that staff member. An appropriate contract must meet the specific requirements listed in section 5A of the Worker Screening Rules;
- taken reasonable steps to satisfy itself that the individual has an NDIS worker screening clearance.