Quality Assurance and Safeguards
Working Arrangements for the
Launch of the NDIS in Victoria
As agreed between the
Commonwealth of Australia and
Victoria
As at 6 May 2013
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Contents
1.
Background ................................................................................................................................. 3
2.
Guiding Principles........................................................................................................................ 3
3.
Launch Site Specific Considerations ............................................................................................ 3
4.
Service Provider Requirements ................................................................................................... 4
4.1
Existing arrangements for Victorian disability service providers............................................ 4
4.2
Victorian Disability Service Providers ..................................................................................... 5
4.3
Commonwealth Funded Disability Services ............................................................................ 6
4.4
Arrangements for other existing providers ............................................................................ 6
4.5
Arrangements for other new providers during launch ........................................................... 6
4.6
Activities to implement this arrangement .............................................................................. 7
5.
Incident Management and Reporting and Complaints Management ........................................ 7
5.1
Existing Arrangements – Victoria ............................................................................................ 7
5.2
Existing Arrangements - Commonwealth ............................................................................... 8
5.3
Arrangements during Launch.................................................................................................. 9
6.
Quality Frameworks .................................................................................................................. 11
6.1
Existing Arrangements .......................................................................................................... 11
6.2
Arrangements during Launch................................................................................................ 11
7.
Child Protection......................................................................................................................... 13
7.1
Existing Arrangements .......................................................................................................... 13
7.2
Arrangements during Launch................................................................................................ 13
8.
Consumer Protection ................................................................................................................ 13
9.
Restrictive Practices .................................................................................................................. 14
10.
9.1
Existing Arrangements .......................................................................................................... 14
9.2
Arrangements during Launch................................................................................................ 14
External Accountability Arrangements ..................................................................................... 14
Implementation of these Working Arrangements .......................................................................... 14
1. Background
Part 3 of the NDIS Bill requires certain service providers to be registered with the Launch
Transition Agency (the Agency).
Part 3 of the NDIS Bill provides that the NDIS rules may make provision in connection with the
approval of persons or entities as registered providers of supports, including by prescribing
criteria relating to:
A. Compliance with prescribed safeguards; and
B. Compliance with prescribed quality assurance standards and procedures
With regard to compliance with prescribed safeguards and quality assurance standards and
procedures, the agreed policy intent is reflected in Clause 15 of the Bilateral Agreement
between Victoria and the Commonwealth dated 7 December 2012, which states that for
launch:
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The existing Victorian quality assurance and safeguards framework as set out in
Appendix C will apply in the Barwon launch site as it applies to the relevant new and
existing funded client support programs for the launch.
Victoria will continue its existing approach to the quality assurance of Victorian
service providers subject to legislative and contractual arrangements.
Victoria will identify details of the existing client support programs in the Barwon
launch site and provide this information held by departments to the Agency for the
purposes of registering providers.
Effective working arrangements between Victoria and the Agency to ensure
appropriate management and monitoring against these quality assurance frameworks
will be developed and agreed by mid-February 2013.
This Schedule acknowledges and sets out the agreed working arrangements between Victoria
and the Agency to ensure appropriate management and monitoring against the existing
Victorian quality assurance and safeguards framework identified in Appendix C of the Bilateral
Agreement.
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 in
interacting with the Agency are not overly arduous but that they do ensure appropriate
standards for individuals particularly where risk for the individual is identified.
3. Launch Site Specific Considerations
Clause 4b of the Bilateral Agreement provides for a commitment that:
“There will be no diminution of Victoria’s quality assurance system and safeguards”.
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Accordingly, the following arrangements have been agreed to ensure that the strengths of the
existing systems are recognised and that there is evidence of a consistent framework and
requirements for providers in their dealings with the Agency.
4. Service Provider Requirements
The Victorian government has confirmed that the arrangements documented in Appendix C of
the Bilateral Agreement identified by the Victorian government apply to service providers
involved in the delivery of the existing Victorian client support programs detailed below:
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Disability services
Early childhood intervention services
Home and community care services
Psychiatric Disability Rehabilitation and Support Services
Transport services
The Agency will contact the Victorian government departments providing the above client
support programs and will develop working arrangements for launch and where required will
develop MoUs.
4.1 Existing arrangements for Victorian disability
service providers
In this document, reference to ‘Victorian disability service providers’ is intended to have the
same meaning as in the Disability Act 2006 (Victoria). The Act defines a ‘disability service’ to
mean a service specifically for the support of persons with a disability which is provided by a
‘disability service provider’. The latter is defined to mean an entity registered as a disability
service provider under the Act or the Secretary of the Department of Human Services (DHS),
and as such also covers DHS in its capacity as a direct provider of disability services.
