Quality Assurance and Safeguards
Working Arrangements for ACT
NDIS Trial
As agreed between the ACT
Government and the National
Disability Insurance Agency
May 2014
Table of Contents
1. Background ................................................................................................................ 4
2. Guiding Principles....................................................................................................... 4
2.1.
Individual Safeguards ....................................................................................... 4
2.2.
Quality Assurance and Safeguards in the ACT ................................................ 5
3. Trial Site Specific Considerations ............................................................................... 5
4. Service Provider Registration ..................................................................................... 5
4.1.
Existing arrangements ..................................................................................... 5
4.2.
Trial Arrangements for existing providers of Specialist Disability Services ...... 6
4.3.
Trial arrangements for existing providers to provide new services ................... 7
4.4.
Trial arrangements for new service providers .................................................. 7
4.5.
Activities to implement this arrangement for existing service provision for
current ACT funded Providers .......................................................................... 8
5. Incident Reporting and Complaints Management ..................................................... 10
5.1.
Existing arrangements ................................................................................... 10
5.2.
Future Arrangements for Trial ........................................................................ 10
6. Quality Frameworks.................................................................................................. 11
6.1.
Standards ....................................................................................................... 11
6.2.
Accessibility.................................................................................................... 11
6.3.
Feedback ....................................................................................................... 12
6.4.
Existing arrangements ................................................................................... 12
6.5.
During Trial..................................................................................................... 13
6.6.
NDIA Internal Quality Assurance arrangements ............................................. 13
6.7.
Future Arrangements ..................................................................................... 14
7. Protection for Children and Vulnerable People ......................................................... 14
7.1.
Existing Arrangements ................................................................................... 14
7.2.
Future Arrangements ..................................................................................... 15
8. Restrictive Practices ................................................................................................. 15
8.1.
Current arrangements .................................................................................... 15
2
8.2.
Future arrangements for Trial......................................................................... 15
9. Other ACT Government Entities ............................................................................... 16
10. Implementation of these working Arrangements ...................................................... 17
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1. Background
On 7 December 2012, COAG reaffirmed its ongoing commitment to a National Disability
Insurance Scheme (NDIS) by signing an Intergovernmental Agreement for the NDIS Trial. The
Australian Capital Territory signed bilateral agreements with the Commonwealth, which confirm
the operational and funding details for the roll-out of the NDIS in each trial site.
The inter-government agreement detailed the following agreement in regard to quality and
safeguards.
12.
The existing ACT quality assurance framework will apply in the ACT trial site
to relevant new and existing funded client support programs for the trial subject to
further development of and transition to a nationally consistent risk-based quality
assurance approach in the longer term. The ACT will identify details of the existing
client support programs in the ACT and provide this information to the Agency for the
purposes of registering providers under the NDIS. Working arrangements between the
ACT and the Agency to ensure appropriate management and monitoring against these
quality assurance frameworks will be developed.
13.
A range of existing and new safeguards will minimise the risk of harm to NDIS
participants in the ACT, protect their right to be safe, and empower them to achieve
choice and control over their lives including guardianship, where alternative decision
making arrangements are unavailable; privacy; and child protection.
2. Guiding Principles
The Agency is working to ensure high quality services for people with disability in a choice and
control environment. The Agency will ensure that processes for disability service providers to
interact with the Agency are not overly arduous but that they ensure appropriate safeguards
are in place for participants, particularly where risk is identified.
2.1. Individual Safeguards
Consistent with principles of choice and control, individual, service and some system level
safeguards will be applied on an individual risk-basis and will be based on a presumption of
capacity unless there is evidence to the contrary or where there is a high risk of harm.
Under the NDIS the role of natural safeguards will be recognised through the development of
an individual plan that identifies the person’s goals and aspirations and enables consideration
of the unique risks and appropriate personalized safeguards for each individual. The aim is to
identify how the different levels of safeguards including natural and formal supports blend
together to provide an appropriate framework of safeguards that meet individual need.
Planning Support Coordinators will work with participants through the support needs
assessment and planning process to identify risks and safeguards and will work with
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participants and their support network to build intentional safeguards including natural and
informal safeguards.
2.2. Quality Assurance and Safeguards in the ACT
The existing ACT quality assurance framework will apply in the ACT trial site to relevant new
and existing funded disability client service providers. This arrangement will remain in the ACT
until such time as the finalisation, of and transition to, a nationally consistent risk-based quality
assurance approach in the longer term.
The ACT will work collaboratively with the Agency to facilitate a clear and transparent process
to enable existing ACT Government funded disability service providers to register to deliver
services under the NDIS.
Both existing and new providers of disability services in the ACT will need to meet the quality
assurance and safeguard requirements that are developed as the national system is rolled out.
3. Trial Site Specific Considerations
In addition to the objectives of the NDIS launch outlined in the Intergovernmental Agreement
for the NDIS launch and the NDIS 2012 Bill, as enacted into legislation, the ACT trial site will
have the following further specific aims:

