Internal Control Basis
This hub surface is intended to become an OCC-controlled workforce workflow pack. It is not an NDIS-issued template. Use it as an internal review and process control surface until the approved OCC HR and onboarding source pack is fully reconciled.
At minimum, the final controlled pack must cover role requirements, pre-employment checks, worker screening, induction, training, privacy, incident and complaint escalation, and staff-file recordkeeping.
MH1 - Pre-Hire & Recruitment Checklist
Manager's Hub | Pre-Hire Phase | HR-HIR-ONB-001
Complete this checklist before the new staff member's first shift. All mandatory pre-hire items
Induction Journey Overview
1
Pre-Hire
Manager
Recruit, verify ID, checks & qualifications
2
Day 1 Admin
Manager + Worker
Contracts, payroll, system access
3
Orientation
Manager + Worker
Cover all NDIS & OCC obligations together
4
Training
Worker (self-directed)
Complete SW or CT training pathway in this package
5
Supervised Practice
Week 2-4
Buddy shifts, competency sign-off
Recruitment PRE-HIRE
| Advertise position using the Position Description template (Position_Description_DSW_Template) | ||
| Score applications against the Shortlisting Matrix (Shortlisting_Matrix.xlsx) | ||
| Conduct structured interview - score each competency domain (Job_Candidate_Interview_Form) | ||
| Conduct second interview if panel recommends it | N/A if not required | |
| Complete two reference checks - minimum required (Reference_Check_Form) | ||
| Confirm RAR determination - is this a Risk Assessed Role? Record category a/b/c in RAR_Role_Register | ||
| Issue Letter of Offer or Letter of Engagement (Casual) | ||
| Candidate accepts offer in writing |
Identity & Right to Work PRE-HIRE
| 100 Points of ID - Document 1 (Primary, 70 pts) - copy filed in 01_Identity_Screening | ||
| 100 Points of ID - Document 2 (Secondary, 30 pts) - copy filed in 01_Identity_Screening | ||
| Right to Work confirmed - Australian citizen, PR, or visa check via VEVO | ||
| NDIS Worker Screening Check - current; record number and expiry date in Staff Register | ||
| Working With Children Check (WWCC) - required only when the worker will support participants under 18 years of age; record number and expiry date in Staff Register if applicable | Only if supporting minors | |
| Police Check - OCC policy requirement as additional pre-employment check; note the NDIS Worker Screening Check is the legally mandated check under the NDIS (Worker Screening) Act 2020 | OCC policy - not a standalone legal requirement |
Qualifications & Certificates PRE-HIRE
| Relevant qualification certificates verified and copies obtained (Cert III/IV, Diploma, degree) | ||
| First Aid Certificate HLTAID011 - copy obtained - record expiry date in Staff Register | ||
| CPR Certificate HLTAID009 - copy obtained - record expiry date in Staff Register | ||
| Manual Handling Certificate - copy obtained - record expiry date in Staff Register | ||
| AHPRA or other professional registration confirmed - copy and expiry | If applicable | |
| Professional Indemnity Insurance - copy on file | If applicable | |
| Driver Licence - copy on file - record expiry date in Staff Register | If driving role | |
| Vehicle Registration + Comprehensive Vehicle Insurance - copy on file | If driving role |
Offer & RAR Registration PRE-HIRE
| Letter of Offer or Letter of Engagement signed and filed | ||
| RAR category recorded in RAR_Employee_Register.docx within 20 days of commencement (mandatory under NDIS Rules) | ||
| Staff file folder created: 03_Staff > Lastname_Firstname_OCCSXXX - all 7 subfolders copied from template |
MH2 - Day 1 Admin Checklist
Manager's Hub - Day 1 - HR-HIR-ONB-001
Complete on the new staff member's first day of employment. These items set up the person legally, administratively and in your systems before any support delivery begins.
Record: Set up the new staff member in ConnectTeams
today. Record their employment type, start date, and all credential expiry dates in the Staff
Register (09_Registers/Staff_Register/Key_Personnel_Details.xlsx).
