Notice of access refusal decision (s 26)
Dear Mr Lakshman
Freedom of information request no 13/14-001
This notice is to provide you with the decision on your request under the
Freedom of
Information Act 1982 (FOI Act).
Summary
I, Michael Sassella, Special Counsel, DisabilityCare Australia, am an officer authorised
under section 23(1) of the FOI Act to make decisions in relation to FOI requests.
On 17 August 2013, you requested access to a copy of the assessment tool being used by
DisabilityCare Australia to assist in deciding on a participant’s reasonable and necessary
supports. Specifically you sought access to:
“… a copy of the assessment tool being used by DisabilityCare Australia in the
DisabilityCare Australia trial sites to assess disabled persons support needs and
other needs that wil be provided to disabled people by DisabilityCare Australia.”
Your request was acknowledged on 30 August 2013.
I identified two documents which fell within the scope of your request. I did this by
consulting with the relevant officers within DisabilityCare Australia who may be able to
assist with the location of the documents.
The attached schedule of documents provides a description of each document that falls
within the scope of your request and the access decision for each of those documents.
I have decided to refuse access to the documents.
More information, including my reasons for decision, are set out below.
DECISION AND REASONS FOR DECISION
With regard to the documents identified in the attached schedule, I have decided:
to refuse access to document 1 under section 47E of the FOI Act (
Public interest
conditional exemptions – certain operations of agencies) as providing access would
be contrary to the public interest; and
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
to refuse access to document 2 under section 47E of the FOI Act (
Public interest
conditional exemptions – certain operations of agencies) as providing access would
be contrary to the public interest
Material taken into account
I have taken the following material into account in making my decision:
the content of the documents that fall within the scope of your request;
the FOI Act (specifically sections 3, 11A, 11B and 47E);
the guidelines issued by the Australian Information Commissioner under section
93A of the FOI Act;
the
National Disability Insurance Scheme Act 2013;
Ascic and Australian Federal Police [1986] AATA 108;
Re Crawley and Centrelink [2006] AATA 572; and
the Productivity Commission’s Report,
Disability Care and Support – Productivity
Commission Inquiry Report Overview and Recommendations (No 54, 31 July 2011)
The schedule indicates each document to which access is refused. My reasons for refusing
access are given below.
Public interest conditional exemption – certain operations of agencies
The documents that fall within the scope of this request are the tools used by DisabilityCare
Australia to assess support needs for people with disability.
DisabilityCare Australia uses two (2) tools for assessing the support needs of people with
disability. One of the assessment tools is used for adults and the other is used for children.
Under section 47E of the FOI Act:
A document is conditionally exempt if its disclosure under this Act would, or could
reasonably be expected to, do any of the following:
(a)
prejudice the effectiveness of procedures or methods for the conduct
of tests, examinations or audits by an agency;
(b)
prejudice the attainment of the objects of particular tests,
examinations or audits conducted or to be conducted by an agency;
…
(d)
have a substantial adverse effect on the proper and efficient conduct
of the operations of an agency
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
The assessment tools contain material that, if released, would or could prejudice the
effectiveness of procedures or methods for the conduct of assessments by an agency,
prejudice the attainment of the objects of particular tests, examinations or audits conducted
by an agency and have a substantial adverse effect on the proper and efficient conduct of
the operations of the agency. The conditional exemption applies to both documents in the
attached schedule (i.e.: the adult and child assessment tools).
The assessment tools are used to determine the type of reasonable and necessary
supports a participant may receive under the National Disability Insurance Scheme. They
are not a ‘question and answer’ document that participants go through with DisabilityCare
Australia planners. Rather, each is a document that planners complete as part of a detailed
planning discussion, enabling the agency to work with its actuary to identify an appropriate
reference package which dictates the level of delegate within the agency who must
consider the approval or rejection of a proposed package of funded care for a participant.
The widespread release or publication of the assessment tools could lead to inaccurate
assessment results being obtained. For example, participants could be coached to pre-
prepare their responses to questions that could compromise the integrity of the assessment
process and skew the results in ways inconsistent with the purposes of, and policy behind,
the legislation. Additionally, disclosure of the assessment processes may encourage
fraudulent conduct where participants provide misleading responses to DisabilityCare
Australia planners to obtain unjustified supports which would erroneously be described as
reasonable and necessary supports.
The conditional exemption in section 47E(b) refers to attainment of the objects of particular
tests conducted by an agency. Section 3 of the
National Disability Insurance Scheme Act
2013 (the Act) sets out the objects of the Act and includes (amongst others) to provide
reasonable and necessary supports for participants in the National Disability Insurance
Scheme launch. Section 3(3) of the Act provides that in giving effect to the objects of the
Act, regard is to be had to the need to ensure the financial sustainability of the National
Disability Insurance Scheme. As noted already, if the assessment tools are released, it may
lead to participants constructing their answers to the agency’s questions to receive
unjustified supports. Providing unnecessary supports to participants could prejudice the
need for a financially sustainable national disability insurance scheme over the medium
term.
Section 47E(d) provides that a document may be conditionally exempt if its release would
have a substantial adverse effect on the proper and efficient conduct of the operations of
an agency. I consider that disclosing the assessment tools would have a substantial
adverse effect on the proper and efficient conduct of the operations of DisabilityCare
Australia. In particular, there is a considerable risk that disclosing the assessment tools will
cause unavoidable expense and may require the agency to devise alternative assessment
tools to redress the situation.
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
Accordingly, I am satisfied that disclosure of the documents falls within the scope of the
conditional exemption for certain operations of agencies (section 47E). Under the FOI Act,
access to a document covered by a conditional exemption must be provided unless it would
be contrary to the public interest. My consideration of the factors favouring disclosure as
against those leaning against disclosure follows.
As already discussed, I consider that a significant risk of real harm to DisabilityCare
Australia’s administration of the scheme could reasonably be expected from disclosure of
the documents. Disclosure of the assessment tools is likely to prejudice the effectiveness,
and the objects, of the assessment process and could have a substantial adverse effect on
the operations of the agency. To deal with the risks it is conceivable that the agency may
have to spend undue time and cost in maintaining several versions of the assessment tools
to ensure gaming of the assessment process does not occur.
I recognise that a factor favouring disclosure is that the release of the assessment tools
would help to inform the community of the Government's operations, including, in particular,
the policies, rules, guidelines, practices and codes of conduct followed by the Government
in an important area of activity in its dealings with members of the community. This is
important, particularly in the context of the objects of the FOI Act.
