Quality Assurance and Safeguards
Working Arrangements for the
Launch of the NDIS in SA
As agreed between the Department
for Communities and Social Inclusion
and the Launch Transition Agency
(South Australia)
18 March 2013
Table of Contents
Table of Contents ................................................................................ Error! Bookmark not defined.
1
Background: ...................................................................................................................... 3
2
Guiding Principles ............................................................................................................. 3
3
Launch Specific Considerations .......................................................................................... 3
4
Service Provider Registration ............................................................................................. 4
4.1
Existing arrangements .............................................................................................................4
4.1.1
Accommodation Services ....................................................................................................5
4.1.2
Community Access Services ................................................................................................5
4.1.3
Respite Services ...................................................................................................................5
4.1.4
Information and Alternative Formats of Communication.....................................................5
4.1.5
Community support .............................................................................................................5
4.2.
Launch Arrangements for existing providers of Specialist Disability Services ........................6
4.3
Launch arrangements for existing providers to provide new services ...................................7
4.4
Launch arrangements for new service providers ....................................................................7
4.5
Activities to implement this arrangement ..............................................................................8
5.
Incident Reporting and Complaints Management ............................................................... 9
5.1.
Existing arrangements .............................................................................................................9
5.2.
Future Arrangements for Launch ............................................................................................9
6.
Quality Frameworks ........................................................................................................ 10
6.1.
Existing arrangements ...........................................................................................................10
6.2.
2014 During Launch...............................................................................................................11
6.3.
LTA internal Quality Assurance arrangements ......................................................................11
6.4.
Future Arrangements ............................................................................................................12
7.
Child Protection .............................................................................................................. 12
7.1.
Existing Arrangements ..........................................................................................................12
7.2.
Future arrangements for Launch ..........................................................................................13
8.
Criminal screening assessments ....................................................................................... 13
9.
Restrictive Practices ........................................................................................................ 14
9.1.
Current Arrangements ..........................................................................................................14
9.2.
Future arrangements for Launch ..........................................................................................14
10.
Other State Government Entities: .................................................................................... 14
11.
Implementation of these working Arrangements ............................................................. 15
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1 Background:
The Bilateral Agreement dated 7 December 2012 between the Commonwealth and South Australia
for the NDIS Launch notes the following in relation to quality assurance and safeguards:
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c12. South Australia’s existing statutory and administrative quality assurance and
safeguards for children include the Health and Community Services Complaints
Commissioner, Guardian for Children and Young People, Community Visitors Scheme
(pending), the Disability Services Provider Panel and the Care Concerns Investigation
Unit.
c13. These quality assurance and safeguards will apply in South Australia to relevant new
and existing funded client support programs during the launch subject to further
development of and transition to a nationally consistent risk-based quality assurance
approach in the longer term.
c14. South Australia will identify details of the existing client support programs and provide
this information to the agency for the purposes of registering providers under the NDIS
Act.
c15. Working arrangements between South Australia and the Agency to ensure
appropriate management and monitoring against these quality assurance frameworks will
be developed.
The document identifies the existing quality assurance and safeguards within South Australia and
outlines the working arrangements developed between the agencies, subject to the further
development and transition to a nationally consistent risk-based quality assurance approach.
It is anticipated that this document will be revised as more detailed operational arrangements are
agreed, legislative rules are determined or existing quality and safeguards systems are improved.
2 Guiding Principles
The NDIS Launch Transition Agency (LTA) is working to ensure high quality services for people
with disability in a choice and control environment. This includes working with their legal guardians
and nominated person/s. The LTA will work to ensure that processes are not overly arduous for
disability support providers but allow the LTA to ensure appropriate standards for individuals and in
particular where risk is identified.
3 Launch Specific Considerations
The bilateral launch site aims state that the South Australian launch will contribute to the national
learnings for best practice in the delivery of disability care and support to children for the purpose of
transitioning to a full scheme. In regard to quality and safeguards the LTA will work with the
Department for Communities and Social Inclusion (DCSI) to build a thorough understanding of the
system requirements that will assure high quality services for children and their families. The launch
will be an opportunity to utilise the DCSI Care Concerns Investigations Unit and determine what
criminal history screening and investigation capacity will be effective and efficient for full scheme. It
will also be important to highlight the importance for government and non-government
organisations to achieve and maintain a child safe environment.
