Guides

Policies and evidence

What is the difference between an NDIS policy and evidence that the policy is working?

For small providers building or reviewing a policy and evidence system.

Short answer: A policy says how you intend to work. Evidence shows what you actually did, when, who owned it and what happened next. A current policy alone does not show that you do it. See the source.

The method below is our way to make a policy system easier to review.

Link the rule, the record and the index

Your policy says how you intend to work. It carries the owner, version, issue date, review date and scope.

Your operating record shows a real event or a repeating control. It might be a register entry, an induction record, a supervision record, a review action or a complaint response. A "nil recorded" entry is fine when you explain it.

Your index ties the two together. It names the policy, the record, the owner, the date, the status, any handling limits and why the item is there. Without that link, an auditor has to search a large folder and guess.

A simple complaint example

Say your complaints policy sets out five steps. You acknowledge a complaint, record it, escalate it if needed, investigate it and close it. You then review what you learned.

A useful evidence set would hold four things. A complaints register, a redacted example showing the steps, and an owner with a review date. The fourth is a learning record where the complaint led to a change.

Had no complaints this period? Do not make evidence up. Keep the register, the review record and a short note explaining the "nil recorded" position. If your register is informal, label it partial and name the next action.

What to do this week

1. Pick one control. Incidents, complaints, risk, worker screening or evidence filing.
2. File the policy. Record the current version, owner, review date and scope. If there is no policy yet, write one now and never backdate it.
3. File the record. Pick one redacted example, then say what it shows and what it does not.
4. Build the index. Give both files an ID, plus owner, date, status, handling limits and next action.
5. Check the gap. If the record does not show every step, write down the missing field.

Common mistakes

• Renaming a file "final" and treating that as proof the procedure is in use.
• Using a training attendance sheet to prove a worker can run the whole control.
• Linking a generic policy to an event from another entity, site, support or year.

Keep the score tied to the evidence

We prepare your documents, organise the evidence you send and explain what is missing. You run the control and keep truthful records. Your auditor decides what it accepts.

A readiness score describes the sample you sent. Red or amber means that material is missing, incomplete or outside your agreed scope.

Sources

• NDIS Quality and Safeguards Commission, Core module: provider governance and operational management, checked 8 September 2026. This covers quality management, information management and complaints management; the linking method above is Clearharbour practical guidance.