Linda Hayes Business Strategist, GAICD

1. Managers and board members of organisations who are, or are seeking, registration under the National Disability Insurance Scheme (NDIS) as a registered provider of supports and/or as a registered Plan Management provider are directly impacted by the NDIS’s governance oversight mechanisms. The National Disability Insurance Scheme (Registered Providers of Support) Rules - states that registered providers must agree to the NDIS Terms of Business, which includes “Providers are to comply with all applicable Commonwealth, State and Territory laws in relation to conducting a business and governance arrangements.” NDIA is currently finalising a NDIS Quality and Safeguarding Framework that includes service level quality safeguards: “A quality provider will usually have strong governance, policies and procedures, and a corporate culture that fosters respect and openness.” This workshop reviews service providers’ governance structures, policies, procedures and controls that are essential elements for NDIS registration as a service provider and are key elements in all NDIA compliance reviews of registered service providers. Linda Hayes Business Strategist, GAICD With 20 years experience in marketing and business strategy, Linda has worked across a vast range of industry sectors to deliver business growth through better business planning and stronger organisational governance.

2. WORKSHOP OBJECTIVES • A general governance model for NDIS registered service providers • Governance structures, policies, procedures and controls for NDIS registration • NDIS Terms of Business implications • Implications of the proposed NDIS Quality and Safeguards Framework • Surviving a NDIA compliance review of your governance elements

3. Meaning of governance in NDIS context In establishing the NDIS, the Federal and State governments adopted the Productivity Commission’s definition of governance: “Governance is how an agency or system manages its functions. … it includes the processes and internal culture that gives different people power in the organisation; monitors the utilisation of support services and outcomes; creates incentives for its performance; provides information for good decisions and verification of performance; maintains probity and accountability; and manages its finances. It also includes how an organisation chooses to structure itself: what it chooses to do itself and what it might contract to other parties, and the basis for these boundaries.” (Productivity Commission 2011 report “Disability Care and Support” p. 402 – “NDIS 2011 Report”).

4. GENERAL GOVERNANCE MODEL - NDIS CONTEXT

5. NDIS legislative framework impacting on GOVERNANCE • National Disability Insurance Scheme Act 2013 • National Disability Insurance Scheme Rules (pursuant to sec. 17 of Act) << NDIS (Registered Providers of Supports) Rule 2013 • NDIA’s CEO “Operational Guidelines” (pursuant to a Rule under the Act) << Operational Guideline – Registered Providers of Supports and NDIS Terms of Business for Registered Support Providers

6. NDIS (Registered Providers of Supports) Rule 2013: Governance implications (example) HANDOUT (extract) 3.12 For an applicant for registration in relation to the provision of supports the applicant is to be a suitable person or entity …: (a) the qualifications and approvals relevant to the provision of those kinds of supports held by the applicant and the applicant’s staff …; (b) the applicant’s capacity to provide those kinds of supports; (c) the applicant’s experience in providing those kinds of supports; (d) if the applicant proposes to provide supports to a particular participant whether that participant has stated that he or she considers the applicant to be suitable to provide those supports. 3.13 For an applicant for registration in relation to managing the funding …: (a) the qualifications and approvals relevant to the management of funding …; (b) the applicant’s capacity to manage the funding for supports; (c) the applicant’s experience in managing the funding for supports; (d) if the applicant proposes to manage funding for a particular participant whether that participant has stated that he or she considers the applicant to be suitable to manage that funding.

7. NDIS Operating Guideline: Registered Providers of Supports: Governance implications (examples) 19. An application may seek approval for a person or entity to be a registered provider to provide specific supports set out in the application or for kinds or clusters of supports set out in the application. 20. A cluster of supports is a broad kind or category of supports and may contain a number of more specific support items. 21. A delegate must be satisfied that the applicant meets the criteria set out in the Registered Providers of Supports Rules in relation to each specific support or each cluster of supports (as the case may be). …. 22. The NDIS Act sets out that a delegate must approve an applicant as a registered provider if: a. The delegate is satisfied that the applicant meets the criteria to be a registered provider (set out in the Registered Providers of Supports Rules), and b. The delegate is satisfied that the applicant is suitable to provide supports or manage funding (as the case may be) applying the criteria and having regard to the matters set out in the Registered Providers of Supports Rules. HANDOUT (extract)

