Guide – Safeguarding the participant’s interests | FOI document library

FOI 24/25-1158 DOCUMENT 5 Disclosure Log

Guide – Safeguarding the

participant’s interests

SGP KP Publishing

Exported on 2025-02-10 21:44:46

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FOI 24/25-1158 SGP KP Publishing – Guide – Safeguarding the participant’s interests

1 Recent updates …………………………………………………………………………………………………….. 4

2 Before you start …………………………………………………………………………………………………….. 5

3 Risks and safeguards ……………………………………………………………………………………. 6

4 Pre-planning …………………………………………………………………………………………………………. 8 4.1 Streaming …………………………………………………………………………………………………………… 8 4.2 Personal and environmental circumstances (PEC) …………………………………………………… 8 4.3 Functional capacity assessment ……………………………………………………………………………. 8 4.4 Participant profile …………………………………………………………………………………………………. 8

5 Risk assessment and plan duration ……………………………………………………………………… 10 5.1 Planning conversation for complex needs ……………………………………………………………… 10

6 Planning ……………………………………………………………………………………………………………… 11 6.1 General planning principles to safeguard the participant’s interests ………………………….. 11 6.1.1 Reasonable and necessary support ……………………………………………………………………………….. 11 6.1.2 Planning guidance for specialist areas ……………………………………………………………………… 11 6.1.3 Stated supports ………………………………………………………………………………………………….. 11 6.1.4 Core supports ………………………………………………………………………………………………….. 11 6.1.5 Core flexibility ………………………………………………………………………………………………….. 11 6.1.6 Low cost assistive technology ……………………………………………………………………………………. 11 6.1.7 Capacity building supports ……………………………………………………………………………………. 12 6.1.8 Support coordination ………………………………………………………………………………………………….. 12 6.1.9 Psychosocial recovery coach …………………………………………………………………………………. 12 6.1.10 Specialist behaviour support ……………………………………………………………………………………. 12 6.1.11 Capital supports ………………………………………………………………………………………………….. 13 6.1.12 Higher cost assistive technology and home modifications …………………………………………………. 13 6.1.13 Replacement assistive technology …………………………………………………………………………………. 13 6.1.14 Rental or hire of assistive technology……………………………………………………………………………… 13 6.1.15 Assistive technology during the course of the plan period …………………………………………………. 13 6.1.16 Plan management ………………………………………………………………………………………………….. 13

7 Next steps ………………………………………………………………………………………………….. 15

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This article provides guidance for all NDIA staff and partners to understand:

risks and safeguards
pre-planning considerations
planning considerations.

Note: For risk assessment and safeguarding practices for NDIS applicants, use these resources:

PACE - Access Pre-decision Quality Check Guide (DOCX 338KB)
Request priority eligibility decision
Our Guideline – Applying to the NDIS.

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1 Recent updates

12 August 2024

Guidance updated to:

change user roles to All NDIA staff and partners
change Our Guideline and PACE – Access Pre-decision Quality Check Guide links
change mention of article Understand the product catalogue to Support Categories
change mention of article Add support coordination funding and Add psychosocial recovery coach funding to Understand support coordination and psychosocial recovery coach funding
change mention of article Conduct the plan meeting to Conduct the plan meeting - Complete the participant profile
remove mention of retired article Add low cost assistive technology (AT).

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2 Before you start

You have read and understood:

Participant safeguarding policy (external)
Guide – Safeguarding the participant’s interests – Context and background
Guide – Conversation style guide
Identify risk factors and vulnerabilities
Our Guideline – Creating your plan (external)
Our Guideline – Your plan (external)
Participant Critical Incident Framework (DOCX 64KB)

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3 Risks and safeguards

Risk and safeguard assessments happen during the planning process. Planner delegates look at all the information to create a plan that meets the needs of the participant. This can include:

reviewing participant information
requesting further information or reports
thinking about the budget and plan length
making plan management decisions
conducting the plan meeting
assessing risks and safeguards.