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4 Service Provider Registration
4.1 Existing arrangements
For a service provider to be eligible for funding from Disability SA currently, they must become
a member of the disability services provider panel (DSSP). To become a member of the DSPP,
organisations must complete an application for registration and undertake a qualification
process.
This process ensures they can:
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provide high-quality services
respond to invitations to quote or tender in specific service activity areas.
Organisations must identify in their application:
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the types of services they are applying to provide
their target group or groups
regional areas they service
location of their services
Applications for registration are assessed by Disability SA.
Organisations (additional to an application for registration) go through a process to ensure that
the organisation meets a number of compulsory quality compliance measures, including
complying with other legislation (i.e. Passenger Transport Act 1994, Supported Residential
Facilities Act 1992, Family and Community Services Act 1972, Carers Recognition Act 2005,
and the Children’s Protection Act 1993). As part of the application process organisations must
provide a copy of their child safe environment policy and confirmation that staff and volunteers
hold current criminal history assessments and be cleared to work with children and vulnerable
adults (also see Section 8). This does not subtract the responsibility of the Chief Executive
under Division 3 of the Child Protection Act 1993.
In signing a Master Agreement with DCSI, organisations agree to:
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c6.12 - comply will all laws which are applicable to the provision of the services,
(including, without limitation, any specific legislation as may be set out in the relevant
Service Agreement) and with the requirement of its constitution (if any)
c 12.1 comply with DCSI’s criminal history/police checks policy in respect of service
provider staff issued from time to time including the requirements (if any) specified in
the Service Agreement; and c12.2 without limiting the organisation’s obligation set out
in clause 6.12 in any way, comply with the requirements in respect of police/criminal
history checks set out in any applicable legislation (including regulations).
An organisation on the DSPP may apply for funding in the specific service activity areas for
which it has qualified. Being on the panel is not a guarantee that any funding will be awarded.
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The support activities that a service type outlet can be currently funded to provide in relation to
an individual are as follows:
4.1.1 Accommodation Services
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Large residential/institution (>20 places) – 24 hour care
Small residential/institution (7-20 places) – 24 hour care
Hostels
Group homes (<7 places)
Attendant care/personal care
In-home accommodation support
Alternative family placement
Other accommodation support
4.1.2 Community Access Services
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Learning and life skills development
Recreation/holiday programs
Other community access
4.1.3 Respite Services
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Own home respite
Centre-based respite/respite homes
Host family respite/peer support respite
Flexible/combination respite
Other respite
4.1.4 Information and Alternative Formats of
Communication
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Advocacy (no longer funded)
Information/referral
Combined information/advocacy (no longer funded)
Mutual support/self-help groups
Print disability/alternative formats of communication
4.1.5
Community support
 Therapy support for individuals
 Early childhood intervention
 Behaviour/specialist intervention
 Counselling (individual/family/group)
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Regional resource and support teams
Case management, local coordination and development
Other community support
DSPP applications also specify the client group that the organisation is able to provide services
to as specified in their organisation’s Constitution or Articles of Association as follows:
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Sensory disability
Intellectual disability
Physical disability
Neurological disability
Acquired Brain Injury
Autism/Asperger’s Syndrome
Psychiatric Disability
DCSI requires providers to nominate which geographical areas they are working in –the
regions include Northern Adelaide, Country North, Southern Adelaide, Country South, Central
Adelaide and Greater Adelaide.
4.2. Launch Arrangements for existing providers
of Specialist Disability Services
Current service providers on the DSPP will be registered as providers of the NDIS (subject to
the passing of legislation).
In regard to the DSPP processes:
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To extend the types of services, clients groups and locations will require a further
approval via a notification process with DCSI.
More extensive approvals will be required for service providers who apply to extend
their service delivery from adults to children.
State Government service providers of specialist disability services will register with
the LTA and the DSPP.
The LTA will recognise current South Australian Service Providers who are registered through
the DSPP and other programs areas such as Home and Community Care (HACC), and
Commonwealth disability programs to offer those services for which they are currently
registered.