However, in my view, the factors against disclosure of the document outweigh the factors in
favour of disclosure. The overwhelming public interest is in maintaining the confidentiality of
the material in order to preserve the effectiveness of the assessment and the assessment
process. The Productivity Commission’s Report,
Disability Care and Support – Productivity
Commission Inquiry Report Overview and Recommendations (No 54, 31 July 2011) which
recommended a national disability insurance scheme, noted in its recommendations that
the assessment tools should be valid and reliable, relatively easy to administer and exhibit
low susceptibility to gaming (see page 70 and page 317 of the full Report). The Productivity
Commission noted that those making an assessment would need to be properly trained in
the use of the assessment tools and would need to be appointed by DisabilityCare
Australia for the purpose of conducting the assessments (see page 20). Finally, the
Productivity Commission also considered that an assessment tool does not need to be in
the public domain (see page 319 of the full Report).
Accordingly, I am satisfied that the document is conditionally exempt under section 47E of
the FOI Act and that disclosure would, on balance, be contrary to the public interest.
I recognise that you may be disappointed by this decision. However, I am enclosing for
your information other agency material that you may find of interest relating to the
assessment process. This information is at Annexure 3 to this letter.
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
Your review rights
If you are dissatisfied with my decision, you can apply for internal review or review by the
Information Commissioner of the decision. If you wish to seek review we encourage you to
seek internal review as a first step as it may provide a more rapid resolution of your
concerns.
Under section 54 of the FOI Act, you may apply in writing to DisabilityCare Australia for an
internal review of my decision. The internal review application must be made within 30 days
of the date of this letter.
Where possible please attach the reasons why you believe the decision is incorrect. The
internal review will be carried out by a more senior officer who has had no involvement in
this decision and should be completed within 30 days.
If you are dissatisfied with my decision, you may instead apply for review by the Information
Commissioner.
Information Commissioner review
Under section 54L of the FOI Act, you may apply to the Australian Information
Commissioner to review my decision. An application for review by the Information
Commissioner must be made in writing within 60 days of the date of this letter, and be
lodged in one of the following ways:
online:
https://forms.australia.gov.au/forms/oaic/foi-review/
email:
xxxxxxxxx@xxxx.xxx.xx
post:
GPO Box 2999, Canberra ACT 2601
in person:
Level 3, 175 Pitt Street, Sydney NSW
More information about Information Commissioner review is available on the Office of the
Australian Information Commissioner website. Go to www.oaic.gov.au/foi-
portal/review_complaints.html#foi_merit_reviews.
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
Questions about this decision
If you wish to discuss this decision, please contact me on (02) 6146 4161 or by email to
xxxxxxx.xxxxxxxx@xxxxxxxxxxxxxxxxxxxxxxx.xxx.xx
Yours sincerely
Michael Sassella
Special Counsel
DisabilityCare Australia
13 September 2013
Annexures
Annexure 1: Schedule of documents
Annexure 2: Extracts from the FOI Act
Annexure 3: Further information from DisabilityCare Australia on the assessment
process
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
Annexure 1: Schedule of documents
Document
Date
Size
Description
Decision on access
Exemption
no.
Date
176 pages
Adult
Access is refused on the basis
Section 47E –
document
Assessment Tool
of one or more specific
Certain
created:
- DisabilityCare
exemptions
Operations of
1
May 2013
Australia
Agencies and
Section 11-
Contrary to the
public interest
Date
178 pages
Child
Access is refused on the basis
Section 47E –
document
Assessment Tool
of one or more specific
Certain
created:
- DisabilityCare
exemptions
Operations of
2
May 2013
Australia
Agencies and
Section 11 –
Contrary to the
public interest
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
Annexure 2: Sections of the FOI Act
3 Objects—general
(1)
The objects of this Act are to give the Australian community access to
information held by the Government of the Commonwealth…by;
(a)
requiring agencies to publish the information; and
(b)
providing for a right to access to documents.
(2)
The Parliament intends, by these objects, to promote Australia’s
representative democracy by contributing towards the following:
(a)
increasing public participation in Government processes, with a view
to promoting better informed decision making
(a)
increasing scrutiny, discussion, comment and review of the
Government’s activities.
11A Access to documents on request
Scope
(1)
This section applies if:
(a)
a request is made by a person, in accordance with subsection 15(2),
to an agency or Minister for access to:
(i)
a document of the agency; or
(ii)
an official document of the Minister; and
(b)
any charge that, under the regulations, is required to be paid before
access is given has been paid.
(2)
This section applies subject to this Act.
Note:
Other provisions of this Act are relevant to decisions about access to documents, for
example the following:
(a)
section 12 (documents otherwise available);
(b)
section 13 (documents in national institutions);
(c)
section 15A (personnel records);
(d)
section 22 (access to edited copies with exempt or irrelevant matter
deleted).
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
Mandatory access—general rule
(3)
The agency or Minister must give the person access to the document in
accordance with this Act, subject to this section.
Exemptions and conditional exemptions
(4)
The agency or Minister is not required by this Act to give the person access
to the document at a particular time if, at that time, the document is an
exempt document.
Note:
Access may be given to an exempt document apart from under this Act, whether or
not in response to a request (see section 3A (objects—information or documents
otherwise accessible)).
(5)
The agency or Minister must give the person access to the document if it is
conditionally exempt at a particular time unless (in the circumstances)
access to the document at that time would, on balance, be contrary to the
public interest.
Note 1: Division 3 of Part IV provides for when a document is conditionally exempt.
Note 2: A conditionally exempt document is an exempt document if access to the document
would, on balance, be contrary to the public interest (see section 31B (exempt
documents for the purposes of Part IV)).
Note 3: Section 11B deals with when it is contrary to the public interest to give a person
access to the document.
(6)
Despite subsection (5), the agency or Minister is not required to give access
to the document at a particular time if, at that time, the document is both:
(a)
a conditionally exempt document; and
(b)
an exempt document:
(i)
under Division 2 of Part IV (exemptions); or
(ii)
within the meaning of paragraph (b) or (c) of the definition of
exempt document in subsection 4(1).
11B Public interest exemptions—factors
Scope
(1)
This section applies for the purposes of working out whether access to a
conditionally exempt document would, on balance, be contrary to the public
interest under subsection 11A(5).