Registration is required in Victoria for entities that have a service agreement with the DHS to
deliver disability services. Entities that apply for registration are required to demonstrate
their capacity to deliver services in compliance with the Disability Act, including gazetted
standards.
Registration and renewal of registration is for a period of three years, unless revoked earlier.
In addition, disability service providers in Victoria are required to comply with a range of
operational policies through their service agreements. For example, service agreements with
the DHS include:
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Critical client incident management and reporting requirements
Reporting allegations of physical and sexual assault to the police
Fire safety requirements
Adverse events management guidelines
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In considering registration requirements for disability service providers that provide services
equivalent to Victoria’s existing disability client support programs, the Agency will determine
if the service provider is an existing Victorian disability service provider, an existing
Commonwealth service provider, or a new service provider.
4.2 Victorian Disability Service Providers
4.2.1 Arrangements for existing Victorian disability service providers
during launch
Victorian disability service providers providing services to NDIS participants in the Barwon
launch will continue to be subject to the Disability Act 2006 (Victoria) and DHS operational
policy. Those who are registered with DHS will be required to maintain registration with DHS
for the duration of the launch and this will be recognised for the purposes of registration with
the NDIS.
NDIS will recognise registration with DHS as meeting most of the requirements for registration
with NDIS that are set out in Part 3 of the NDIS Rules- Rules for registered providers of
supports. Existing Victorian disability service providers delivering supports to NDIS
participants will register with NDIS by completing an abridged Application Form giving ABN
and Bank details and agreeing to the Agency’s Terms of Business.
4.2.2 Arrangements for existing Victorian Disability Service
Providers to expand service provision during launch
Disability service providers registered with DHS who add a service activity or service site to
their registration need to inform DHS of these changes. This will expand the extent of the
External Review against the DHS Standards. DHS will then advise the Agency of any
changes to a provider’s service activity or service site.
4.2.3 New Victorian disability support 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 to ensure that these new
providers meet the standards required of the Victorian government and those envisaged by the
NDIS Bill.
The NDIS will advise new disability service providers to apply to the Secretary of DHS for
registration under the Disability Act 2006 (Victoria). Using her power under this Act, and where
appropriate, the Secretary will grant registration in accordance with the Act and will specify as
a condition of registration that the provider must meet all of DHS’ current requirements of
disability service providers, including those that exist under existing DHS operational policies
Once the provider obtains Victorian registration, the provider will then need to confirm
registration with the NDIS by completing the abridged Application Form to NDIS, giving ABN
and Bank details and agreeing to the Agency’s Terms of Business.
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4.3 Commonwealth Funded Disability Services
4.3.1 Arrangements for existing providers of Commonwealth funded
services during launch
Existing Commonwealth disability services registration and funding arrangements will be
recognised by the Agency. These providers will continue to comply with the existing quality
and safeguards arrangements (including complaints mechanisms, up to the Commonwealth
Ombudsman at the highest level) under the Disability Services Act 1986 (Commonwealth).
4.3.2 Arrangements for new providers of existing Commonwealth
funded services during launch
As above
4.3.3 Arrangements for existing Commonwealth funded services to
expand their services
If current Commonwealth funded providers intend to expand support types they will need to
apply directly to the NDIS and meet the Commonwealth’s registration requirements.
4.4 Arrangements for other existing providers
The LTA will enter into MOUs or some other arrangements with the Department of Education
and Early Childhood Development, the Department of Health and other Victorian departments,
as applicable, to ensure that all existing and relevant non disability quality and safeguards
requirements remain in place for the launch and that processes to coordinate the timely
sharing of complaints and serious incidents, as required, are in place.
4.5 Arrangements for other new providers during
launch
It is expected that the NDIS will attract new providers currently not registered under the existing
state or Commonwealth arrangements and the following arrangements have been agreed.
New providers not covered by support types that meet DHS registration requirements (or
who are not covered under a MoU with another Victorian government department) can
register directly with NDIS. The NDIS Bill (2012) sets out process for registration for
providers. The Bill requires that the CEO be satisfied that an applicant meets criteria
prescribed by the rules. For registration with the NDIS, providers:
 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
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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
Are suitable entities to provide the kinds of supports, or to manage funding of
supports given their qualifications, approvals, capacity and experience
4.6 Activities to implement this arrangement
To ensure that service providers understand how the launch arrangements will work, the
following arrangements have been agreed:
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DHS and the LTA will jointly write to all current Victorian registered disability service
providers in the launch location to advise that the organisation’s registration for
disability service delivery in Victoria will also constitute registration for the NDIS. The
service provider will then need to confirm registration with NDIS, by completing the
abridged Application Form giving ABN and Bank details and agreeing to the Agency’s
terms of Business.