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For registration purposes, the LTA will recognise a range of quality assurance
processes e.g. South Australian HACC service providers undertake such as a quality
review using the Community Care Common Standards.
For registration with the LTA, sole practitioners or groups of practitioners in
consortiums will be expected to be registered with their relevant professional
association and will not need to be registered with the DSPP.
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4.3 Launch arrangements for existing providers
to provide new services
Existing providers may seek to deliver new service types for the NDIS that are not currently
included in the DSSP. These providers will be registered with the LTA and where these service
types are aligned to high risk service types such as, but not limited to, respite and
accommodation, or where the service provider has sole care and control of the child and is not
a registered practitioner; the provider will need to apply for approval to deliver these services
through the DSPP.
Sole practitioners wanting to expand their service provision to provide NDIS supports will need
to adhere to the provisions under the Child Protection Act 1993. This includes providing a copy
of their child safe environment policy and confirmation that any staff and volunteers hold
current criminal history assessments and be cleared to work with children, and vulnerable
adults (see Section 8).
4.4 Launch arrangements for new service
providers
It is expected that the NDIS will attract new providers currently not registered under the existing
state arrangements.
The following arrangements have been agreed:
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New service providers will need to adhere to the NDIS registration requirements for
South Australia. Providers of specialised disability support services such as, but not
limited to, respite, accommodation or where the service provider has sole care and
control of the child and is not a registered practitioner will also be required to apply to
DCSI for inclusion on the DSPP. Service providers are able to apply on an ongoing
basis; however, membership of the DSPP will not guarantee funding from either DCSI
or the LTA.
New service providers (including sole practitioners), staff and volunteers (including
agents, contractors and subcontractors), will be required to undergo a criminal
screening assessment through DCSI (see Section 8) and be cleared to work with
children, and vulnerable adults. This includes the engagement or appointment of new
staff or volunteers (including agents, contractors and subcontractors).
NDIS registration requirements -The NDIS Bill requires that ‘the CEO is satisfied that
the applicant meets the criteria prescribed by the NDIS rules’. Registered providers of
supports must:
o Have an ABN
o An account with a financial institution
o Agree to be bound by the Agency’s terms of business
o Complies with employment and workplace health and safety laws
o Declare that the applicant and staff comply with, and that the applicant has
mechanisms in place to ensure ongoing compliance with, all laws: that apply
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o
to the applicant and its staff in the provision of supports or the management of
funding of supports; and the contravention of which is punishable by a criminal
penalty
The applicant is a suitable entity to provide the kinds of supports, or to
manage funding of supports given their qualifications, approvals, capacity and
experience.
For further clarification of the criteria for approval as a registered provider of supports, refer to
the NDIS Rules – Rules for registered providers of supports.
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For other service types not encompassed or aligned with the DSPP, the LTA will
determine the registration requirements. At a minimum, this will include child safe
environment compliance and up to date insurance.
The LTA will publish a list of registered service providers for disability supports to be
provided in South Australia.
4.5 Activities to implement this arrangement
To ensure that service providers understand how the transition arrangements will work, the
following arrangements have been agreed:
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DCSI and the LTA will jointly write to all providers on the DSPP to advise that the
organisation’s approval for the DSPP will also facilitate registration for the NDIS. The
service provider will then need to confirm their registration with the LTA including
agreement to adhere to the relevant terms and conditions regarding quality
assurance and safeguards.
The LTA will recognise registration with the DSPP as meeting most of the NDIS
registration requirements. Existing South Australian disability service providers
delivering supports to NDIS participants will register with the LTA by completing an
abridged application form giving ABN and Bank details and agreeing to the LTA’s
Terms of Business.
The LTA will write to relevant Commonwealth disability services providers, to advise
that their registration to deliver these services will enable registration for the NDIS.
The LTA will work with the DCSI Disability and Domiciliary Equipment Service to
recognise their current practices – Prescriber Panel and Wheelchair approved
supplier list. Further work will be undertaken by the LTA with DCSI Disability and
Domiciliary Equipment Scheme regarding expanding the Prescriber Panel.