A general principle which guides actions under the NDIS Act is to support people with disability to exercise choice and pursue their goals during the planning process, and we deliver their supports. This choice includes being able to take reasonable risks. You can learn more about choice, control and dignity of risk in the Participant safeguarding policy (external).

An NDIA function is to make sure there’s a reasonable balance between safety and the participant’s right to be part of activities that involve risk.

To manage the risk, the NDIA puts in place safeguards with a minimum of necessary restrictions. This is to balance the safety of the participant with the risk of harm. This recognises their ability to take reasonable risks and make reasonable mistakes, giving participants choice and control over their life.

The participant’s plan meeting is an opportunity for open conversation. While developing their plan, you may identify actual and potential risks. Together with the participant, you can explore a range of safeguards and support mechanisms to minimise or mitigate risk. These could be:

Choice and control – participant empowerment to make their own decisions about their supports and how funding in their plan is managed.
Risk-based and person-centred approach – safeguards are proportionate to the actual level of risk the participant faces. This is based on their functional capacity, natural support network and available supports.
Capacity presumption – the participant is presumed to have the capacity to exercise choice and control, with support to be provided to develop and exercise this capacity.

To reduce the participant’s potential exposure to harm or to manage the exposure, they’re encouraged to develop their own strategies and safeguards. Use the following safeguard levels to guide the development of appropriate measures:

Individual safeguard level – informal and formal – Informal safeguards recognise the participant is more likely to be safe when they’re actively involved with their family and the community. The things that make people safe can be seen as the same things that are needed to have a good life. For example, caring relationships and increased chances to be part of daily life. Formal safeguards include restrictive practices and serious incident reporting.
Service safeguard level – include quality frameworks, complaint mechanisms and workforce requirements. For example, delivery of contracted goods or services, appropriate qualifications, recruitment practices and performance standards. For many providers, an appropriate service safeguard level will be a requirement for NDIA registration.
System safeguard level – the NDIA will use existing system safeguard levels to protect the participant. These include internal and external processes for complaints and to review decisions by an independent body and statutory power.

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Community-based safeguards – the NDIA uses and operates with existing safeguards that aren’t part of the formal disability service system. These include advocacy organisations, community visitor schemes, public advocates or guardians, ombudsman offices and discrimination commissioners. People with disability can also use a range of community safeguards including anti-discrimination and consumer protection legislation.

Additional safeguards that can be included in the participant’s plan are to:

set a shorter period between plan reassessments
establish arrangements for regular contact between the participant and NDIA
provide funding for supports to assist the participant to manage their own plan – for example, budget training.

Safeguards also include supporting the participant with their decision making and interactions if they require that level of support. The participant may be appointed a plan nominee, correspondence nominee, or be supported by a third party with authority and consent. For more information, go to Our Guideline – Appointing a nominee (external).

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4 Pre-planning

Pre-planning is the time to discuss and develop safeguards to make sure the participant’s interests are considered, risks identified and mitigated where necessary.

4.1 Streaming

Streaming helps predict the support level each participant will likely need to deal with the NDIS. Streaming won’t affect the level of reasonable and necessary supports in the participant’s plan. Participant streaming levels safeguard them to make sure there’s appropriate resources and expertise.

The participant may also be referred to the Complex Support Needs pathway for extra support. For more information, go to articles:

Complete a streaming case (Streaming and Restreaming).
Guide – Complex support needs (CSN) pathway.
Submit a referral to the Complex Support Needs (CSN) Branch.

Note: The term ‘streaming’ is for internal use only. We don’t use this term with a person externally.

4.2 Personal and environmental circumstances (PEC)

When a person applies to the NDIS, we ask questions to help us understand:

the person’s support needs
how the person manages daily life.

This information may highlight a participant risk and can help inform other areas of the planning process. For more information, go to article Complete personal and environmental circumstances case.

The PEC questions will be done again for children younger than 7 by the early childhood partner during a check-in. For more information, go to article EC: PEC – Capacity Building – Early childhood supports overview.

