Sole Trader Support Worker NDIS Best Practice Checklist

Sole Trader Support Worker: Unregistered Provider Best Practice Checklist

The National Disability Insurance Scheme (NDIS) has significantly changed how support is engaged by people with a disability. People receiving NDIS funded supports and services have much greater control and autonomy over who provides their supports and services, as well as the price, terms, and conditions of these support arrangements. As a result, the NDIS service space has seen a significant increase in the number of Sole Trader Support Worker Provider.

While working for yourself can be immensely rewarding, it also comes with a great deal of responsibility and accountability. You are running a business, and your services are paid for by a persons NDIS (government) funding. This comes with obligations, even as a Unregistered Service Provider.

We so often hear the rhetoric “just get an ABN and insurance and you’ll be right”, especially on social media. However, this laid back approach to running a business in the NDIS space just won’t cut it, especially when something goes wrong – and stuff will go wrong.

To help Sole Trader Support Worker Providers begin to navigate some of these responsibilities and obligations, My Foundations has developed a checklist to get you on your way.

Here we go…yes, it’s a long list!

have a Tax file number (TFN)
obtain an Australian Business Number (ABN) from the Australian Taxation Office (ATO) and understand what it means to have an ABN
know if you need to register for Goods and Services Tax (GST), even though many NDIS supports and services are exempt from GST
hold a current National Police Check or obtain your NDIS Worker Screening Clearance
hold a ‘paid’ worker (not a volunteer) Working With Children Check if you are working with or around people under 18 years
understand your responsibilities under the NDIS Code of Conduct, as you are accountable to this (even as an unregistered provider)
if working with people under the age of 18 years, understand your responsibilities under the Child Safety Principles
be familiar with relevant NDIS Practice Standards, including (but not limited to) those related to providing High Intensity Support
complete the NDIS Quality and Safeguards Commission Worker Orientation Module
if you are new to disability support work or an unqualified worker, complete all NDIS Commission eLearning Modules
complete the Infection Control (COVID-19) Training
research Insurance products and (as a minimum) maintain Professional Indemnity and Public Liability insurance that covers all services you provide – know what your policies do and do not cover as not all insurance products are created equal
assess your risk to determine if you need or want some form of Personal Accident and Injury Insurance as you are not typically eligible to take out workers compensation insurance as a Sole Trader
have a current and valid Driver Licence and be prepared to provide a Demerit Points Check where your services include providing transport
have Comprehensive Motor Vehicle Insurance that includes coverage for business use
have a completed and signed Service Agreement with each participant before you commence providing support services
have a completed and signed Consent Form with privacy statement in accordance with the Privacy Act 1988
have an Invoice that meets NDIA requirements
obtain and maintain qualifications and/or competency based training where this is necessary to provide safe and competent service delivery
develop a process to manage Incidents, including Reportable Incidents, in accordance with the NDIS Act 2103
develop a clear and transparent process to manager Feedback and Complaints
have a thorough knowledge of Restrictive Practice, the services you can and can’t provide as an Unregistered Service Provider, and your reporting responsibilities under Human Rights Law and the NDIS Act 2013
develop, implement, and maintain relevant forms, processes, policies, and procedures that help deliver safe and quality services
understand your responsibilities under the law, including but not limited to, Privacy Law, Work Health and Safety Law, and Consumer Law
determine if your business requires any linceses
read, understand, and stay up-to-date with the current NDIS Pricing Arrangements and set ‘value for money’ charge rates in the context of your skills, experience, qualifications, complexity of the job, tasks required, and your business operating standards and costs
have the ability to provide referees or testimonials
be able to provide some form of photo identification to show you are who you say you are
engage in regular professional development, including Professional Supervision

Creating forms, policies, processes, and procedures:

When developing documents like forms, policies, processes, and procedures – especially things like your service agreement and consent form – it is useful to remember that they do not need to be complex to be effective. On the contrary, if the person referred to these documents does not understand what the content means, these documents may be ineffective and even damaging to your business.

