What evidence does an auditor or the regulator ask for under Worker Screening Rules s 12(1) and (2)?

Written risk management plan naming each risk to participants and the control for it while clearances are pending; Supervision roster showing a cleared worker supervising each person awaiting clearance; Plan version history with approval by a responsible manager

Rules / NDIS Worker Screening Rules

Worker screeningNDIS Worker Screening Rulesndis-worker-screening-rules--s12-1-written-risk-management-plan-for-roles-held-by-people

Requirement

Written risk management plan for roles held by people without a clearance yet

NDIS Worker Screening Rules s 12(1) and (2), 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

Worker Screening Rules s 12(1) and (2)

Regulator

NDIS Quality and Safeguards Commission

Edition held

NDIS (Practice Standards - Worker Screening) Rules 2018, Compilation No. 4 (F2021C00788), in force 31 July 2021

Checked current

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

Who it applies to

Registered NDIS providers that have workers in risk assessed roles, and individual registered providers for their own clearance.

Every clause in the standards library

NDIS Worker Screening Rules on the standards library

s 12(1) and (2)Written risk management plan for roles held by people without a clearance yetsource

Requirement, our statement of the clause

The provider develops and keeps a written risk management plan to protect people with disability while any worker or personnel is engaged in a risk assessed role and is in the process of obtaining a clearance. The plan identifies and describes each risk to the people with disability the provider supports and explains how each risk will be managed (supervision, restricted duties, no unsupervised contact).

Evidence that typically shows this

Written risk management plan naming each risk to participants and the control for it while clearances are pending
Supervision roster showing a cleared worker supervising each person awaiting clearance
Plan version history with approval by a responsible manager

Common gap to check

Generic plan that names no specific risks or controls
Plan exists but pending workers are rostered alone with participants
No plan for personnel supplied by agencies

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(1) and (2)

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 Worker Screening Rules

s 11Assess every role and identify the risk assessed roles
s 12(3) and (4)Review the plan after a reportable incident or on the Commissioner's requirement, and implement it
s 18(1) to (3), s 18(4) and (5)Records of workers in risk assessed roles
s 14 and s 14AUse the exceptions only on their conditions, and never where no card, no start applies
s 13(a), s 13(b), s 13(c)Who may work in a risk assessed role
s 15Confirm a complete application before treating a person as in the process of obtaining a clearance
s 17Written list of risk assessed roles, updated within 20 business days
s 19Keep records about personnel supplied by personnel providers
Every page of this instrument

The same topic in other instruments (workers)

NDIS Practice Standards Core 15.1 to Core 15.10Core module: Human resources
NDIS Practice Standards Module 6 6.1 to Module 6 6.5Module 6: Human resource management
Qualification guide General ruleEvidence qualified staff for every class of support that needs a qualified professional
Qualification guide Occupational therapistOccupational therapist: required registration or membership
Children guidance P-3Deliver safe services with trained, supervised staff
National Law s 142Employers notify notifiable conduct of registered practitioners they engage

See every requirement for your practice See the specimen practice