8. NDIS PROVIDER REGISTRATION: GUIDE TO SUITABILITY REQUIREMENTS: Governance implications (examples) Until the national NDIS quality and safeguards framework is in place, or 30 June 2019, whichever is sooner, Queensland’s quality and safeguard framework will apply to NDIA providers delivering specialist disability services. Providers registering with the NDIA to deliver specialist disability services in Queensland must meet the requirements of the NDIA provider registration process and: • adhere to the safeguards as set out in the Disability Services Act 2006 (DSA)and other Queensland state government legislation; • submit with their NDIA registration, evidence of compliance with the Queensland Human Services Quality Framework; and • have, maintain, implement and act in accordance with policies consistent with the Queensland state government Abuse, Neglect and Exploitation Policy. HANDOUT (extract)

9. NDIS PROVIDER REGISTRATION: GUIDE TO SUITABILITY REQUIREMENTS: Human Services Quality Framework (HSQF) Governance implications (examples) HANDOUTS (extracts) Governance and management Expected outcome Sound governance and management systems that maximise outcomes for stakeholders. Context The organisation maintains accountability to stakeholders through the implementation and maintenance of sound governance and management systems. These systems should reflect the size and structure of the organisation and contribute to maximising outcomes for people using services. …….. (see HSQF handout for specific indicators)

10. NDIS TERMS OF BUSINESS (New – Apr 2016): Governance compliance implications (examples) HANDOUT (complete) • Registered Providers must act in good faith and in the interests of the participant. • When delivering supports or conducting a business in relation to the delivery of supports, Registered Providers must comply with each of the following: • • the NDIS Act, the Rules, all relevant NDIS guidelines, and all policies issued by the NDIA (as in force from time to time); • • the Registered Provider’s own Code of Conduct, Code of Ethics or Service Charter; and • • any Commonwealth, State or Territory laws, and any other requirements, that are applicable to the Registered Provider, including, but not limited to the Privacy Act 1988 (Cth), the Australian Consumer Law, and any relevant quality and safeguard laws, including Quality Assurance and Safeguards Working Arrangements.

11. NDIS QUALITY AND SAFEGUARDS FRAMEWORK (NDIA finalising development): Governance implications (examples) Governments have agreed to the development of a national approach to quality and safeguards as part of the National Disability Insurance Scheme (NDIS). There is agreement that the national framework should maximise the opportunities for people with disability to make decisions about their supports while also enabling them to live free from abuse, neglect and exploitation. The framework should also promote innovation, continuous improvement and best practice in the provision of supports. A nationally consistent quality and safeguards framework should mean that people interacting with NDIS can expect consistent standards and safeguards wherever they live in Australia. The Commonwealth Government, in collaboration with the NDIA and state and territory governments, is leading the work to develop a system of quality assurance and safeguards, which will include complaints and critical incidents management. HANDOUT (complete)

12. SURVIVING A NDIA COMPLIANCE REVIEW OF YOUR GOVERNANCE ELEMENTS – (Terms of Business handout) Inspection of records Registered Providers may be reviewed by the Agency in relation to supports funded for a NDIS participant. Registered Providers must cooperate fully with the Agency officers who are undertaking review activities. As part of any review, or as otherwise reasonably requested by the Agency in carrying out its rights and obligations under law, a Registered Provider must give the Agency or persons authorised by the Agency (‘those permitted’) access to premises where accounts and records associated with the provision of services to participants are stored and allow those permitted to inspect and copy all records associated with the provision of services to participants. A Registered Provider must provide all reasonable assistance requested by those permitted including making available all accounts and records relating to the provision of services to participants at the Registered Provider’s registered office or the Registered Provider’s principal place of business or other place. CONTINUED NEXT SLIDE >>>

13. SURVIVING A NDIA COMPLIANCE REVIEW OF YOUR GOVERNANCE ELEMENTS – Tips and Traps • Review the nature and extent of ALL governance structures - e.g. board charter, code of conduct, terms of reference subcommittees, meetings’ minutes, delegations, board approved policies • Do not wait for a NDIA review – periodically check your internal controls and board monitoring of HSQF Governance and Management indicators – and take corrective action as necessary • Review completeness and integrity of ALL documentation and records of NDIS funded services – ensure easy access • Assign a senior manager with overall responsibility for interfacing with NDIA officers • Ensure all relevant key staff are appropriately briefed at all stages of the review – pre- during and post-review – and follow up actions • OTHERS ???

14. Final questions? Additional resources: TDSA previously supplied a CD containing additional resources (including copies of the Workbook, Handouts and Presentation Slides). Instead of CDs, the TDSA website now enables a download of all these additional resources for all TDSA Think Tank modules you attend. You will need the password to access each module – and will be provided to you (or you can obtain it directly by emailing or phoning TDSA) We thank you for your participation in today’s Think Tank ! Could you please complete the Feedback/Evaluation Form and leave it face down on the desks. Thank you