to fully roll out the NDIS for all eligible clients resident in the ACT;

to transition the disability sector, including people with a disability, their
families and carers, and service providers to the NDIS by the conclusion of
the 24 month trial;

to assess the impacts on Tier 3, Tier 2 and mainstream services of the ACT
and

to build greater capacity in support services and types to strengthen the
ACT disability sector.
4. Service Provider Registration
4.1. Existing arrangements
In the ACT specialist disability services are funded by the ACT Government through the
Community Services Directorate, ACT Health, ACT Home and Community Care Younger
Peoples Program and Education and Training Directorate.
In the ACT disability services currently contracted by the Community Services Directorate are
subject to a pre-qualification process. The primary purpose of this prequalification process is to
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increase the information that the funding party to the relationship has about the operations of
the party that will receive funding under a contract.
Other Directorates, namely Health and Education & Training who also fund disability services
in the ACT do not utilise a prequalification process.
Funding contracts are used as the primary mechanism to mandate and monitor service quality
across all ACT Government funding arrangements. Inherent in the contractual arrangements
are requirements for the service provider to:

meet relevant legislative requirements pursuant to the service being
delivered;

establish internal complaint management procedures and comply with
external complaint management bodies;

establish systems and processes to manage and respond to incidents and
feedback;

report critical incidents to the funding body;

implement risk management requirements to identify risks associated with
individuals in the provision of support;

conduct staff screening processes; and

adhere to relevant privacy provisions to protect the privacy and
confidentially of individuals.

Comply with industry or service specific standards.
4.2. Trial Arrangements for existing providers of
Specialist Disability Services
The ACT will provide the Agency with details pertaining to current funded disability service
providers to enable the matching of existing support categories to those identified under the
NDIS.
Following the matching of the support clusters, the ACT Government will engage with
individual providers to confirm how their service has been matched within the NDIS support
categories.
On completion of this process current ACT Government service providers and funded service
providers will be able to register in the ACT for supports they are currently providing or
contracted to provide.
Existing providers will need to complete an NDIS Provider registration form. As part of the
registration process ACT Government service providers or funded providers will need to agree
to the NDIA Terms of Business and provide ABN and bank account details.
ACT Government providers of specialist disability services will need to register for the NDIS.
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For registrations with the NDIS, sole practitioners or groups of practitioners in consortiums will
be expected to be registered with the Australian Health Practitioner Regulatory Authority
(APHRA) or meet certification/accreditation requirements of their relevant professional
association and will be required to provide evidence of such registration/certification to the
Agency.
Existing safeguards as currently applied through contracts with the ACT Government will
continue to operate within the ACT through trial implementation, for all specialist disability
service providers through amendment to the Disability Services ACT 1991.
4.3. Trial arrangements for existing providers to
provide new services
It is anticipated that some existing providers of disability services may seek to expand their
current range of services (for which they are not currently funded) to participants in the ACT.
Current ACT Government funded providers who intend to expand their service offer in the
NDIA trial will need to be assessed by the NDIA for any new support clusters.
In these circumstances, the Provider may make an application to the Agency providing the
necessary documentation to support their application. The Agency will notify the ACT
Government who will consider the providers qualifications, experience, approvals and capacity
to deliver additional or new services and provide a recommendation to the Agency. The NDIA
will give consideration to the ACT Government’s recommendation in making the final decision
regarding registration.
The relevant ACT Government Directorate will be notified of the amended registration
application. Depending on the nature of services being delivered, identified Relationship
Managers across ACT Government Directorates will work collaboratively with the Provider to
maintain monitoring and compliance oversight.
4.4. Trial arrangements for new service providers
It is expected that the NDIS will attract new providers currently not registered under the existing
ACT arrangements. The following arrangements have been agreed to ensure that these new
providers comply with existing quality and safeguards arrangements in the ACT:
New service providers will be required to lodge an NDIS registration application and meet the
evidentiary requirements. New provider of specialist disability services including Mental Health
services will be reviewed by the ACT Government as part of registration assessment process.
The ACT Government will also have a role in monitoring new providers through the trial period.
The ACT will not assess and will not monitor new services in the following categories:

These include all services provided by Health Professionals registered by
APHRA

home modification, vehicle modifications and equipment suppliers.

Commonwealth Government funded programs
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All new Providers registering with the NDIS will:

Have an ABN

Have an account with a financial institution

Agree to be bound by the Agency’s Terms of Business

Comply with work health and safety laws

Have mechanisms to ensure applicant and staff compliance with laws that
are subject to criminal penalties, as they relate to the provision of, or
management of, funding of supports

Ensure the applicant is a suitable entity to provide the kinds of supports, or
to manage funding of supports
Through the trial, new providers will be required to register with the NDIS and:

Comply with Commonwealth and ACT legislation particularly relevant to
quality assurance, safety standards and restrictive practices.

New service providers must comply with the existing Quality and
Safeguards Framework for the ACT. The monitoring of compliance against
the Standards Framework for new providers during trial will be the
responsibility of the ACT Government.

Ensure Staff and volunteers have undergone a Working With Vulnerable
People Check (WWVPC) and registration in order to be engaged in the role
by the end of 2014.

Have a written Child Protection policy detailing:
o Voluntary and Mandatory reporting requirements;
o Training available to help staff for the purposes of the Act; and
avenues of assistance that staff can access to help them to
comply with the Act .
4.5. Activities to implement this arrangement for
existing service provision for current ACT funded
Providers
To ensure that existing service providers understand how the trial arrangements will work, the
following arrangements have been agreed:
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
The Agency will match existing ACT support categories for currently funded
disability providers to NDIS support clusters. The ACT will seek validation of
this information with individual providers.

ACT Government and the Agency will jointly write to all currently funded
ACT disability service providers (Government and Community
Organisations) to advise that the organisation’s funding contract for
disability service delivery in the ACT will meet the registration requirements
for the NDIS. The service provider will then need to confirm registration with
NDIS, by completing the Application Form giving ABN and bank account
details and agreeing to the Agency’s Terms of Business.

The Commonwealth maintains responsibility for quality assurance for
Commonwealth funded services as identified in the Bilateral Agreement.

The Agency will write to relevant Commonwealth funded services providers,
to advise that their registration to deliver these services will constitute
registration for the NDIS. The service provider will then need to confirm
registration with the NDIS; by completing the Application Form, giving ABN
and bank account details to the Agency and agreeing to the Agency’s
Terms of Business.

Information will be prepared for providers by the Agency and ACT NDIS
Taskforce detailing reporting requirements for providers, in particular that all
notifiable incidents and reports made by ACT registered disability service
providers continue to be referred through existing relationship managers in
the ACT Government. These reports will constitute a notification by those
providers to the National Disability Insurance Agency as required by Part 4
of the NDIS Rule for Registered Providers.