The LTA 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 abridged Application Form, giving ABN and bank account details to
the Agency and agreeing to the Agency’s terms of Business.
The NDIS will publish a list of NDIS registered providers in Barwon launch site
Information will be prepared for providers by the LTA and DHS detailing reporting
requirements for providers, in particular that all notifiable incidents and reports made
by Victorian registered disability service providers continue to DHS and these will
constitute a notification by those providers to the Agency as required by Part 4 of the
NDIS Rule for Registered Providers.
5. Incident Management and Reporting and
Complaints Management
5.1 Existing Arrangements – Victoria
The Disability Act 2006 (Victoria) requires all disability service providers to establish and
operate a complaints system to receive and resolve complaints about the services they
provide.
The Act provides for an independent and accessible process for dealing with complaints
about disability services through the appointment of a Disability Services Commissioner.
The functions of the Disability Services Commissioner include the investigation and
conciliation of complaints relating to disability services, review and identification of the
causes of complaints and an annual report to Parliament.
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The DHS has processes for the reporting and managing of serious incidents that involve or
impact on clients. These requirements are detailed in the DHS Critical Client Incident
Management Instruction 2011. It is expected that all Victorian disability service providers will
continue to follow these procedures through launch.
In addition to the Disability Act 2006 (Victoria) for Victorian disability service providers, and
the Disability Services Act 1985 (Commonwealth) for Commonwealth funded providers,
launch providers are subject to quality and safeguards regimes established in other Victorian
legislation as outlined in Appendix C of the Bilateral Agreement. All such legislation will
continue to apply during the launch in the usual way.
In some instances, non-disability service providers have safeguard obligations that are
embedded in operational policy only. For example, Victorian early childhood providers are
required by their service agreement with the Department of Education and Early Childhood
Development (DEECD) to report ‘issues of concern’ (suspected neglect or abuse) to DEECD.
Another example is that agencies funded to provide certain health services, such as
Psychiatric Disability Rehabilitation and Support Services (PDRSS) and Home and
community care (HACC) services, are required as part of their service agreement with the
Department of Health to comply with the Department of Health Incident Reporting Instruction
2010, available at http://www.health.vic.gov.au/divisions/hhsp/incidents.htm.
5.2 Existing Arrangements - Commonwealth
Throughout the different Commonwealth programs service providers are required to have an
effective Complaints Management system and complaints handling procedures in place. If
matters are not able to be resolved complaints can be forwarded to the relevant department for
further investigation.
The Commonwealth also funds the Complaints Resolution and Referral Service (CRRS).
Supported employees/participants who are not satisfied with their service provider's internal
complaints and disputes mechanisms can contact the Complaints Resolution and Referral
Service. The CRRS operates a free call hotline, which is run in conjunction with the National
Disability Abuse and Neglect Hotline.
The National Disability Abuse and Neglect Helpline - is a telephone service for reporting cases
of neglect and abuse of people with disability in the community. If a caller reports abuse or
neglect the in any situation, the Hotline will refer the report to an agency able to investigate or
otherwise address the report, such as an ombudsman or complaints-handling body. The
Hotline provides support to callers on how a complaint about abuse and neglect might be
raised and resolved at the local level.
The various Commonwealth disability service complaints processes that are in place will
operate through launch. The Complaints Resolution and Referral Service and the National
Disability Abuse and Neglect Helpline will continue to operate through launch and complaints
or incidents concerning LTA staff can be directed through these services.
The Commonwealth Ombudsman can investigate complaints about the actions and decisions
of Australian Government agencies actions and decisions to see if they are wrong, unjust,
unlawful, discriminatory or unfair. The Ombudsman also seeks remedies for those affected by
administrative deficiencies, and acts to improve public administration.
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The Ombudsman has strong investigatory powers. If required, officers working in government
agencies must produce documents, and answer questions under oath during Ombudsman
investigations.