4.3 Functional capacity assessment

Functional capacity assessment information assesses the impact level the participant’s disability has on their daily activities. This information may highlight a participant risk and can help inform other areas of the planning process. For more information, go to article to Understand functional capacity assessments.

4.4 Participant profile

The participant profile captures their environmental and personal information. The participant’s interests guide the planning process, through talking about living arrangements, relationships, daily life and strengths. The participant’s goals and informal, community and mainstream supports are also recorded. Where appropriate, safeguard information can be recorded in this section. For example, referral to family support services and child learning programs may be

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needed to reach a family orientated goal. If any risks are identified, go to article Identify risks and vulnerabilities.

For more information, go to Our Guideline – Creating your plan (external) and article Conduct the plan meeting - Complete the participant profile.

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5 Risk assessment and plan duration

The risk assessment should be used to identify risks and record safeguards in the participant’s life when developing the plan. Do this by asking questions and recording the information from the planning conversation and other available supporting evidence. For more information, go to articles:

Change plan duration
Create and complete a participant risk assessment case.

Plan duration should be determined based on the criteria set out in Appendix A of Our Guidelines – Creating your plan (external). We might give a shorter plan duration if the participant is experiencing higher risk, until their condition stabilises.

For more information, go to:

Change plan duration
section When will we give you a shorter plan? in Our Guideline – Creating your plan (external)
section Appendix A: Plan duration guidance in Our Guideline – Creating your plan (external).

5.1 Planning conversation for complex needs

The Complex Support Needs (CSN) branch works with participants with specific and unique needs. The CSN branch supports participants who need a higher support level to use their plan and pursue their goals. For more information, go to article Guide – Complex support needs (CSN) pathway.

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6 Planning

6.1 General planning principles to safeguard the participant’s interests

6.1.1 Reasonable and necessary support

Appropriate reasonable and necessary funded supports are identified and included in the participant plan. These supports are in the budget areas of core, capacity building and capital.

You must think about if any funded supports should not be provided or funded under the NDIS. A support won’t be funded under the NDIS if it is likely to cause harm to the participant or be a risk to others. For more information, refer to the Our Guideline – Reasonable and necessary supports (external).

6.1.2 Planning guidance for specialist areas

You need to refer to guidance for participants with certain disabilities, in specific cohorts or with specialist needs. For example, there’s specific guidance for participants with motor neurone disease to have supports in place for a quick response to a rapidly declining function as a safeguard for the participant.

6.1.3 Stated supports

A stated support makes sure the funds are used for a vital service and can’t be used flexibly for an alternate support. An example of a stated support is support coordination. For more information, go to article Support Categories.

6.1.4 Core supports

Core supports help the participant manage daily living areas such as self-care, community access, and consumable items (such as daily adaptive equipment and transport). The appropriate funding level is included in the plan to make sure needs are met and the participant is safeguarded from risks. For more information, go to article Support Categories.

6.1.5 Core flexibility

Core support flexibility in the participant’s plan assists them to vary levels of control over how they use their support and responds to their changing needs. The flexible support will help reduce the likelihood of risks that may come up during the plan duration. For more information, go to article Support Categories.

6.1.6 Low cost assistive technology

For more information on assistive technology (AT), go to section Capital supports in this article.

Low cost AT is less than $1,500 in value and is generally low risk. These funds can be included to allow the participant to purchase low-cost items. For example, a walking stick or basic shower chair. Funds can also be for minor AT repairs or to help the participant to decide which AT to purchase. This gives the participant immediate access and flexibility to purchase AT. This also minimises the risks from waiting for an assessment or purchase approval. For more information, go to:

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Assistive technology – Guide for Low Cost support funding (DOCX 71KB)
Our Guideline – Assistive Technology (external)
article Support Categories.

6.1.7 Capacity building supports

Capacity building supports link to the participant’s goals and aspirations. Funding is allocated to the specific support areas needed by the participant in their daily life.

