What's in this template?
This NDIS Governance and Operational Management Policy template is aligned to Core Module 1 of the NDIS Practice Standards (Version 4, November 2021). It provides a comprehensive framework for establishing sound governance structures, defining key personnel accountabilities, maintaining quality management systems, and embedding continuous improvement across all aspects of NDIS service delivery.
The template covers 13 sections:
- Purpose — commitment to sound governance and management systems aligned to NDIS Practice Standards, NDIS Act, and Code of Conduct
- Scope — governance structure, key personnel, strategic planning, quality management, compliance, financial management, policies and procedures
- Legislative and Regulatory Framework — NDIS Act 2013, Practice Standards, Code of Conduct, Corporations Act, Associations Incorporation Act, ACNC Act, WHS Act, Privacy Act
- Governance Structure — legal structure, governing body responsibilities, meeting frequency, minutes, skills requirements
- Key Personnel — Responsible Person accountabilities, NDIS registration obligations, additional key personnel roles
- Strategic and Operational Planning — strategic plan, annual operational plan, stakeholder input, progress monitoring
- Quality Management System — policy suite, review cycle, internal audits, data collection, feedback mechanisms, continuous improvement register
- Continuous Improvement — complaint and incident analysis, satisfaction surveys, worker feedback, audit-driven actions, best practice monitoring, effectiveness evaluation
- Compliance and Regulatory Obligations — compliance register, regulatory monitoring, NDIS Commission cooperation, registration conditions, reportable incidents
- Financial Management — financial systems, budgets, reporting, external audits, conflicts of interest, participant fund management
- Organisational Policies and Procedures — policy coverage, plain language, accessibility, review cycle, version control, communication
- Related Policies — cross-references to Risk, Incidents, Complaints, HR, Privacy, Continuity, Participant Rights, WHS
- Review History — version control and approval
Editable placeholder fields
{{practice_name}},{{abn}},{{ndis_registration_number}},{{practice_address}},{{phone}},{{email}}{{responsible_person}}— key personnel / responsible person{{legal_structure}}— organisation's legal structure{{governing_body_chair}}— chair or head of the governing body{{ci_register_location}}— location of the continuous improvement register{{review_date}},{{next_review_date}}
NDIS Practice Standards requirement
Core Module 1 — Governance and Operational Management requires that providers have sound governance and management systems to deliver quality supports. The NDIS Quality and Safeguards Commission's quality indicators specify that providers must demonstrate:
- A governance structure appropriate to the organisation's size, scope, and complexity
- Key personnel with clearly defined roles and responsibilities
- Strategic and operational planning that guides service delivery
- A quality management system that monitors and improves service quality
- Continuous improvement processes driven by data, feedback, and audit findings
- Compliance with all legislative and regulatory obligations
- Sound financial management and accountability
The NDIS Verification Module Required Documentation Guide lists governance and operational management as a required policy area for all registered providers. During a verification audit, auditors will review the governance policy, examine the organisational structure, check the continuous improvement register, and verify that key personnel understand their responsibilities.
For providers undergoing certification audit, the assessment includes evaluating the maturity of governance systems, the quality of strategic planning, evidence of continuous improvement over time, and the effectiveness of financial management practices.
How to customise this template
- Download the Word document and fill in all
{{placeholder}}fields with your organisation's details - Document your governance structure — create or update an organisational chart showing reporting lines and decision-making authority
- Define key personnel roles — clearly articulate the responsibilities of the Responsible Person and any other key personnel
- Develop a strategic plan — if you don't have one, create a 3–5 year plan with measurable objectives
- Set up a continuous improvement register — create a spreadsheet or system to track improvement actions, owners, due dates, and outcomes
- Establish a compliance register — list all legislative and regulatory obligations relevant to your organisation
- Schedule regular governance reviews — set up quarterly governing body meetings with standing agenda items for quality, risk, and compliance
- Cross-reference your other policies — update Section 12 with the specific titles of your related policies
Frequently asked questions
Is a governance policy required for NDIS registration?
Yes. Governance and operational management is part of Core Module 1 of the NDIS Practice Standards, which applies to all registered NDIS providers. The Verification Module Required Documentation Guide requires evidence of governance systems and continuous improvement. Without a governance policy, you cannot pass a verification or certification audit.
What governance structure is required for NDIS providers?
The NDIS Practice Standards do not prescribe a specific governance structure. The structure should be appropriate to the organisation's size, scope, and complexity. A large organisation may have a board of directors with sub-committees, while a sole trader may have an advisory board or external mentor arrangement. What matters is that governance oversight exists, is documented, and is effective.
What is a continuous improvement register?
A continuous improvement register is a central record of all improvement actions identified from complaints, incidents, audits, feedback, and other sources. Each entry should include the improvement action, responsible person, target date, status, and evaluation of effectiveness. ClinicComply recommends reviewing the register at least quarterly and reporting to the governing body. The register demonstrates to auditors that your organisation systematically identifies and acts on improvement opportunities.
Who can be a "Responsible Person" under the NDIS?
The Responsible Person is the individual accountable for the day-to-day management of NDIS supports and compliance with the NDIS Practice Standards. For companies, this is typically a director or senior manager. For sole traders, it is the individual provider. The Responsible Person must pass an NDIS Worker Screening Check and is named in the organisation's NDIS registration.
How often should policies and procedures be reviewed?
The NDIS Practice Standards expect policies and procedures to be reviewed regularly and kept up to date. ClinicComply recommends reviewing all policies at least every two years, or sooner when there are significant changes to legislation, standards, services, or incidents that reveal a policy gap. Version control (recording the review date, approval, and next review date) demonstrates an active review cycle to auditors.
What financial reporting is required for NDIS providers?
The NDIS Practice Standards expect sound financial management, but specific reporting requirements depend on your organisation's legal structure. Companies limited by guarantee and charities registered with the ACNC must lodge annual financial reports. All providers should have financial systems that accurately record income and expenditure, prepare annual budgets, and provide regular financial reports to the governing body.