The NDIS will publish a list of NDIS registered providers in the ACT trial
site.
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5. Incident Reporting and Complaints
Management
5.1. Existing arrangements
All ACT funded organisations are required to implement complaints management processes as
articulated in relevant industry standards, applicable Regulations and Contracts with the ACT
Government. Compliance obligations will continue throughout the NDIS trial period.
Additionally, the ACT is a Human Rights jurisdiction, with relevant rights enshrined in the ACT
Human Rights Act 2004. Funded organisations are deemed, in accordance with Section 40B
to be functional public authorities and must act and make decisions consistent with human
rights.
The ACT Disability and Community Services Commissioner will continue to have jurisdiction to
deal with complaints about disability services (including complaints regarding NDIA functions
that fall within the jurisdiction of the Disability & Community Services Commissioner). Services
are obliged through law to inform consumers about their right to complain to the Disability and
Community Services Commissioner. The Commissioner sits within the ACT Human Rights
Commission, which can also deal with complaints about disability discrimination.
Section 95 of the ACT Human Rights Commission Act 2005 obliges providers of disability,
services in the ACT to provide information to consumers about their right to complain. If the
service is provided at premises, the provider must provide information at the premises to
service consumers about their right to make complaints to the Human Rights Commission,
under the Health Practitioner Regulation National Law (ACT); and how feedback may be
given to the service provider. This obligation will continue to apply during Trial.
Services are obliged to report critical incidents or incidents of misconduct to their ACT
Government relationship manager. The Organisation’s obligation is a continuing obligation
where the Organisation receives, or is made aware of credible evidence of any incident or
misconduct by an Engaged Person (contractor or employee) in his/her dealings with a Service
User or in the performance of the Services.
5.2. Future Arrangements for Trial
During the launch the Agency’s feedback management system will work in conjunction with
other existing Commonwealth and State Government complaints management systems to
provide an integrated approach for participants.

Complaints raised with the Agency with respect to the providers of
disability supports will be referred to the Health Services Commissioner
or Disability and Community Services Commissioner. The Commissioner
will advise the ACT Government or the NDIA when concerns arise that
may require regulatory action by either organisation.
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
The ACT Government will advise the NDIA of all complaints made to the
ACT Government where a provider is registered with the NDIA. The ACT
Government will refer matters to the Health Services Commissioner or
Disability and Community Services Commissioner as required under
existing arrangements.

The Commissioner, the NDIA and the ACT Government will exchange
data and information about the sector to enable analysis of trends and
concerns.

Complaints concerning NDIA staff or reviewable decisions made by the
NDIA will be managed through the NDIA feedback management process.
Where a complaint consideration is undertaken and the actions of the provider are grave
enough to warrant it, the ACT Government may make a recommendation of deregistration to
the NDIA.
The ACT is undertaking legislative amendment to ensure that the quality assurance and
safeguarding obligations contained in contracts are able to transition into the NDIS trial
environment.
This will ensure that current arrangements continue to apply to relevant current and new
providers.
Until the legislation and accompanying operational guidelines are agreed and implemented,
the ACT Government will ensure, through agreement with the NDIA that critical incidents
continue to be reported to the ACT Government as negotiated.
6. Quality Frameworks
6.1. Standards
All ACT funded organisations are required to deliver services compliant with relevant industry
standards, including the National Standards for Disability Services, Home Care Standards,
Disability Standards for Education and applicable regulations and contracts with the ACT
Government. Compliance obligations will continue throughout the NDIS trial period.
6.2. Accessibility
Organisations are contractually required to operate services in such a manner that they are
culturally aware and implement strategies to ensure access to the services by eligible people
who identify as being:

from Aboriginal or Torres Strait Islander background; or

from culturally or linguistically diverse backgrounds.
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6.3. Feedback
Organisations are required to implement mechanisms to receive service user feedback and to
provide evidence that service delivery and overall service planning are modified (and
improved) as a result of this feedback.
6.4. Existing arrangements
Disability ACT
Organisations contracted under the Disability Services Act 1991 must act in accordance with
the requirements of the Act and the standards set out in the National Disability Service
Standards as they may evolve.
The Organisation is expected to work within the Disability ACT Quality Improvement
Framework, including establishing a Quality Plan and undertaking an annual review of its
practice against the National Disability Service Standards.
Assessment against these criteria is done through the Disability ACT relationship management
role and again by periodic external audit service reviews. On average each funded
organisation is audited by the ACT Government contracted external body at least once every
three years.
ACT Home And Community Care (HACC) (including Younger
Peoples’ Programs)
Organisations contracted under the ACT HACC program are required to actively use and
participate in assessment against the “Home Care Standards” (previously known as the
Community Care Common Standards) to review its practice against these standards and to
work towards quality improvements.
External assessments against the “Home Care Standards” take place on a three year cycle.
The service is also required to undertake continuous improvement strategies based on the
agreed action plans that arise from external assessment.
Standards for Mental Health Services
Psychosocial disability providers must ensure:
1. Consumers and carers are involved in the planning, implementation and
evaluation of the Organisation’s service provision.
2. They are actively engaging in quality improvement including selfassessment against the National Standards for Mental Health Services and
is expected to be prepared for an external review of its practice against the
Standards by 30 June 2015.
3. Their workforce is appropriately qualified with 75% of its workforce qualified
or undertaking a qualification at the level of a Certificate IV in Mental Health
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or equivalent as defined in the ACT Community Mental Health Sector
Qualification Strategy by 30 June 2015.
4. Delivery of a non-discriminatory service which is sensitive to the social and
cultural values of the consumer and the consumers’ family, and the
community.
Assessment against these criteria is done through the ACT Health Directorate contract
management role.
Education
Disability providers funded by Education & Training Directorate (ETD) are obligated under the
Disability Standards for Education to make reasonable adjustments to ensure that students
with disability can access and participate in education on the same basis as other students.
A breach of the Standards will generate a right of complaint to the Human Rights and Equal
Opportunity Commission (HREOC) under the relevant provisions of the DDA and the Human
Rights and Equal Opportunity Commission Act 1986 (the HREOC Act).
The ACT Education and Training Directorate (ETD) supports and promotes an e-learning
course that has been developed in collaboration with other jurisdictions to raise awareness of
the Standards and associated obligations for ACT ETD staff.
6.5. During Trial
The ACT is undertaking legislative amendment to ensure that current quality assurance and
safeguarding obligations contained in contracts are able to transition into the NDIS trial
environment. The legislative amendment raises obligations for providers into a legal framework
as the Government progressively phases out contracts through the transition to the NDIS.
This will ensure that current arrangements continue to apply to relevant current and new
providers throughout the Trial. The ACT Government will retain responsibility for monitoring
and ensuring compliance with the provisions as outlined in the legislative amendment.
6.6. NDIA Internal Quality Assurance arrangements
The NDIA has an internal quality assurance system that has a multifaceted approach to
internal quality assurance arrangements that incorporated elements such as:

Adoption of the National Standards for Disability Services

Operational guidelines

Delegation frameworks

Practice standards, peer review and Communities of Practice

Sample case audits, feedback loops linked to training and guidelines

Identified roles responsible for quality assurance
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
Ongoing cycle of Internal QA linked to performance management signed off
by senior agency management

Client feedback and complaints linked to Quality Assurance processes with
continuous quality improvements processes through the Agency
6.7. Future Arrangements
Work has commenced on the development of a nationally consistent quality management
framework. The Commonwealth, State and Territory governments and the NDIA will work to
have these arrangements in place before July 2016.
7. Protection for Children and Vulnerable
People
7.1. Existing Arrangements
The Working with Vulnerable People (Background Checking) Act 2011 requires individuals
working or volunteering in ‘Activities or Services for Children” to be registered. This is
administered through the ACT Office of Regulatory Services.
The premise of background checking is that the past behaviour of an individual can provide an
indication of the possible future behaviour of that individual. Examples or patterns of abusive or
inappropriate behaviour can sometimes be evident in information available for assessment,
which includes an individual’s criminal record.
The ACT Government considers that the creation of a background checking system with
appropriate safeguards for people who work with, or who want to work with vulnerable people
is consistent with section 28 of the Human Rights Act 2004.
This system is intended to also identify patterns of behaviour that may not necessarily reflect in
traditional police checks alone.
Protections for children and otherwise vulnerable people are achieved via contractual
requirement for service suppliers to ensure:

Staff or volunteers to be determined to be fit and proper persons;

Staff or volunteers to be suitably qualified;

Staff or volunteers to have current and valid Australian Federal Police
checks; and