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
(2)
This section does not limit subsection 11A(5).
Factors favouring access
(3)
Factors favouring access to the document in the public interest include
whether access to the document would do any of the following:
(a)
promote the objects of this Act (including all the matters set out in
sections 3 and 3A);
(b)
inform debate on a matter of public importance;
(c)
promote effective oversight of public expenditure;
(d)
allow a person to access his or her own personal information.
Irrelevant factors
(4)
The following factors must not be taken into account in deciding whether
access to the document would, on balance, be contrary to the public
interest:
(a)
access to the document could result in embarrassment to the
Commonwealth Government, or cause a loss of confidence in the
Commonwealth Government;
(aa)
access to the document could result in embarrassment to the
Government of Norfolk Island or cause a loss of confidence in the
Government of Norfolk Island;
(b)
access to the document could result in any person misinterpreting or
misunderstanding the document;
(c)
the author of the document was (or is) of high seniority in the agency
to which the request for access to the document was made;
(d)
access to the document could result in confusion or unnecessary
debate.
47E Public interest conditional exemptions—certain operations of agencies
A document is conditionally exempt if its disclosure under this Act would, or
could reasonably be expected to, do any of the following:
(a)
prejudice the effectiveness of procedures or methods for the conduct
of tests, examinations or audits by an agency;
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
(b)
prejudice the attainment of the objects of particular tests,
examinations or audits conducted or to be conducted by an agency;
(c)
have a substantial adverse effect on the management or assessment
of personnel by the Commonwealth, by Norfolk Island or by an
agency;
(d)
have a substantial adverse effect on the proper and efficient conduct
of the operations of an agency.
Note:
Access must generally be given to a conditionally exempt document unless it would
be contrary to the public interest (see section 11A).
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
Annexure 3: Further information from DisabilityCare Australia on the assessment
process
The determination of the supports that will be funded for participants by DisabilityCare
Australia is a multifaceted process that is not governed or dominated by any one
assessment tool and it is useful to explain the context of how support needs are
determined.
Once a person becomes a participant in the NDIS, they develop a plan with DisabilityCare
Australia. The plan comprises two parts:
the
participant’s statement of goals and aspirations, which is prepared by the
participant and specifies their goals, objectives, aspirations and context; and
the
statement of participant supports, which is prepared with the participant and
approved by the Agency, and sets out, among other matters, the supports that will
be funded by the NDIS.
The participant’s statement of goals and aspirations is central to the planning conversation
with DisabilityCare Australia. Knowing what a person would like to work towards in life is
the most important first step in preparing their plan and working out what supports might
help them to achieve those goals. The operational guideline, Planning and assessment –
Facilitating the Participant’s Statement of Goals and Aspirations
at Attachment 1 outlines
the process adopted by the Agency.
In summary, the Participant’s statement of goals and aspirations is designed to provide
DisabilityCare Australia with the context in which any supports will be based and is
considered equally important to the Agency in understanding the nature and importance of
any supports that are needed. Individuals are encouraged to consider current
arrangements or changes they would like to see in relation to:
living arrangements
regular activities, in particular social activities, study and work
current informal, community and government-funded supports and importantly,
what is working well in their life or not working so well.
We also ask participants to think about:
aspirations: how would they like their life to be in a few years from now?
goals: what are the most important things they would like to change or achieve
during the next few years?
objectives: working towards those goals, what specific things would they like to
change or achieve in the next year?
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
The second aspect in determining supports that might be needed is understanding the
impact of the person’s disability on their day to day life. The statement of participant
supports is finalised through the DisabilityCare Australia planning and assessment process
that is explained in Operational Guideline - Assessment of Participants’ Needs
(Attachment
2).
In summary, this process is designed to help the agency understand what a participant can
do and what they might need support with to undertake daily activities.
To make things easier and quicker for participants, the DisabilityCare Australia planner will
first review existing assessment information that the participant has and try not to ask for
further information that is already available.
At a minimum, this will require the DisabilityCare Australia planner to assess the person’s
access request form, their completed
My Access Checker, and any other assessment
information they have provided or consented the agency to access. This might include:
existing assessment reports from doctors or specialists
assessment information the person or their carer have provided to Australian
Government agencies such as Centrelink (for example, for the Carer Allowance,
Carer Payment or Disability Support Pension)
assessment information provided to state or territory government agencies or
prepared by their existing service providers or
other assessment-related information the person may consider is relevant and
useful in describing their support needs.
The DisabilityCare Australian Planning and Assessment Toolkit is an excel based data
gathering tool used to guide the conversation with a person about their strengths and their
goals and any supports they may need to enable them to progress their goals. The planner
is able to collect information on the support needs of a person against the activities of daily
living , namely;
self-care and special health care needs (for example, showering or bathing,
dressing, eating, toileting)
mobility (for example, getting in or out of bed or a chair, and moving around in your
home and community)
domestic life activities (for example, preparing meals, cleaning, housekeeping and
home maintenance)
communication (for example, being understood and understanding other people)
general tasks and routines (for example, daily tasks, managing daily routine, solving
problems, making decisions)
learning and applying knowledge (for example, understanding and remembering
information, learning new things, practicing and using new skills and ideas)
interpersonal interactions and relationships (for example, making and keeping
friends and relationships, coping with feelings and emotions)
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
community, social and civic life (for example, community activities, recreation and
leisure) and
education, training and employment.
There is a child version of this toolkit which includes the same structure as the adult version
with questions that are relevant to a child’s context and developmental needs, including any
developmental delay in areas such as motor and speech development. There are age
appropriate questions for all support needs.
The goal-based planning conversation will be informal and tailored to the specific needs of
the person. Discussion will range from general things, such as how the person usually
manages daily activities, to more specific questions about how much support the person
needs for certain tasks. The approach is very flexible allowing the person and the
DisabilityCare Australia planner to focus on what is relevant to the person.
The planner does not undertake any diagnostic or impairment assessment as part of this
conversation. DisabilityCare Australia does not diagnose medical conditions or disability,
nor does the agency rely solely on the existence of any such diagnosis to determine
support needs.
Indeed, the aim of the planning and assessment conversation is to build on the information
the person has provided to us to enable DisabilityCare Australia to:
understand the person’s strengths, abilities and opportunities for development;
confirm or develop their goals and aspirations; and
talk in detail about what the person can manage and what they need support with
for a range of important daily activities.