Introduction & Access DAY 1
| Introduction to Director and team - tour of office or base location | ||
| OCC overview provided - vision, mission, values, NDIS registration groups | ||
| IT access set up and systems demonstrated (email, shared drives, document library) | ||
| After-hours contact procedure explained and contacts provided | ||
| Staff added to ConnectTeams - employment details confirmed; expiry dates recorded in Staff Register |
Payroll & Tax Documents DAY 1
| New Employee Details Form (HR-NED-001) completed - handle securely, do not email (contains bank details) | ||
| TFN Declaration (ATO NAT 3092) completed - online via ATO or paper form | ||
| Super Standard Choice Form (ATO NAT 13080) provided - must return within 28 days | ||
| Stapled Super Fund check via ATO Online Services - if Super Choice Form not returned within 28 days | Required since 1 Nov 2021 | |
| Payroll set up confirmed in ePayday - pay rate, award level, employment type | ||
| Workers Compensation acknowledgment signed | ||
| Emergency Contact Details recorded |
Employment Documents - All Signed & Filed DAY 1
| Letter of Offer / Employment Contract - signed copy filed in 03_Employment_Conduct | ||
| Position Description - signed copy filed in 03_Employment_Conduct | ||
| Code of Conduct Agreement (HR-CCA-001) - signed and filed | ||
| Conflict of Interest Declaration (HR-COI-001) - signed and filed | ||
| Privacy and Confidentiality Agreement (HR-PCA-001) - signed and filed | ||
| WHS Acknowledgment and Responsibilities - signed and filed |
NDIS Compliance - Day 1 Requirements DAY 1
| NDIS Worker Orientation Module 'Quality, Safety and You' - certificate obtained and filed in 02_Qualifications (complete at training.ndiscommission.gov.au - free, ~90 mins) | ||
| Staff Orientation Checklist (MH3) scheduled - complete with worker today or Day 2 | ||
| Staff Training Record & Competency Matrix (HR-TRC-001) created in 04_Training_Competency folder | ||
| Training Plan and Needs Analysis (HR-TPN-001) completed |
MH3 - Orientation Sign-Off
Manager's Hub | Joint (Manager + Worker) | HR-SOC-001 V2.0
Complete this checklist together - manager and new staff member. Tick each item once it has been genuinely covered and the worker has demonstrated understanding. This is not a reading exercise; it is a conversation. File the generated completion record in the staff member's 03_Employment_Conduct folder.
1 - Participant Rights & Responsibilities JOINT
| How to assist participants in exercising their rights under the NDIS Act 2013 | ||
| Participant's right to have an advocate of their choice present at any time | ||
| Participant choice and control - they direct their own service delivery and life decisions | ||
| Maintaining and strengthening the participant's cultural, spiritual and other identities | ||
| Participant's right to be actively involved in their community | ||
| Supporting participants to pursue their interests and preferences (short and long term) | ||
| Understanding preferred communication methods - verbal, AAC, Easy Read, interpreter |
2 - About Open Care Connect JOINT
| OCC operating hours, locations, and after-hours contact procedure | ||
| OCC services and available resources - 8 registration groups explained | ||
| How OCC maintains and strengthens participants' cultural and spiritual identities | ||
| Staff are encouraged to contribute input to policies and procedures | ||
| Obligation to notify OCC of any actual or perceived conflict of interest | ||
| Obligation to report any known or suspected risks to participant safety |
3 - Charter of Rights JOINT
| OCC Charter of Rights provided and explained | ||
| Staff understands rights apply to all participants regardless of disability type or support need |
4 - Restrictive Practices JOINT
| Circumstances under which a participant's rights may be lawfully restricted | ||
| Who can authorise a restriction and what documentation is required | ||
| Restrictive practices - definition, types, and OCC's obligations under NDIS rules | ||
| Zero Tolerance approach - restrictive practices are a last resort, never a behavioural management tool |
5 - Privacy & Dignity JOINT
| Confidentiality obligations under the Privacy Act 1988 (Cth) and OCC policy | ||
| What information staff can and cannot share, and with whom | ||
| Obligation to treat all participant information with discretion at all times | ||
| Participant's right to dignity and respect in all support interactions | ||
