Compliance Registers

OCC Hub | Governance and compliance register workspaces

Record boundary: Hub stores tracking metadata only. Evidence is filed in SharePoint. Do not paste full narratives, complaint correspondence, medical details, witness statements, or attachments here.

At-a-glance status

Use the left rail to switch registers and spot open or overdue work before you drill into a record.

Safety & Risk

People & Screening

Governance & Documents

DOC Document Register Controlled document lifecycle, version, review, and register-backed status. Opens its own workspace.

Assets

Table view

Incident register

Review tracking metadata, scan the list, then open a row to view history or make edits.

0 open 0 total

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Storage Save the current working register in Supabase so notes and sign-off persist between sessions. File the signed, printed copy in SharePoint under 01_Governance / RAR Role Register / [date]. Track individual employee screening records in the RAR Worker Screening Register.

RAR Categories Reference

The NDIS Worker Screening Act 2020 defines three categories of risk-assessed role. This table is a working reference only. Refer to the Act and NDIS Commission guidance for the authoritative definition.

Cat.	Definition	Typical examples
(a)	Key personnel as defined in section 11A of the National Disability Insurance Scheme Act 2013. Includes persons who make decisions or have authority or control over the NDIS provider's operations or its NDIS supports and services.	Director, CEO, Operations Manager, any executive with authority over NDIS service delivery
(b)	Persons in a role that involves, or is likely to involve, direct delivery of supports or services to a person with disability under an NDIS plan, or who may have more than incidental contact with a person with disability in the course of carrying out the role.	Support worker (in-home or community), support coordinator, behaviour support practitioner, allied health clinician
(c)	Volunteers in a role that is likely to involve direct delivery of supports or services to a person with disability, or who may have more than incidental contact with a person with disability.	Volunteer support workers, volunteer drivers, community volunteers accompanying participants

Role Classification

#	Role title	RAR?	Cat.	Screening?	Notes	Action

Review this register when roles are added, removed, or substantially changed, or when NDIS Commission guidance on RAR classification is updated. The 20-day rule applies: a worker in a RAR role must have a current clearance or approved exemption before starting work with participants, except where the interim provisions of the Act apply.

Sign-off

Authorised by (print name)

Role / position

Date

Next review date

SharePoint reference

Notes (optional)

Go to RAR Worker Screening Register

Policy review

New policy review

Complete one review per policy. Save to Hub, then print and file to SharePoint.

Status

Generated on save

Internal Audit | NDIS Policy Review Form

Open Care Community Services Pty Ltd t/a Open Care Connect | ABN: 22 668 873 694 | NDIS: 4-JU2I9UJ

Internal Audit NDIS Policy Review V1.1

Instructions

Establish review documents
- Staff delegated to review our policies and procedures are required to:
- audit and review policies and procedures to meet National Disability Insurance Standards, Rules and Guidelines
- refer to current legislation including NDIS Acts and Rules
- refer to the Internal Audit Schedule for policy list.
Undertake policy and document review
- Review policies and procedures.
- Review all related documents, forms, templates, etc. in conjunction with the review of the policy.
- Determine if documents, forms, templates, etc. are adequate in capturing the information required by the policy and procedure and meeting the NDIS Standards.
Document
- Complete this template so management can review the organisation's systematic framework to guide self-assessment and provide opportunities for continuous improvement.
- Language used in the self-assessment report should be: simple, accurate, clear and concise, honest and transparent (this is about finding issues and fixing them).
- Refer to legislation and relevant sources such as NDIS Commission.
- Support what is documented in policies with evidence.
Systematic feedback
- Provide information to management for input and review.
- Management to review and sanction.
- Management to arrange for inclusion in the Continuous Improvement Register.
Monitoring improvement
- Continuous Improvement Register to be reviewed at Monthly Management Meeting.

Reviewed Policy and Procedure

Title	IT File Link	Version No. / Date	Internal Review Due Date

Relevant and Reference Documents Reviewed

Title	IT File Link or Location in the System	Version No. / Date

Review Details

Date review completed
Completed by (Name and Position)

Policy and Procedure Review

Criteria	Comments \| Compliant / Adjustments / Recommendations
Purpose Does it still apply?
Scope Is applicable staff clear?
Definitions Are they still relevant?
Policy Relevant changes due to industry or legislative requirements
Procedure Meets current practice and process and legislation? Identify differences for gaps.
Related documents Review to ascertain if in use or irrelevant or are some missing
References Review all references against the most current legislation listed. Adjust and review legislative changes to determine if updates are required.
Sources used to determine compliance (e.g. NDIS Commission)

Continuous Improvement Requirements

Determine if change needs to be included to the Continuous Improvement Register or a Plan of Action required or Corrective Action Plan. Provide information to management via meeting.

Continuous improvement notes

Positive Comments

If the document is working well and is relevant, supply appropriate feedback, as required.

Actions Required

Action	By Whom	By When

Filing and Owner

Owner / Responsible person
SharePoint reference
SharePoint exception reason (if not yet filed)
Review notes (admin)