5.3 Arrangements during Launch
5.3.1 LTA Complaints Management and Serious Incident
Management and Reporting processes
During launch the LTA will have a complaints management system for:
 Participants, providers or the wider community to lodge concerns about Agency staff
 Participants or others to lodge concerns about providers registered with the NDIS
(excluding Victorian disability service providers as these providers will be covered by
the Victorian complaints machinery and where applicable, service providers covered
by an MOU/other arrangement between the LTA and a Victorian government
department, as referred to in section 4.4)
The NDIS complaints management system will draw upon best practice in complaints
management such as the Commonwealth Ombudsman’s Better practice guide to complaint
handling. The Agency will:
 Receive complaints about the LTA or supports provided through the NDIS directly or
through the Complaints Resolution and Referral Service
 Use data from the complaints and review process to examine policy and practices to
improve the delivery of the scheme
 Report on the nature of these complaints and the changes made in response to these
processes in the Agency annual report and other reports agreed under the Integrated
Performance Reporting Framework
 The LTA will have serious incident reporting procedures for providers (excluding
Victorian disability service providers as these providers will be subject to DHS
serious/critical incident reporting procedures) to ensure that affected participants are
supported in a timely and effective manner and that these incidents are investigated
thoroughly
 Reports of serious incidents can also be made through the National Disability and
Abuse and Neglect Hotline
 The LTA will establish arrangements for all-hours crisis service provision to ensure
that participants’ needs will be managed in line with the supports agreed in
participants’ plans or determined as a result of incident investigation and resolution.
 The Commonwealth Ombudsman is the external complaints mechanism for
Commonwealth government agencies. Complaints against the LTA can be directed to
the Commonwealth Ombudsman who has the power to investigate complaints
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5.3.2 Coordination of NDIS and other existing Victorian government
processes
During the launch the Agency will work in conjunction with other existing Commonwealth and
State Government complaints management and incident management systems to provide an
integrated approach for participants.
In relation to DHS, the process will allow for:
 The timely sharing of information about complaints and serious/critical client incidents
between the LTA and DHS including the outcomes of investigations into these
complaints and incidents
 Complaints and serious incidents raised with the NDIS with respect to the provision of
disability supports provided by Victorian disability service providers will be referred to
DHS. If the serious incident requires urgent supports, the NDIS will address these
needs through crisis responses and/or time-limited additional resources in order to,
at a minimum, maintain continuity of the supports agreed in participants’ plans, as
well as provide any additional supports as required.
 Complaints and serious incidents concerning NDIS direct service staff or NDIS
registered providers that are not registered by DHS and are therefore not covered by
the state complaints management scheme and/or incident management and reporting
processes will be managed by the LTA
 DHS will investigate serious/critical incidents concerning Victorian disability service
providers and will work with the LTA to ensure that affected participants are
supported in a timely and effective manner and that these incidents are investigated
thoroughly.
 The LTA will provide information on the role of the Disability Services Commissioner
to ensure that participants of the NDIS are aware of this avenue for resolution of
complaints against Victorian disability service providers. (Note Victorian disability
service providers are also obliged to advise clients of their rights to complain to the
Disability Services Commissioner).
In relation to the Department of Education and Early Childhood Development, the
Department of Health and other Victorian government departments, arrangements for the
coordination of the existing complaints and serious/critical incident reporting and
management processes of those departments with LTA processes will be detailed in the
MOUs or other arrangements between the LTA and those departments referred to in
section 4.4.
5.3.3 Sharing of complaints and serious incidents
The LTA and DHS will work together to resolve complaints and incidents promptly and
collaboratively. This will include immediate contact and action if required to ensure continuity
of participants’ supports and regular meetings between the LTA and DHS and other Victorian
departments as required will occur to share feedback on outcomes of complaints and serious
incidents within the launch site. This will ensure that complaints and incidents are resolved
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effectively and information shared between DHS (and other Victorian governments, as
required) and LTA to facilitate continual improvement in service delivery in the launch, and to
provide DHS (and other Victorian government departments, as required) with information on
service providers that may be working in other areas as well as in Barwon.
6. Quality Frameworks
6.1 Existing Arrangements
The Disability Act 2006 (Victoria) requires the Minister to determine standards to be met in
the provision of services and supports under the Act. These may be in relation, but not
limited to: service delivery, support plans, complaints and information management and
privacy and confidentiality.
DHS integrated its current program standards and independent reviews into one approach,
known as the Department of Human Services Standards. It is understood that these
standards will be mapped to the revised National Standards for Disability Services.
Victorian disability service providers are required to meet the DHS Standards. Service
providers in scope for independent review need to:
 Demonstrate compliance with the DHS Standards and the governance and
management standards of an approved review body.
 To be independently reviewed by a department-endorsed independent review body
once in every three years.
 Gain and maintain their accreditation/certification with their independent body.