During this conversation the planner will also:
determine whether certain assessments might help us to understand the person’s
needs better -
o If this is the case, DisabilityCare Australia will refer the person to a specialist
and will pay costs associated with this referral.
identify the kind of assistive technologies, supports or services the person might
need to pursue their goals
discuss what is needed to maintain the informal support (including family and carer
support needs)
identify risks or urgent needs that are a priority and support decision making
capacity
discuss options to manage the person’s plan.
When the type of support a person needs is identified the planner will then consider these
in the context of their goals and aspirations and working closely with the participant identify
the types of supports that would assist the participant to achieve their goals.
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
The toolkits do not determine a score for the person nor determine resource allocation or
funding levels.
Finally, in determining supports that a person will be provided, the agency must also ensure
that supports are reasonable and necessary including the degree to which:
the support will assist the participant to pursue the goals, objectives and aspirations
included in the participant’s statement of goals and aspirations;
the support will assist the participant to undertake activities, so as to facilitate the
participant’s social or economic participation;
the support represents value for money in that the costs of the support are
reasonable, relative to both the benefits achieved and the cost of alternative
support;
the support will be, or is likely to be, effective and beneficial for the participant,
having regard to current good practice;
the funding or provision of the support takes account of what it is reasonable to
expect families, carers, informal networks and the community to provide;
the support is most appropriately funded or provided through the NDIS, and is not
more appropriately funded or provided through other service systems
The process adopted by the agency is explained in Attachment 3.
When combined, this planning and assessment approach is designed to ensure that each
and every individual who is eligible for the scheme is provided the opportunity to access
targeted, individualised general and funded supports that will help them progress their
goals.
The process is not constrained by limits to funding based on diagnostic assessments or
functional impairment scores. Supports that are provided are those that meet the
reasonable and necessary provisions of the legislation to ensure that people with a
disability are able to live a good life.
Implementation of this approach to date has generated a positive response from
participants to date. The agency will use feedback over time to refine this process. The
agency is also required to report to the Ministerial Council on the planning and assessment
process in December 2013 and this is likely to lead to further refinement.
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
Attachment 1
Planning and assessment – Facilitating the Participant’s
Statement of Goals and Aspirations
Legislation
1. Read ss.6, 17A and 33 of the NDIS Act 2013.
Approach
2. DisabilityCare Australia understands the importance of the participant’s statement of
goals and aspirations. It is to be the participant’s statement and is critical to the
development of a successful statement of participant supports. Choice and control are
to be maximised, communication is to be supported and assistance is to be provided to
help participants plan. Planners are to adopt a relationship-based approach to the
planning process.
See operational guidelines on General Conduct – Communicating with Participants and Others and
General Conduct – Assistance and Support.
Principles
3. Planner’s actions during the planning process are to be in accordance with the
principles set out in the NDIS Act. In particular:
a. People with disability are assumed, so far as is reasonable in the circumstances, to
have capacity to determine their own best interests and make decisions that affect
their own lives.
b. People with disability have the same right as other members of Australian society to
be able to determine their own best interests, including the right to exercise choice
and control, and to engage as equal partners in decisions that will affect their lives,
to the full extent of their capacity.
c. People with disability should be supported in all their dealings and communications
with DisabilityCare Australia so that their capacity to exercise choice and control is
maximised in a way that is appropriate to their circumstances and cultural needs.
See ss.17A and 4(8) of the NDIS Act.
Provide support during the planning process
4. If a participant wishes, planners are to facilitate support to help them prepare their
statement of goals and aspirations. This can include arranging support from a LAC,
planner or other DisabilityCare Australia resource. It may also include support from the
participant’s family or other natural supports. Where a participant requires significant
support DisabilityCare Australia may purchase that assistance externally.
See s.6 of the NDIS Act.
Adopt a relationship-based approach
5. Planners should adopt a relationship-based approach to the planning process with the
aim of building a sustainable, supportive relationship between DisabilityCare Australia
staff, participants and their supporters. This recognises that this process is not a
simple or single conversation but will be one that evolves and matures as the
participant progresses towards their agreed goals.
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
6. Planners are to tailor this approach to the individual recognising the diversity of
participants and to build capacity in those that need support to plan and participate in
the process.
The participant’s statement of goals and aspirations
7. The participant’s statement of goals and aspirations is the crucial first step in preparing
the participant’s plan and provides the foundation for the subsequent selection of
supports. DisabilityCare Australia provides a ‘planning kit,’ including a suggested
template, to all participants ready to enter the planning stages. DisabilityCare Australia
staff are to provide assistance and guidance where requested.
8. A participant’s statement of goals and aspirations is required by the NDIS Actto
specify:
a. the goals, objectives and aspirations of the participant; and
b. the environmental and personal context of the participant, including the participant’s:
i.
living arrangements; and
ii.
informal community supports and other community supports; and
iii.
social and economic participation.
See s.33(1) of the NDIS Act.
9. The participant’s statement of goals and aspirations can be in any form the participant
wishes. If the participant has an existing statement of goals and aspirations that
covers the information required by the NDIS Actthis statement can be used for
DisabilityCare Australia.
Statements do not have to be in writing
10. A participant’s statement of goals and aspirations does not have to be prepared by the
participant in writing. If a participant provided a statement that is not in writing but in
some other form, the planner is required to write the statements down and confirm with
the participant that their statement that is written down is true and accurate.
See ss. 7(2) 33(8) and 38 of the NDIS Act.
Strengths based planning
11. A strengths based approach is to be adopted by planners in supporting the participant
to create their statement of goals and aspirations. Strengths-based approaches focus
on the untapped gifts, positive attributes and underdeveloped capabilities of people
who have been in some way compromised in their abilities. Strengths-based
approaches actively find, direct and amplify a client’s capabilities and potential for
positive functioning.
12. For some existing clients of Commonwealth, State or Territory disability support
programs, this approach may be confronting and challenging and planners should not
attempt to force the scope and pace of this approach. The decision on how far to
pursue these ideals always remains with the participant.