The LTA will work with the DCSI Accommodation Placement Panel to recognise their
current practices regarding the placement of children and young people with disability
into specialist accommodation.
The LTA will publish a list of NDIS registered providers in the launch.
Information will be prepared for providers by the LTA and DCSI detailing reporting
requirements for providers, in particular that all notifiable incidents and reports
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continue to the DCSI Care and Concerns Unit and these will constitute a notification
to the LTA as required by Part 4 of the NDIS Rule for Registered Providers.
5. Incident Reporting and Complaints
Management
5.1. Existing arrangements
Complaints Management through DCSI is currently managed according to the level of
concern. These levels include minor, moderate and serious care concerns. Additionally,
complaints about disability services can be raised with the South Australian Health and
Community Services Complaints Commissioner (HCSCC).
Complaints about service providers approved through the DSPP will be managed as follows:
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Minor Care Concerns - Minor Care Concerns addressed at local level through staff
performance processes.
Moderate Care Concerns - Moderate Care Concerns are formally investigated by a
DCSI departmental representative.
Serious Care Concerns - Serious Care Concerns are referred to the Care Concern
Investigations Unit (CCI) where the alleged abuser is an employee/volunteer of DCSIprovided or funded services.
Serious incidents - referred to CCI.
Criminal Offence - If the notification relates to a possible criminal offence, the matter
will be referred to the South Australian Police (SAPOL). CCI investigation is placed
on hold until completion of SAPOL investigation.
If the complaint causes reasonable suspicion of child abuse or neglect processes will
be developed to ensure a report is made to the Child Abuse Report line as soon as
practicable.
For children under Guardianship or in the Custody of the Minister for Education and
Child Development, all Care Concerns and Serious Incidents also need to be raised
with the DECD Care Concern Investigation Unit.
5.2. Future Arrangements for Launch
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Service providers delivering supports through the NDIS, including those approved for
the DSPP will be subject to the requirement for serious incident reporting through the
DCSI Care Concern Investigations Unit.
Where the incident concerns children under the Guardianship or in the Custody of the
Minister for Education and Child Development, incidents need to be reported to the
Department for Education and Child Development (DECD) Care Concern
Investigations Unit.
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During launch the LTA will have a complaints management system for:
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Participants, service providers or the wider community to lodge concerns about LTA
staff and
Participants or others to lodge concerns about the provision of supports purchased
through the LTA including a process to manage referrals to DCSI where the service
provider is on the DSPP.
Processes will be established between the LTA and DCSI and between DECD where
appropriate, to ensure that the complaints information is shared.
Minor and Moderate Care Concerns/Complaints raised with the LTA with respect to the
provision of disability supports by service providers, including those funded for delivery of NDIS
supports registered on the DSPP, will be referred to DCSI.
Minor and Moderate Care Concerns/Complaints concerning LTA direct service staff or for
NDIS only registered service providers will be managed by the LTA.
Through the launch, the LTA will use the DCSI CCI Unit for investigation of all Serious
Incidents, in accordance with the usual protocols of that Unit.
For children under Guardianship or in the Custody of the Minister for Education and Child
Development, all Care Concerns, Complaints and Serious Incidents also need to be raised
with the DECD Care Concern Investigation Unit.
Regular meetings between DCSI and LTA, and where appropriate DECD, will occur to share
feedback on incidences of Minor and Moderate Care Concerns and outcomes of Complaints
and Serious Care and Serious Incident investigations
Participants who are self-managing their plans will be expected to work with their provider to
address complaints and can choose to change their service arrangements. If required they can
contact the LTA which could advise on how the complaint should be managed based on the
registration of the provider.
Further work between the NDIS and DCSI is needed to develop these arrangements and if
required a Memorandum of Understanding will be developed.
A MoU between the LTA and the Health and Community Services Commissioner (HCSCC) will
be developed to address management of complaints regarding South Australian services and
the appropriate information exchange between HCSCC and the LTA.
The complaints management framework and systems will be incorporated into NDIS
registration processes and/or Terms of Business as appropriate to facilitate its practical
operation.