| Photo and social media policy - no images of participants without explicit written consent |
6 - Independence & Informed Choice JOINT
| Dignity of risk - the participant's right to make decisions that carry some risk | ||
| How to support decision-making without overriding participant choice | ||
| Participant and advocate permission required before sharing information within or outside OCC | ||
| Allowing participants adequate time to make decisions - no rushing or pressure |
7 - Violence, Abuse, Neglect, Exploitation & Discrimination (VANED) JOINT
| OCC Zero Tolerance Policy - definitions of abuse, neglect, exploitation and discrimination | ||
| Prevention strategies - recognising warning signs and risk factors | ||
| Participant's right to use an advocate in all dealings with OCC | ||
| How to report and record allegations - internal process and mandatory NDIS reporting | ||
| Staff obligations under the NDIS Code of Conduct regarding VANED | ||
| Consequences of failure to report - NDIS Worker Screening implications |
8 - Incident Management JOINT
| Definition of a general incident - what it is and how it is managed internally | ||
| Definition of a reportable incident under NDIS (Incident Management and Reportable Incidents) Rules 2018 | ||
| Reportable incident notification timeframes - 24 hours for immediate risk; 5 days for all others | ||
| Internal incident reporting process - what to complete, where to file | ||
| NDIS Commission reportable incident process - how OCC notifies the Commission | ||
| Staff role in supporting participants after an incident |
9 - Complaints & Feedback JOINT
| NDIS requirements regarding complaints and feedback - participant rights | ||
| How to inform participants of the OCC complaint and feedback process | ||
| Staff obligation to support participants through the complaint process without pressure or bias | ||
| How anonymous complaints are made and how OCC handles them | ||
| Who holds the Complaint Manager role at OCC | ||
| NDIS Quality and Safeguards Commission contact: 1800 035 544 | ndiscommission.gov.au |
10 - Human Resources JOINT
| HR point of contact at OCC | ||
| Absence reporting - how and when to notify OCC of an unplanned absence | ||
| Position description reviewed and understood | ||
| Risk Assessed Roles - definition, whether this role is a RAR, and which category (a, b, or c) | ||
| Leave entitlements and how to apply | ||
| Pay, SCHADS Award conditions, and payroll schedule | ||
| Tax requirements - TFN declaration and superannuation obligations | ||
| NDIS Worker Screening Check - staff responsibility to maintain and renew (mandatory for all Risk Assessed Roles); WWCC only required if supporting participants under 18 | ||
| NDIS Worker Orientation Module - mandatory prior to or on commencement; certificate filed |
11 - Service Planning & Access JOINT
| OCC assessment and support planning process | ||
| System for conducting and recording regular reviews and updates of support plans | ||
| Supporting participants to develop independence, problem-solving, and self-care | ||
| Reasonable adjustments for participants - how to identify and implement | ||
| Accessing interpreters - process and available resources | ||
| Participant consent in all planning and service delivery decisions | ||
| Strength-based, collaborative, holistic approach - family and carer capacity building | ||
| Risk management and emergency and disaster planning obligations | ||
| Mealtime management obligations | If applicable to role |
12 - Eligibility, Access & Cessation JOINT
| Appropriate use of NDIS funding and resources in service delivery | ||
| Circumstances under which OCC may refuse or cease services - and how it is communicated | ||
| Costs - what is and is not covered by NDIS funding | ||
| Participant eligibility criteria for OCC services |
13 - Referral & Handover Process JOINT
| Internal and external referral timeframes | ||
| What information is provided when OCC is unable to deliver a requested service | ||
| Identification of vulnerable people during referral - heightened obligation of care | ||
| Support Coordination handover process - documents required and responsibilities |
Declaration
By generating the completion record below, both manager and staff member confirm that this orientation was conducted genuinely. All items marked as complete were covered to a satisfactory standard and the staff member demonstrated understanding of their obligations as an OCC worker.