Including funded supports in the plan to build capacity for independence or to build skills in an identified area can be in response to a risk, and therefore a safeguard. For more information, go to article Support Categories.

6.1.8 Support coordination

Plan developers consider the support level the participant needs to build their capacity to connect with supports and services. This includes informal and mainstream supports. Support coordination helps the participant to understand their plan, and how to:

use funded supports
build capacity
strengthen their ability to pursue their goals.

If multiple mainstream interfaces are involved, or there’s a high-risk level, then specialist support coordination may be included in the plan. For more information, go to articles:

Record support coordination information
Understand support coordination and psychosocial recovery coach funding.

6.1.9 Psychosocial recovery coach

Participants with a primary psychosocial disability can have support from a recovery coach. A recovery coach is a qualified mental health worker. From their own experiences and training, understands the impacts of mental health. They can support the participant to build confidence and motivation to achieve their goals and use their supports to live a fulfilling life. A recovery coach will also support the participant to understand how the NDIS works with other supports including mainstream and community supports.

For more information, go to articles:

Guide – Psychosocial disability
Understand support coordination and psychosocial recovery coach funding.

6.1.10 Specialist behaviour support

Some participants may need positive behaviour support to address behaviours of concern that are a risk to themselves or to others. These supports are recommended to:

support the participant’s safety and wellbeing
promote options for increasing the participant’s capacity and community and mainstream connections to pursue plan goals
provide long term sustainability of the participant’s plan and informal support systems.

Including specialist behaviour support in the plan is to identify and reduce behaviours of concern, can improve the participant’s quality of life, uphold their dignity and safeguard their rights. As a further participant safeguard, positive behaviour support must be provided in

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accordance with the NDIS Quality and Safeguards Commission’s requirements. This means these support providers must be registered with the Commission and ensures the regulation of restrictive practices.

For more information go to Guide – Behaviour support.

6.1.11 Capital supports

Capital supports include AT, repairs and AT maintenance, vehicle modifications and home modifications (HM). The following AT processes make sure the participant’s interests and risks to them are looked at to minimise delay in vital equipment needs.

6.1.12 Higher cost assistive technology and home modifications

There’s a higher risk of injury, hospitalisation or even death if appropriate assessment, setup or construction isn’t done for higher cost or complex AT. Specialised and complex AT requires an assessment and supporting evidence from a qualified AT assessor. For more information, go to article Understand high-cost assistive technology (AT) funding.

Home modifications will require assessment usually by an occupational therapist. In more complex cases, a building professional is also involved. For more information, go to article Support categories or Our Guideline – Home modifications (external).

6.1.13 Replacement assistive technology

Replacement AT involves a streamlined process to avoid delays and provide a like-for-like equipment replacement. This needs to follow specific criteria to make sure there are no unreasonable risks to the participant.

6.1.14 Rental or hire of assistive technology

Funding for rental of AT may be included in a participant’s plan, for example if there’s a supply delay, or if AT requirements are still being decided. This will usually be for a specific time period. This will make sure there’s no risk to the participant’s safety while the AT is obtained. For more information, go to article Support Categories.

6.1.15 Assistive technology during the course of the plan period

AT supports are included in the plan based on the available information at that point-in-time. If we get an AT assessment recommendation during the plan period, the delegate must determine if:

there are any risks to the participant in delaying access to the AT supports
the recommended AT is reasonable and necessary.

A planner delegate must consider if the AT needs to be funded immediately to mitigate risks, or it can be funded at the next plan change. For more information, go to Our Guideline – Assistive Technology (external).

6.1.16 Plan management

Plan management is how the support budget is managed by the participant or their representative. The plan can be self-managed, plan-managed, agency-managed or a combination. In the applying, planning and implementation stages, the benefits and responsibilities of each plan management option are discussed with the participant.

For self-management, we need to decide if this approach is an unreasonable participant risk.

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We will only decide a risk is unreasonable if there are no suitable safeguards or supports available to manage the risk of harm to the participant. For more information, go to Our Guideline – Creating your plan (external).

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