What evidence does an auditor or the regulator ask for under Incident Rules s 12(2), s 12(3), s 12(4)?

Incident report form or system screen with every s 12(2) field; Sample of completed incident records checked for all mandatory fields; Record of findings shared with the affected participant; Allegation record template distinct from or flagged within the incident register; Sample allegation files with assessment, actions and investigation outcome; Link from each allegation record to its Commission notification number; Records retention schedule showing a 7-year minimum for incident records; Archive or system retention setting for incident data; Evidence that records from at least several years

Rules / NDIS Incident Management and Reportable Incidents Rules

IncidentsNDIS Incident Management and Reportable Incidents Rulesndis-incident-management-rules--incident-records-minimum-details-and-7-years

Requirement

Incident records: the minimum details, kept 7 years

NDIS Incident Management and Reportable Incidents Rules s 12(2), s 12(3), s 12(4), stated plainly and cited to the edition held, with the evidence an auditor or the regulator asks for, the common gaps, and a free worksheet to fill in.

Clause

Incident Rules s 12(2), s 12(3), s 12(4)

Regulator

NDIS Quality and Safeguards Commission

Edition held

NDIS (Incident Management and Reportable Incidents) Rules 2018, F2018L00633 as made, in force 1 July 2018 (no amendments)

Checked current

6 October 2026, Federal Register: latest version on 6 October 2026

Who it applies to

Registered NDIS providers, every profession. Unregistered providers are not bound by these Rules.

Every clause in the standards library

NDIS Incident Management and Reportable Incidents Rules on the standards library

Why these rows sit on one page

s 12(2), s 12(3) and s 12(4) together say what an incident record holds and how long it is kept: the register a buyer builds is one sheet.

s 12(2)Minimum details recorded for each incidentsource

Requirement, our statement of the clause

For every incident the system must record at least: a description including the impact on or harm to any affected person with disability; whether it is a reportable incident; the time, date and place if known, or otherwise when it was first identified; names and contact details of those involved and of any witnesses; the section 10(3) assessment; the actions taken, including support to affected persons; consultation with affected persons; whether they received any reports or findings; details and outcomes of any investigation; and the name and contact details of the person making the record.

Evidence that typically shows this

Incident report form or system screen with every s 12(2) field
Sample of completed incident records checked for all mandatory fields
Record of findings shared with the affected participant

Common gap to check

Witness details and consultation with the participant missing
Reportable status field not completed

s 12(3)Minimum details recorded for each alleged reportable incidentsource

Requirement, our statement of the clause

For each reportable incident alleged to have occurred, the system must record at least: a description of the allegation; the time, date and place if known; names and contact details of those involved and any witnesses; the section 10(3) assessment; actions taken including support to affected persons; consultation with them; whether they received reports or findings; investigation details and outcomes; and who made the record.

Evidence that typically shows this

Allegation record template distinct from or flagged within the incident register
Sample allegation files with assessment, actions and investigation outcome
Link from each allegation record to its Commission notification number

Common gap to check

Allegations against staff kept only in HR files outside the incident system
Outcome of the allegation never recorded

s 12(4)Keep incident records for 7 yearssource

Requirement, our statement of the clause

Each incident and alleged reportable incident record made under section 12 must be kept for 7 years from the day it is made, subject to any longer period another Commonwealth, State or Territory law requires.

Evidence that typically shows this

Records retention schedule showing a 7-year minimum for incident records
Archive or system retention setting for incident data
Evidence that records from at least several years ago can be retrieved

Common gap to check

Paper incident forms destroyed with participant files at exit
Retention rule not applied when changing software

Worksheet: what your practice holds, and where

Ref	Held (yes, partly, no, not applicable)	Where it is kept	Owner	Last reviewed	Next review
s 12(2)
s 12(3)
s 12(4)

Download the worksheet (CSV)Print the worksheet (A4)

Completing this worksheet records what your practice holds and where. It does not make a practice compliant or ready for audit, and it is not legal advice.

Related requirements

NDIS Incident Management and Reportable Incidents Rules

s 20(1), (2), s 20(3), s 20(4)Reportable incidents notified within 24 hours, then within 5 business days
s 8Implement and maintain an incident management system that meets the Rules
s 9Incidents the system must cover
s 10(1)Procedures for identifying, managing and resolving incidents
s 10(3), (4)Assess every incident with the affected person's views
s 10(5)Route reportable incidents into Part 3
s 10(6)Periodic review of the incident management system
s 11Procedural fairness in dealing with incidents
Every page of this instrument

The same topic in other instruments (incidents)

NDIS Practice Standards Core 14.1 to Core 14.4Core module: Incident management
NDIS Practice Standards Module 6 5.1Module 6: Incident management
NDIS Practice Standards Module 2 8.1, Module 2 8.2Module 2: Reportable restrictive practice incidents
NDIS Practice Standards Module 2A 9.1 to Module 2A 9.7Module 2A: Reportable restrictive practice incidents
NDIS Act ss 73Y and 73ZIncident management system and reportable incident notification
NDIS Code of Conduct s 6(1)(e)Promptly raise and act on concerns about quality and safety

See every requirement for your practice See the specimen practice