Staff or volunteers to have undergone a Working With Vulnerable People
check and registration in order to be engaged in the role by the end of 2014.
Organisations are further required to have a written Child Protection policy detailing:
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
all Voluntary and Mandatory reporting requirements;

the training available to help staff for the purposes of the Act; and

avenues of assistance that staff can access to help them to comply with the
ACT.
7.2. Future Arrangements
The arrangements that apply under current contracts with the ACT Government will be
extended during the NDIS Trial Period to apply to all new providers registered with the NDIA.
These providers will be required to satisfy all criteria outlined in S7.1 as they apply to that
particular type of service provision.
8. Restrictive Practices
8.1. Current arrangements
All disability services including psychosocial disability services in the ACT are required to
comply with the ACT Human Rights Act 2004. The ACT Human Rights Act 2004 provides an
explicit statutory basis for respecting, protecting and promoting civil and political rights. The Act
ensures that no individual can be treated in a degrading or inhumane way.
All disability services funded by the ACT Government, Community Services Directorate are
contractually required to comply with the National Standards for Disability Services. Standard 2
Individual Needs requires agencies to develop written policies and procedures on the planned
approach to meeting individual needs. Service providers are also required to document the
individual ongoing needs of the person with disability and the approaches for meeting those
needs.
All Mental Health services are required to be actively engaged in quality improvement including
self-assessment against the National Standards for Mental Health Services and is expected to
be prepared for an external review of its practice against the Standards by 30 June 2015.
The ACT will transition to the revised National Standards for Disability Services, which will
require agencies to demonstrate how practice supports the application of minimal restrictive
options.
Policies and guidelines related to restrictive practices for disability services including
psychosocial disability services in the ACT are agency specific; there is no sector wide policy
or procedure.
8.2. Future arrangements for Trial
The ACT is undertaking legislative amendment to ensure that existing Quality Assurance
frameworks and safeguards contained in contracts are able to transition into the NDIS trial
environment. This amendment is due for debate in June 2014.
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9. Other ACT Government Entities
The NDIA will operate to ensure that there will be no diminution of the ACT Government’s
quality assurance system and safeguards. The NDIA will work in close collaboration with the
ACT NDIS Taskforce, relevant ACT Government Directorates and statutory authorities
including:

ACT Disability & Community Services Commissioner - Has a role in
considering complaints about the provision of services for people with
disability and their carers. To promote the rights of users of services for
people with a disability and their carers and an awareness of the rights and
responsibilities of users and providers of disability services.

ACT Health Services Commissioner - Has a role in considering complaints
about the provision of health services, services for older people and
complaints about contraventions of the Health Records (Privacy and
Access) Act.

ACT Human Rights and Discrimination Commissioner - Has a role in
considering complaints made under the Discrimination Act about unlawful
discrimination. This occurs when someone is treated unfavourably, because
of a protected attribute (e.g. having a disability), in an area of public life. The
Commissioner also has a role in promoting the Human Rights Act and the
rights that are protected under this Act.

Disability Official Visitor - Has a role in inquiring whether support services
are being provided in line with Disability Service Standards, which cover the
type and quality of care and service, the living conditions, and the type of
activities and opportunities to participate in them. The Disability Official
Visitor will take and pursue complaints.

Office of Regulatory Services - Responsibility for licensing, registration and
accreditation, dispute resolution and consumer and trade assistance, and
compliance and enforcement/litigation. ORS is also responsible for
undertaking workforce screening and ensuring compliance with the Working
with Vulnerable People Act.

Public Advocate - Has a role in protecting and promoting the rights and
interests of vulnerable citizens in partnership with the ACT Community.

ACT/Commonwealth Ombudsman - The ACT and Commonwealth
Ombudsman can investigate complaints about the administrative actions of
ACT and Commonwealth Government Agencies and public education
providers.
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10. Implementation of these working
Arrangements
Between March and June 14, the NDIA will also work with ACT NDIS Taskforce and ACT
Government departments to establish business processes and operational guidelines as
required giving effect to these working arrangements, in particular, in the areas of complaints
management, incident management and reporting, and registration. These business processes
and operational guidelines will be reviewed and refined if necessary during the trial, at a
minimum annually.
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