Apply a strengths based approach to the planning principles
13. Planners should apply a strengths based approach as they apply the principles for
planning set out in the Act. As far as reasonably practicable the plan should:
a. be individualised; and
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b. be directed by the participant; and
c. where relevant, consider and respect the role of family, carers and other persons
who are significant in the life of the participant; and
d. where possible, strengthen and build capacity of families and carers to support
participants who are children; and
e. if the participant and the participant’s carers agree— strengthen and build the
capacity of families and carers to support the participant in adult life; and
f. consider the availability to the participant of informal support and other support
services generally available to any person in the community; and
g. support communities to respond to the individual goals and needs of participants;
and
h. be underpinned by the right of the participant to exercise control over his or her own
life; and
i. advance the inclusion and participation in the community of the participant with the
aim of achieving his or her individual aspirations; and
j. maximise the choice and independence of the participant; and
k. facilitate tailored and flexible responses to the individual goals and needs of the
participant; and
l. provide the context for the provision of disability services to the participant and,
where appropriate, coordinate the delivery of disability services where there is more
than one disability service provider.
See s.31 of the NDIS Act.
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Attachment 2
Planning and Assessment - Assessment of Participants’ Needs
Legislation
1. Read ss.17A, 31, and 33 - 34 of the NDIS Act 2013 and Part 4 of the NDIS (Support
for Participants) Rules 2013.
Assessment of a participant’s needs
2. In assessing needs the planner must work in partnership with the participant and those
around them. The conversation must take account of the goals to enable greater
participation and enable daily life. Planners must also take into account the
sustainability of natural supports and the opportunity to also build the capacity in
natural supports.
DisabilityCare Australia Planning and Assessment Toolkit
3. The CEO has approved the DisabilityCare Australia Adult Planning and Assessment
Toolkit and the DisabilityCare Australia Child Planning and Assessment Toolkit to be
used to help assist in making decisions about a participant’s supports by determining a
participant’s support needs.
See s.209(2A) of the NDIS Act 2013 and r.4.4 of the NDIS (Supports for Participants) Rules 2013.
4. In deciding whether to approve a statement of participant’s supports the delegate is
required to use the Assessment Tool and must consider all relevant assessments
available for the participant.
See s. 33(5)(b) of the NDIS Act.
5. A participant may choose not to engage in a detailed planning conversation and instead
provide existing assessments of need. The planner should be guided by the participant
in how in depth the conversation is (and whether it takes place in person) and record
this preference in the participant record.
See operational guidelines on Planning and Assessment – The Planning Conversation and
Planning and Assessment – Facilitating the Participant’s Statement of Goals and Aspirations.
6. In addition to using the DisabilityCare Australia Planning and Assessment Toolkit
delegates may also consider it necessary to obtain a specialist needs assessment for
very complex needs.
Preparing for the later decision
7. The goal based planning conversation and needs assessment are part of the process
which leads to a delegate making a decision under s. 33(2) to approve a plan. During
the needs assessment delegates are to keep in mind the criteria in the legislation that
they will have to apply later when making the plan decision. These criteria are:
a. The things that must be specified in a plan (set out above - see s.33(1) and (2));
and
b. The things that must be done when deciding whether to approve a statement of
participant’s supports. These are set out below and in s.33(5) of the NDIS Act and
r. 4.1 of the NDIS (Supports for Participants) Rules 2013.
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The Assessment Tool
8. The Assessment Tool involves the planner using a strength based approach to identify
support needs necessary to make progress on goals and aspirations. These questions
are designed to guide the conversation. They evaluate the areas, and nature of
support needed across ten domains. The Assessment Tool is structured in a way that
allows a more detailed consideration of need where any one of the 10 domains or core
areas of functional capacity is significantly and permanently impaired and identified by
the participant as presenting specific challenges that would need to be addressed to
enable them to achieve their goals and aspirations.
9. The 10 domains capture a range of important life functions including:
a. Learning and applying knowledge (e.g. understanding and remembering
information, learning new things, practicing and using new skills and ideas).
b. General tasks and demands (e.g. doing daily tasks, managing daily routine,
handling problems, making decisions)
c. Communication (e.g. being understood and understanding other people).
d. Mobility (e.g. getting in or out of bed or a chair and moving around in your home and
community)
e. Self-care and special health care needs (e.g. showering/bathing, dressing, eating,
toileting)
f. Domestic life activities (e.g. preparing meals, cleaning, housekeeping and home
maintenance)
g. Interpersonal interactions and relationships (e.g. making and keeping friends and
relationships, coping with feelings and emotions)
h. Community, social and civic life (e.g. community activities, recreation and leisure)
i. Education and training;
j. Employment.
10. The Assessment Tool is designed to be used flexibly. The sections can be completed
in an order which best suits the participant and the progress of the conversation,
enabling the planner to ask questions only about areas where the participant needs
support and those supports needed to make progress on goals. The introductory
section is used to stimulate discussion and each section has initial ‘screening’
questions to assist the planner in determining whether more detailed questions need to
be asked. The planner uses the tabs to move around the toolkit sections without
breaking the flow of the conversation with the participant. Supports may include
funded supports and identify natural and community supports and linkages to supports
and services available from other systems.
11. Planners are expected to use their professional judgement in determining the depth of
the discussion and the pace of this discussion. Planners are to
a. Consider information provided by the participant about existing functional needs,
use this to populate the assessment tool and confirm the understanding of this
existing assessment with the participant
b. Conduct a brief assessment of all functional needs in relation to activities of daily
living and participation restrictions across all 10 domains.
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c. Determine that no questions are required in any specific domain if not relevant to
the individual
d. Explore specific domains in more detail if and where indicated by the brief
assessment or requested by the participant
12. In undertaking the assessment, the planner must pay particular attention to
vulnerabilities and safeguards and supports required to sustain informal care.
13. At the completion of the assessment conversation, the planner should be confident that
they can draw together the person’s needs and preferences for supports and services
to meet their goals and summarise key strengths and abilities.
Existing information and assessments
14. Where possible, and where the participant consents to DisabilityCare accessing
existing information and assessments, existing information and assessments should be
used to prepopulate the appropriate DisabilityCare Australia Planning and Assessment
Toolkit prior to the conversation and guide what further information is required. This
consent may have been obtained at the time the Access Request Form was submitted.
15. Planners should seek to minimise the number of times a participant (or their
supporters) need to provide information already available and reduce the overall
assessment burden for the individual. This should be balanced with the fact that older
assessments may not accurately reflect the participant’s current support needs.