6. Quality Frameworks
6.1. Existing arrangements
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The National Standards for Disability Services are the essential quality standards for disability
services. Organisations registered with the Disability Services Provider Panel (DSPP) are
required to demonstrate how they monitor compliance with the National Standards for
Disability Services including duty of care and dignity of risk. As DCSI progresses quality reform
to strengthen requirements against the National Standards, requirements that apply to
providers will change.
Providers on the DSPP must also demonstrate engagement within a formal quality
improvement program, which is applicable to the services that are funded to provide through
the DSSP. The Australian Services Excellence Standards (ASES) or (equivalent quality
systems) is utilised with external review every 3 years. DCSI regularly monitor this through
their annual performance reviews with organisations. DCSI currently do not require reviewing
the external review report. This is currently under review.
The HCSCC has a statutory role to assist in the improvement of safety and quality in disability
services in the South Australian Government, non-government and private sectors.
6.2. 2014 During Launch
During the launch the South Australian existing statutory and administrative quality assurance
and safeguards for children will be utilised.
In regard to quality assurance, providers registered with the LTA who are also registered with
the DSPP will be required to demonstrate how they monitor compliance with the National
Standards for Disability Services and have a formal quality improvement system such as the
Australian Service Excellence Standards (ASES) or an equivalent scheme which involves
external review every three years. Checking that organisations have compliance with Child
Safe Environments forms part of this quality assurance measure. This scheme utilises external
assessors and is not reliant on DCSI staff.
Providers not registered with the DSPP, will identify the quality assurance arrangements they
may have in place.
Consistent with existing quality frameworks, providers delivering supports under the NDIS will
be encouraged to meet Cert III Disability Services as a minimum common qualification for
workers.
6.3. LTA internal Quality Assurance arrangements
The LTA is committed to developing a quality service to NDIS participants. For direct service
delivery the LTA will develop quality processes that will be assessed both internally and
externally. The key components of the LTA’s internal quality assurance arrangements will be:
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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 within the organisation- senior practitioners
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Ongoing cycle of Internal QA signed off by senior agency management with continuous quality
improvements processes through LTA.
6.4. Future Arrangements
There is a commitment from the Commonwealth, State and Territory governments to work to
develop a nationally consistent quality assurance approach in the longer term. This will be
underpinned by the National Standards for Disability Services.
7. Child Protection
7.1. Existing Arrangements
Under Section 11(1) and (2) of the Children’s Protection Act 1993, certain people are obliged
to notify Families SA via the Child Abuse Report Line (13 14 78) if they suspect on reasonable
grounds that a child/ young person has been, or is being, abused and/or neglected and the
suspicion is formed in the course of the person’s work (whether paid or voluntary) or in carrying
out official duties. This is known as mandatory reporting.
The Child Abuse Report Line is staffed by trained social workers 24 hours a day, 365 days per
year.
The Children’s Protection Act 1993 also requires organisations that provide health, welfare,
education, sporting or recreational, religious or spiritual, childcare or residential services wholly
or partly for children to develop policies and procedures to establish and maintain safe
environments for children (section 8C). The focus for service providers is to build an
environment which is both child-safe and child-friendly, where children feel respected, valued
and encouraged to reach their full potential.
Service providers must lodge a statement about their child safe policies and procedures with
the Chief Executive, DECD (a copy of the statement is available at:
www.families.sa.gov.au/childsafe ).
Under section 8B of the Children’s Protection Act 1993, organisations must ensure criminal
history assessments (See section 8) are conducted for people who are working or volunteering
with children in prescribed positions within the organisation.
A DSPP register is kept of government approved disability support agencies. Membership on
the DSPP requires agencies to work to a common set of standards and requirements. This
includes the requirement for all workers and volunteers providing services to children and
young people with disability to undergo a criminal history assessment (See section 8).
Disability support agencies providing residential facility services for children with disability
undergo annual licensing audits which include site inspection and policy and procedure
assessment. The purpose of licensing is to make sure that an agency meets the legal
requirements and minimum standards in their care for children.
The Information Sharing Guidelines for Promoting the Safety and Wellbeing of Children, Young
People and their Families (ISG) were approved by Cabinet in October 2008 for implementation
within all relevant State Government agencies and non-government organisations. They
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present a simple, clear process that guides good practice, embeds a consistent approach to
information sharing and focuses on improved service coordination when responding to the
safety and wellbeing of children and young people.
