Allied Health NDIS Audit Checklist: worksheet
NDIS Incident Management and Reportable Incidents Rules. Edition held: NDIS (Incident Management and Reportable Incidents) Rules 2018, F2018L00633 as made, in force 1 July 2018 (no amendments); checked current on 6 October 2026 (Federal Register: latest version on 6 October 2026).
Standards library: https://compliance.theartofservice.com/frameworks/australia-ndis-incident-management-and-reportable-incidents-rules-2018. Page: https://allied-health-ndis-audit-checklist.theartofservice.com/rules/ndis-incident-management-rules/incident-records-minimum-details-and-7-years/
| Ref | Requirement (our statement of the clause) | Evidence an auditor or the regulator asks for | Common gap to check | Held (yes, partly, no, not applicable) | Where it is kept | Owner | Last reviewed | Next review |
|---|---|---|---|---|---|---|---|---|
| s 12(2) | 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. Source: https://www.legislation.gov.au/F2018L00633/latest/text | 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 | Witness details and consultation with the participant missing; Reportable status field not completed | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| s 12(3) | 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. Source: https://www.legislation.gov.au/F2018L00633/latest/text | 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 | Allegations against staff kept only in HR files outside the incident system; Outcome of the allegation never recorded | ☐ yes ☐ partly ☐ no ☐ n/a | ||||
| s 12(4) | 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. Source: https://www.legislation.gov.au/F2018L00633/latest/text | 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 | Paper incident forms destroyed with participant files at exit; Retention rule not applied when changing software | ☐ yes ☐ partly ☐ no ☐ n/a |
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.