16. This existing assessment information may be in the form of:
a. Pre-existing assessment reports from specialist clinicians
b. Assessment information provided by the participant and/or the participant’s carer to
Australian Government agencies such as Centrelink (e.g. for the purposes of Carer
Allowance, Carer Payment or Disability Support Pension)
c. Assessment information provided to state/territory government agencies
d. Assessment information provided to or prepared by participants’ existing service
providers
e. Other assessment-related information the participant considers is relevant and
useful in describing their support needs.
Requesting a specialist needs assessment
17. Delegates can make a decision to request that a participant undergo a specialist
assessment for the purposes of preparing a statement of participant supports. The
request can be that a participant do either, or both, of the following:
a. Undergo an assessment and provide to the delegate the report, in the approved
form, of the person who conducts the assessment;
b. Undergo, whether or not at a particular place, a medical, psychiatric, psychological
or other examination, conducted by an appropriately qualified person, and provide
to the delegate the report, in the approved form, of the person who conducts the
examination.
See s.36 of the NDIS Act 2013.
18. All requests to require a participant to undergo an assessment or examination are to
be made by at least a Director of Service Delivery and in accordance with all
DisabilityCare Australia requirements.
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Deciding that a specialist needs assessment is required
19. In determining whether an additional specialist assessment is required for the
purposes of preparing or approving a statement of participant supports, the planner
can consider:
a. How the specialist assessment will assist in preparing and/or approving a statement
of participant supports, including the outcomes and nature of information expected
from the specialist assessment
b. The costs and benefits of referral for specialist assessment. For example, the cost
to DisabilityCare Australia and the time and incidental costs for the participant and
any carers. The benefits such as resolving gaps or inconsistencies in assessment
information, clarifying support needs where these are not obvious or readily
identifiable or recommending the types and amounts of interventions that may be of
most benefit for the participant
c. The type of specialist assessment that is most appropriate and relevant for the
participant
d. Independence and objectivity of the specialist assessment. For example, avoiding
conflicts of interest in the selection of a specialist assessor for the participant
e. The format of report or specific information to be requested from the specialist
conducting the assessment
f. The practical aspects of arranging the specialist assessment. For example, which
specialist or agency will conduct the assessment, what is the expected waiting time,
what assistance does the participant and carers need to attend the specialist
assessment
g. Whether elements of the statement of participant supports will be prepared and/or
approved before the specialist assessment report is received.
Remember the obligations to explain and work in writing and other modes of
communication
20. The legislation requires that the contents of any notice, approved form or information
given under the NDIS Act or the NDIS Rules to a person with disability must be
explained by the DisabilityCare Australia staff member to the maximum extent possible
in the language, mode of communication and terms which that person is most likely to
understand. Wherever reasonably practical, the explanation must be provided orally
as well as in writing.
See s.7 of the NDIS Act and
operational guideline on General Conduct – Communicating with Participants and Others
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Attachment 3
Planning and Assessment – Supports in the Plan
Legislation
1. Read ss. 4, 13 and 34 of the NDIS Act 2013, the NDIS (Supports for Participants)
Rules 2013 and Part 6 of the NDIS (Plan Management) Rules 2013.
Principles
2. Reasonable and necessary supports for people with disability should:
a. support people with disability to pursue their goals and maximise their
independence; and
b. support people with disability to live independently and to be included in the
community as fully participating citizens; and
c. develop and support the capacity of people with disability to undertake activities that
enable them to participate in the mainstream community and in employment.
See s.4(11) of the NDIS Act.
3. People with disability should be supported to receive supports outside the
DisabilityCare Australia and be assisted to coordinate these supports with the supports
provided under DisabilityCare Australia.
See s. 4(14) of the NDIS Act 2013.
Provide support during the planning process
4. If a participant wishes, planners are to provide support and assistance, to participants
to help them prepare the plan. This will support participants to exercise choice and
control.
See s.6 of the NDIS Act.
The statement includes general and reasonable and necessary supports
5. The plan must include a statement of participant supports that specifies the general
supports that will be
provided to, or in relation to, a participant and the reasonable and
necessary supports that will be
funded.
See s. 33(2) of the NDIS Act.
Before including any support the delegate must apply a test to that support
6. Before specifying any general support, or reasonable and necessary support, in a
participant’s plan
the delegate must be satisfied of all of the following in relation to
each support:
a. the support will assist the participant to pursue the goals objectives and aspirations
included in the participant’s statement of goals and aspirations;
b. the support will assist the participant to undertake activities, so as to facilitate the
participant’s social and economic participation;
c. the support represents value for money in that the costs of the support are
reasonable, relative to both the benefits achieved and the cost of alternative
support;
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d. the support will be, or is likely to be, effective and beneficial for the participant,
having regard to current good practice;
e. the funding or provision of the support takes account of what it is reasonable to
expect families, carers, informal networks and the community to provide;
f. the support is most appropriately funded or provided through DisabilityCare
Australia, and is not more appropriately funded or provided through other general
systems of service delivery or support services offered by a person, agency or body,
or systems of service delivery or support services offered:
i.
as part of a universal service obligation; or
ii.
in accordance with reasonable adjustments required under a law dealing with
discrimination on the basis of disability;
g. the support is not a support mentioned in Part 5 of the Rules as a support that will
not be funded or provided by DisabilityCare Australia.
See s.34 of the NDIS Act 2013 and Part 5 of the NDIS (Supports for Participants) Rules 2013.
7. Each of these criteria is considered in further detail below.
Participants with an existing package of supports
8. When considering the criteria from s.34 of the NDIS Act in relation to each support
delegates are to also consider the context for participants who have existing supports
and how they will transition to the DisabilityCare Australia scheme.
9. A participant, who is currently receiving a package of supports under a State, Territory
or Commonwealth disability support programs may not wish to vary their current
supports. In this circumstance, delegates are to note that the participant has indicated
this preference. DisabilityCare Australia expects that, in almost all cases, these will
form the basis of the statement of participant supports.
10. Although the existing package will form the basis of the statement of participant
supports in most cases delegates also need to recognise that the support needs of
participants will change over time. Delegates are to also consider whether over time a
different composition of supports would better suit the participant and to discuss with
participants the possibility of transitioning to new supports, or a new arrangement of
supports, at an appropriate time (potentially over the course of several DisabilityCare
Australia plans).
11. In discussing the transition from an existing package of support, planners should seek
to minimise disruption to the participant and the supports a participant receives. For
example, by timing any changes at natural transition points such as a life transition or
at the end of a contract. Planners should be mindful of the dependence some
participant may have developed in relation to their current supports and consider that
dependence when developing or reviewing a plan.
