Compliance Health Check

Compliance Questions

Q1: Do you hold documented monthly management meetings (agenda + minutes + action log)?
Yes No Partial

Q2: Are management performance reviews (documented KPIs, review notes, actions) completed at least annually?
Yes No Partial

Q3: Do you have an updated QMS Policy, a current Annual Business Plan, and a Three-Year Strategic Plan available and version-controlled?
Yes No Partial

Q4: Do you have a current Risk Register and does it evidence training of staff on emergency/disaster management?
Yes No Partial

Q5: Are Service Agreements completed for all participants and do they include emergency support arrangements and a schedule of supports?
Yes No Partial

Q6: Does your Incident Management Policy clearly identify roles for reporting to the NDIS Commission and Continuous Improvement Plan (CIP) if non-reportable?
Yes No Partial

Q7: Do you maintain a Complaints & Feedback register and an Incident register with evidence of investigation and corrective action?
Yes No Partial

Q8: For participants with immediate behaviour risks, do you have Interim Behaviour Support Plans?
Yes No Partial

Q9: Do you have detailed procedures and forms for managing participant money & property?
Yes No Partial

Q10: Are complete staff files retained (ID, PD, interview notes, reference checks, police check, code of conduct/confidentiality)?
Yes No Partial

Q11: Do you maintain a central Training Register with mandatory training records (First Aid, CPR, Infection Control, NDIS Orientation) and additional training according to participant condition and needs?
Yes No Partial

Q12: Do you conduct and document supervisory meetings and performance reviews for staff?
Yes No Partial

Q13: Do you have evidence of continuous improvement actions resulting from audits, incidents or complaints?
Yes No Partial

Q14: Are privacy/confidentiality declarations signed by staff and stored in staff files?
Yes No Partial

Q15: Is sensitive information stored securely (locked storage and IT backups)?
Yes No Partial