What evidence does an auditor or the regulator ask for under Worker Screening Rules s 12(3) and (4)?

Review record dated after each reportable incident involving a worker or personnel, with changes made; Evidence of implementation: supervision logs, shift allocations and spot checks against the plan; Correspondence with the Commissioner requiring a review, and the response

Rules / NDIS Worker Screening Rules

Worker screeningNDIS Worker Screening Rulesndis-worker-screening-rules--s12-3-review-the-plan-after-a-reportable-incident-or-on-the

Requirement

Review the plan after a reportable incident or on the Commissioner's requirement, and implement it

NDIS Worker Screening Rules s 12(3) and (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

Worker Screening Rules s 12(3) and (4)

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(3) and (4)Review the plan after a reportable incident or on the Commissioner's requirement, and implement itsource

Requirement, our statement of the clause

The provider reviews the risk management plan when the Commissioner requires it or when a reportable incident involves a worker or personnel, and implements the plan unless the Commissioner agrees otherwise. A person is not treated as being in the process of obtaining a clearance at any time the plan is not being implemented (s 15(2)(g)).

Evidence that typically shows this

Review record dated after each reportable incident involving a worker or personnel, with changes made
Evidence of implementation: supervision logs, shift allocations and spot checks against the plan
Correspondence with the Commissioner requiring a review, and the response

Common gap to check

Plan never revisited after a reportable incident
Controls in the plan not reflected in rosters
No record that the plan was in force on the days a pending worker was engaged

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(3) and (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 Worker Screening Rules

s 12(1) and (2)Written risk management plan for roles held by people without a clearance yet
s 14 and s 14AUse the exceptions only on their conditions, and never where no card, no start applies
s 11Assess every role and identify the risk assessed roles
s 15Confirm a complete application before treating a person as in the process of obtaining a clearance
s 18(1) to (3), s 18(4) and (5)Records of workers in risk assessed roles
s 17Written list of risk assessed roles, updated within 20 business days
s 13(a), s 13(b), s 13(c)Who may work in a risk assessed role
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