Supports that will not be provided or funded under the scheme
12. Under the Rules, a support is not to be provided or funded by DisabilityCare Australia if
the delegate is satisfied that:
a. it is likely to cause harm to the participant or pose a risk to others; or
b. it is not related to the participant’s disability; or
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c. it duplicates other supports delivered under alternative funding through
DisabilityCare Australia; or
d. it relates to day-to-day living costs (for example, rent, groceries and utility fees) that
are not attributable to a participant’s disability support needs
13. Although most day-to-day living costs are not to be funded the Rules allow some day-
to-day living costs to be funded. Day-to-day living costs can be funded only if they
relate to reasonable and necessary supports
and are:
a. additional living costs that are incurred by a participant solely and directly as a result
of their disability support needs; - e.g. specialised food that relates specifically to a
person’s disability and that is not available to the general population
b. costs that are ancillary to another support that is funded or provided under the
participant’s plan, and which the participant would not otherwise incur.
See s.34(g) of the NDIS Act and rr.5.1 and 5.2 of the NDIS (Supports for Participants) Rules 2013.
14. Under the Rules the following supports are also not to be provided or funded if the
delegate is satisfied that:
a. a support, the provision of which would be contrary to:
i.
a law of the Commonwealth; or
ii.
a law of the State or Territory in which the support would be provided;
b. a support that consists of income replacement.
See r.5.3 of the NDIS (Supports for Participants) Rules 2013.
Supports must assist goals, objectives, aspirations and activities
15. Before a support is added to a plan the delegate must be satisfied that it will:
a. assist the participant to pursue the goals objectives and aspirations included in the
participant’s statement of goals and aspirations; and
b. the support will assist the participant to undertake activities, so as to facilitate the
participant’s social and economic participation.
See ss.34(a) and 34(b) of the NDIS Act 2013.
16. There are no provisions in the Rules that apply to these two paragraphs of s.34 of the
NDIS Act.
See s.4(8) of the NDIS Act 2013.
Value for money
17. Before a support is added to a plan the delegate must be satisfied that it represents
value for money in that the costs of the support are reasonable, relative to both the
benefits achieved and the cost of alternative support.
See s.34(c) of the NDIS Act 2013.
18. In deciding whether the support represents value for money, the Rules require
delegates to consider each of the following:
a. whether there are comparable supports which would achieve the same outcome at
a substantially lower cost;
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b. whether there is evidence that the support will substantially improve the life stage
outcomes for, and be of long-term benefit to, the participant;
c. whether funding or provision of the support is likely to reduce the cost of the funding
of supports for the participant in the long term (for example, some early intervention
supports may be value for money given their potential to avoid or delay reliance on
more costly supports);
d. for supports that involve the provision of equipment or modifications:
i. the comparative cost of purchasing or leasing the equipment or modifications;
and
ii. whether there are any expected changes in technology or the participant’s
circumstances in the short term that would make it inappropriate to fund the
equipment or modifications;
e. whether the cost of the support is comparable to the cost of supports of the same
kind that are provided in the area in which the participant resides;
f. whether the support wil increase the participant’s independence and reduce the
participant’s need for other kinds of supports (for example, some home
modifications may reduce a participant’s need for home care).
See r.3.1 of the NDIS (Supports for Participants) Rules 2013.
Effective and beneficial for the participant
19. Before a support is added to a plan the delegate must be satisfied that the support will
be, or is likely to be, effective and beneficial for a participant, having regard to current
good practice.
See s.34(d) of the NDIS Act 2013.
20. In deciding whether the support will be, or is likely to be, effective and beneficial for a
participant the delegate is to consider the available evidence of the effectiveness of the
support for other people in like circumstances. That evidence may include:
a. published and refereed literature and any consensus of expert opinion;
b. the lived experience of the participant or their carers; or
c. anything DisabilityCare Australia has learnt through delivery of the scheme.
21. Rules also require the delegate to take into account, and if necessary seek, expert
opinion.
See rr.3.2 and 3.3 of the NDIS (Supports for Participants) Rules 2013.
Reasonable family, carer and other support
22. Before a support is added to a plan the delegate must be satisfied that the funding or
provision of the support takes account of what it is reasonable to expect families,
carers, informal networks and the community to provide
.
See s.34(e) of the NDIS Act 2013.
23. In deciding whether funding or provision of the support takes account of what it is
reasonable to expect families, carers, informal networks and the community to provide,
the delegate is to consider the following matters:
a. for a participant who is a child:
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i. that it is normal for parents to provide substantial care and support for children;
and
ii. whether, because of the child’s disability, the child’s care needs are substantially
greater than those of other children of a similar age; and
iii. the extent of any risks to the wellbeing of the participant’s family members or
carer or carers; and
iv. whether the funding or provision of the support for a family would improve the
child’s capacity or future capacity, or would reduce any risk to the child’s
wellbeing;
b. for other participants:
i.
the extent of any risks to the wellbeing of the participant arising from the
participant’s reliance on the support of family members, carers, informal
networks and the community; and
ii.
the suitability of family members, carers, informal networks and the community
to provide the supports that the participant requires, including such factors as:
iii.
the age and capacity of the participant’s family members and carers, including
the extent to which family and community supports are available to sustain
them in their caring role; and
iv.
the intensity and type of support that is required and whether it is age and
gender appropriate for a particular family member or carer to be providing that
care; and
v.
the extent of any risks to the long term wellbeing of any of the family members
or carers (for example, a child should not be expected to provide care for their
parents, siblings or other relatives or be required to limit their educational
opportunities); and
vi.
the extent to which informal supports contribute to or reduce a participant’s
level of independence and other outcomes;
c. for all participants—the desirability of supporting and developing the potential
contributions of informal supports and networks within their communities.
See r.3.4 of the NDIS (Supports for Participants) Rules 2013.
The support is most appropriately provided or funded through the scheme
24. Before a support is added to a plan the delegate must be satisfied that the support is
most appropriately funded or provided through the scheme, and is not more
appropriately funded or provided through other general systems of service delivery or
support services offered by a person, agency or body, or systems of service delivery or
support services offered:
a. as part of a universal service obligation; or
b. in accordance with reasonable adjustments required under a law dealing with
discrimination on the basis of disability
See s.34(f) of the NDIS Act 2013.