7.2. Future arrangements for Launch
The LTA gives an in principle commitment to operate in a manner consistent with the South
Australian Children’s Protection Act 1993 which has provisions regarding child safe
environments, mandatory reporting of suspected abuse or neglect of children. This will be
achieved by:
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All providers’ delivering support to children will undertake pre-employment screening
(criminal history assessments – see section 8) consistent with the requirements for
the DSPP and as set out in the Children’s Protection Act 1993. Providers will be
expected to meet the costs associated with this screening.
Service providers registered with the LTA will need to be aware and comply with their
obligations with respect to the :
o Children’s Protection Act 1993, child safe environment policies and
procedures, mandatory reporting, and criminal history assessments
o Information Sharing Guidelines as developed by the Government of South
Australia.
LTA staff will work with DECD through Families SA where there are relevant
concerns regarding child safety, in accordance with a Memorandum of Understanding
which will be developed.
The LTA will work towards voluntary compliance with child safe environments,
including LTA staff criminal history assessments and a statement of compliance, and
adherence to the Information Sharing Guidelines as developed by the Government of
South Australia.
NDIS LTA staff will work with DCSI, and where necessary DECD, Families SA, to
identify relevant Child Protection programs, to determine whether additional working
arrangements are required.
8. Criminal screening assessments
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Service providers (including sole practitioners), staff and volunteers (including agents,
contractors and subcontractors), will be required to undergo a criminal screening
assessment through DCSI. This includes the engagement or appointment of new staff
or volunteers (including agents, contractors and subcontractors). Providers will be
expected to meet the costs associated with this screening.
The DCSI Screening Unit undertakes a comprehensive screening assessment which
includes conducting National Criminal History Record Check (NCHRCs) submitted
through CrimTrac and screening against Families SA child protection information,
DCSI Special Investigation Unit records and other publicly available information
regarding persons deemed not suitable to work with children.
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The Australian standards suggest that NCHRCs should be valid for three years,
however this may vary depending on the organisation and the risk posed to children
or vulnerable adults. Due to the high risk nature posed to children, service provider
staff and volunteers should be required to undergo a background screening and
criminal history check at least every three years. Should a person working with
children or vulnerable adults, be found guilty of a serious offence in the interim,
providers should include in their policies a requirement for staff and volunteers to
notify employers of such an incident where it may affect their eligibility to continue
working with children and vulnerable adults.
The LTA may use the DCSI Screening Unit to undertake criminal screening
assessments.
9. Restrictive Practices
9.1. Current Arrangements
DCSI is developing a suite of Safeguarding People with Disability policies including
consideration of the proposed ‘National Framework for Reducing the Use of Restrictive
Practices in the Disability Sector in developing a Management of Restrictive Practices’ policy. It
is expected that these policies will be available prior to launch.
9.2. Future arrangements for Launch
Pending policy review by DCSI, further work is required to determine how restrictive practices
will operate during launch.
10. Other State Government Entities:
A number of other quality assurance and safeguard arrangements operate, in particular those
arising from the legislative obligations of the entities below:
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Community Visitors Scheme
Council for the Care of Children
Child Death and Serious Injury Review Committee
Equal Opportunity Commission
Department for Education and Child Development, Families SA
Guardianship Board of South Australia
Motor Accident Commission
Office of the Public Advocate
Office of the Guardian of Children and Young People
Public Trustee
South Australian Health and Community Services Complaints Commissioner
(HCSCC)
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State Ombudsman of South Australia
DCSI will identify the existing State Government procedures and working arrangements that
ensure current State Government staff and disability service providers are aware of and
comply with these legislative provisions. These procedures will then be incorporated into the
LTA operating guidelines and information for providers registered with the LTA.
11. Implementation of these working
Arrangements
Between March and June 2013, the LTA will work with DCSI and other South Australian
Government departments to establish business processes and operational guidelines as
required giving effect to these working arrangements. Particular focus will be in the areas of
complaints management, incident management, child safe environments and mandated
reporting, and registration. These business processes and operational guidelines will be
reviewed and refined if necessary during launch, at a minimum annually.
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