Victorian HACC funded organisations are independently reviewed triennially to ensure that
they are complying with the Community Common Standards, and other HACC program
requirements (such as the National HACC Complaints Policy) and Department of Health
requirements (such as incident reporting requirements).
The Agency will work with Commonwealth government programs to recognise their current
quality assurance arrangements and ensure that these arrangements remain in place during
the launch. Examples of these quality assurance arrangements are the Commonwealth
Disability Enterprises and Employment Services are required to have a quality assurance
system in place and undertake independent assessment to certify they comply with the
Disability Service Standards.
6.2 Arrangements during Launch
It has been agreed that the existing Victorian quality assurance and safeguards framework
will continue to apply in the Barwon launch site and will apply to relevant new funded
participant support programs for the launch.
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Existing DHS services and DHS funded services will need to continue to demonstrate their
compliance with the Department of Human Services (DHS) Standards and gain and maintain
their accreditation/ certification with their independent review body.
New providers to the NDIS who are not DHS funded service providers who are offering
similar service types that require DHS registration and compliance with DHS standards will
be required to demonstrate their compliance with DHS Standards and gain and maintain their
accreditation / certification with a DHS approved independent review body.
Existing Victorian HACC service providers will need to continue to demonstrate their
compliance with the Victorian HACC funded organisations are independently reviewed
triennially to ensure that they are complying with the Community Common Standards, and
other HACC program requirements.
Existing Commonwealth disability enterprises and employment services will be required to
continue to comply with the requirements for independent assessment to certify their
compliance with the Disability Service Standards.
6.2.1 LTA internal Quality Assurance Arrangements
The LTA is developing quality management processes that will be assessed both internally and
externally. The Agency will aim to have 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
 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 Agency
6.2.2 Future Arrangements
There is a commitment from the Commonwealth, state and territory governments to work to
develop a nationally consistent quality management framework in the longer term. This will
be underpinned by the National Standards for Disability Services which will implemented by
the LTA.
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7. Child Protection
7.1 Existing Arrangements
The Working with Children Act 2005 (Vic) requires that people who engage in paid or
voluntary child-related work need a WWC Check and some of these people will qualify for an
exemption.
The Children, Youth and Families Act 2005 (Vic) authorises certain professionals to share
information with child protection and family services about vulnerable children and families. It
also sets out the statutory requirements of mandatory reporting to the Child Protection
service. Professionals involved with vulnerable children, young people and their families,
including families with an unborn child, may consider they should report or refer a concern to
either Child Protection or Child FIRST.
7.2 Arrangements during Launch
The NDIS will operate in a manner consistent with the Children, Youth and Families Act 2005
(Victoria) which has provisions regarding mandatory reporting of suspected abuse or neglect
of children.
All NDIS support providers will be expected to comply with State regulations regarding preemployment screening including National Criminal checks and Working with Children
Checks. NDIS support providers will be expected to meet the costs associated with this
screening.
8. Consumer Protection
In addition to the quality assurance and safeguards arrangements described in this
document, participants in the launch (as consumers with a disability) are also protected
under the Australian Consumer Law that applies in both Victoria and the Commonwealth.
The Australian Consumer Law provides a number of consumer guarantees for consumers
buying goods and services. These guarantees include a guarantee that the service will be
provided with due care and skill and will be provided within the agreed time or if a time is not
stipulated, provided within a reasonable time.
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9. Restrictive Practices
9.1 Existing Arrangements
A small number of people with disability are subject to restrictive interventions (such as
restraint or seclusion) or to compulsory treatment, due to the harm they pose to themselves
or others. The Disability Act 2006 (Victoria) provides strong requirements to ensure that the
rights of these people are protected.
The Senior Practitioner within DHS has core responsibility to protect the rights of people with
a disability subject to restrictive interventions and compulsory treatment.
9.2 Arrangements during Launch
The Agency will work with the DHS to further understand the current Restrictive
practices operating through DHS and work to design appropriate operational guidelines for
Agency staff and providers registered with the NDIS.
10. External Accountability Arrangements
The LTA acknowledges the need to design Agency staff and provider accountability under the
NDIS in a manner that aligns to current arrangements for compliance with external
accountability provisions that are outlined in Schedule B, Appendix C of the Bilateral
Agreement.
The LTA will operate to ensure that there will be no diminution of Victoria’s quality assurance
system and safeguards. To achieve this, the LTA will work with DHS, Victorian statutory
authorities and other Victorian state government departments to apply all existing disability and
relevant non disability quality and safeguards requirements.
Implementation of these Working Arrangements
Between March and June 2013, the LTA will also work with DHS and other Victorian
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 launch, at a minimum
annually.
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