25. In deciding whether the support is most appropriately provided or funded through the
scheme the delegate must consider each of the matters set out in Schedule 1 of the
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Rules. The matters to have regard to are set out under the following headings in the
Schedule:
a. Health (excluding mental health);
b. Mental health;
c. Child protection and family support;
d. Early childhood development;
e. School education;
f. Higher education and vocational education and training;
g. Employment;
h. Housing and community infrastructure;
i. Transport;
j. Justice.
See rr.3.5 and 3.6 of the NDIS (Supports for Participants) Rules 2013.
Flexibility in describing supports
26. Delegates have a high degree of flexibility around how they describe the supports in
the plan. The supports can be described by specifically identifying them in the plan or
the plan can describe them generally. For example, by a general reference to the
purpose of the support.
See s.33(3) of the NDIS Act 2013.
27. Delegates may choose to describe a support generally in cases where it is intended to
give a participant a high degree of flexibility over the implementation of the support.
Delegates may choose to put a specific description of a support in the plan where that
is intended to have less flexibility. For example, a support that is described in the plan
with detail of how it is to be purchased or implemented.
28. When deciding whether to describe a support generally or specifically, the Rules
require the delegate to have regard to each of the following:
a. the cost of the support;
b. any expected return or saving in costs from providing the support;
c. any risks associated with the supply of the support such as the need for the support
to conform to State or Territory laws;
d. whether achievement of other goals in the plan or the effectiveness of other
supports is contingent on a particular support being procured or used;
e. whether a participant’s disability requires a specialist, evidence-informed support
provided by a qualified person or a particular delivery mode;
f. whether the participant accessed the NDIS by satisfying the early intervention
requirements.
See rr.6.1 – 6.4 of the NDIS (Plan Management) Rules 2013 and
operational guideline on Planning and Assessment – Risks and Safeguards.
The plan must identify supports that are more cost-effectively provided by
DisabilityCare Australia
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29. If a delegate considers that it is more cost-effective for the support to be provided
directly by DisabilityCare Australia(for example, using bulk purchasing of goods), the
plan must specify that the support will be provided by DisabilityCare Australia.
See r.6.5 of the NDIS (Plan Management) Rules 2013.
The plan must identify supports to be provided by a particular provider
30. If a delegate is considering a support and:
i.
DisabilityCare Australia has entered into a funding arrangement with a provider
to provide that support; and
ii.
the CEO considers that the support is most efficiently and effectively provided to
the participant by that provider;
the plan must specify that the support will be provided by that provider.
See r.6.6 of the NDIS (Plan Management) Rules 2013.
The plan must identify supports to be provided by a particular qualified person or
delivery mode
31. If :
i.
the CEO considers that a participant’s disability requires:
a. specialist, evidence-informed support provided by a qualified person; or
b. a support to be provided in a certain delivery mode; and
ii.
the CEO considers that the support is most efficiently and effectively provided to
the participant by a particular person or through a particular delivery mode;
the plan is to specify that the support will be provided by that qualified person or that
delivery mode.
See r.6.7 of the NDIS (Plan Management) Rules 2013.
The plan must identify supports previously provided by the Commonwealth, a State
or a Territory
32. If the support was previously provided to the participant by the Commonwealth, or by a
State or a Territory, and there is a funding agreement that relates to the support that is
in force, the plan must specify that the support will be provided in accordance with the
funding agreement and not by DisabilityCare Australia.
See r.6.8 of NDIS (Plan Management) Rules 2013.
The plan must be tested against the Reference package and where relevant the
Lifetime cost Estimator
33. In finalising the plan and the supports to be provided, the planner is required to check
the plan against the relevant Reference Packages and Lifetime Cost Estimator. These
tools serve as Agency decision support tools in relation to:
a. whether a participant’s annual plan funding is comparable with the expected funding
level for the Participant (based on key characteristics); and
b. the Scheme’s annual and lifetime costs.
34. The tools indicate the level of delegation to apply for approval of expenditure
associated with the plan.
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a. Where the recommended funded support is outside the boundaries of the expected
level of support, a further consideration will need to be given by a more senior
delegate.
b. The senior delegate will ask the planner to explain the logic of the variance against
the expected level of funding and ensure that the decision to fund at that level is in
keeping with the NDIS Act and documented thoroughly.
General Supports
35. The paragraphs of this operational guideline above apply to both the provision of
general supports and the funding of reasonable and necessary supports. The
following paragraphs are to assist delegates in relation to general supports.
36. The term “general support” is defined in the NDIS Act to mean a service provided by
DisabilityCare Australia to a person, or an activity engaged in by DisabilityCare
Australia in relation to a person, that is in the nature of a coordination, strategic or
referral service or activity. It includes a locally provided coordination, strategic or
referral service or activity.
See s.13(2) of the NDIS Act 2013.
37. If a participant would like assistance to identify suitable supports and community
resources, allocation of a Local Area Coordinator (
LAC) may be appropriate as a
general support in the plan. In this way, the support a LAC can provide a participant is
very similar to the support they provide non-participants.
See operational guideline on Gateway – Local Area Coordinators.
38. A key general support for participants will be referral to other sources of supports. In
arranging a referral, DisabilityCare Australia or LAC staff should ensure the referral
reflects the participant’s choice and obtain informed consent to provide information
about the participant to the provider. DisabilityCare Australia staff or LAC should
describe the information that will be exchanged, and how and when the support will be
implemented.
39. The referral should only contain information related to the provision of the support
requested. If there is a risk to the service provider, the planner or LAC is to ensure that
the service provider is appropriately informed without breaching the participant’s
privacy.
40. Where possible, DisabilityCare Australia staff or LAC should check that the referral has
been accepted and the support implemented.
41. Where the participant is not able to access these supports due to waitlists or
unavailability of services in their local community, DisabilityCare Australia staff or LAC
will work with the participant to access alternative supports.
See s.34 of the NDIS Act.
General Considerations for Planners
42. In administering the Scheme and in approving each plan, the delegate must have
regard to objects and principles of the NDIS Act including the need to ensure the
financial sustainability of the NDIS and the principles relating to plans.
43. The Planner should utilise available evidence concerning the effectiveness of the
support, and if necessary, seek expert opinion.
DisabilityCare Australia
ABN 25 617 475 104
GPO Box 700
T 1800 800 110
Canberra ACT 2601
F 02 6204 5058