We develop and maintain documents to create clarity and define roles, responsibilities, obligations, and agreements within our working relationships. However, these documents also reflect your values, purpose, vision, and mission. So, when creating forms, policies, processes, and procedures, think carefully about your language in this context. If you are going to use document templates or examples created by others, think about modifying the language to suit your business.

Invoicing an NDIS participant:

As a unregistered service provider you will typically be providing supports and services to people whose NDIS funds are either plan managed or self managed. This means you will be sending your invoices to either an NDIS Registered Plan Manager, and/or to the participant directly.

Regardless of who you are sending your invoice to, an NDIS invoice should include:

your business name and ABN
your contact information
a unique invoice number and invoice date
the participant’s details (where available) e.g. participants name, NDIS number
your payment terms and due date (which should also be reflected in more detail in your service agreement)
a description of the supports or service you provided
total invoice amount
GST component if applicable (although, most direct support services are GST free)

The NDIA also states that all invoices must include:

quantity of service(s) provided, such as the number of hours or units
hourly rate or unit price of service(s) provided
support item number(s) for participants with plan managed funds (not necessary for those whose funds are self managed)
date(s) of service delivery

You are not the decision maker (on you own at least) about which NDIS support category or support item your services will be paid from. This is the participants decision, possibly with the assistance of someone else like their plan manager, support coordinator, or family member.

How a participant decides which support budget, category, and/or item your services are best paid from is determined within the context their individual goals, desired outcomes, and what is considered a reasonable and necessary support for them.

NDIS Quality & Safeguards Commission:

Like any consumer (under Consumer Law), NDIS participants have the right to provide feedback and to make a complaint about your services. Therefore, every NDIS participant you work with should know how they can do this.

When a person is not happy with your service, the best outcome is to resolve the issue together. Sometimes though, a participant might not feel comfortable raising their concerns directly with you. Other times, the participant may have raised their concerns with you, but still feel the matter is unresolved. In these circumstances, your participant must know who they can speak with. It is your responsibility to ensure that they do.

Where a compliant is serious enough, the NDIS Quality and Safeguards Commission is there to assist NDIS participants. Even as a unregistered provider you are accountable to the Code of Conduct in the same way as an NDIS registered provider and their employees.

Feedback and complaints can be raised with the NDIS Commission by:

Phoning: 1800 035 544 (free call from landlines).
Text Telephone (TTY): 133 677.
National Relay Service: 1800 035 544.
Completing a Compliant Contact Form via the website.

All of this information is typically included in your service agreement with your participant.

Incident management systems and reportable incidents:

Service providers should act to prevent incidents. As a self employed support worker, you are a service provider.

Where incidents do occur, under the NDIS Incident Management and Reportable Incidents Rules 2018, NDIS registered service providers require an incident management system. This system is used to record and manage incidents that occur in connection with providing supports and services to people with disability. While a unregistered provider is not obligated to meet the same level of compliance as a registered provider, it is best practice to implement and document how you will manage incidents as a part of your business – because incidents will occur and they do require action.

For context, an incident management system for an NDIS registered service provider must cover:

acts, omissions, events or circumstances that occur in connection with providing NDIS supports or services to a person with disability and have, or could have, caused harm to the person with disability,
acts by a person with disability that occur in connection with providing NDIS supports or services to the person with disability and which have caused serious harm, or a risk of serious harm, to another person,
reportable incidents that have or are alleged to have occurred in connection with providing NDIS supports or services to a person with disability.

Source: Incident management and reportable incidents (NDIS Providers)

There are some incidents a service provider can respond to and manage on their own. Others of a more serious nature must be reported to the NDIS Quality and Safeguards Commission. This applies to you as a unregistered provider as well.

Reportable incidents include:

the death of a person with disability,
serious injury of a person with disability,
abuse or neglect of a person with disability,
unlawful sexual or physical contact with, or assault of, a person with disability,
sexual misconduct, committed against, or in the presence of, a person with disability, including grooming of the person with disability for sexual activity,
unauthorised use of restrictive practices in relation to a person with disability.

There are strict reporting processes and time frames that must be adhered to when a reportable incident occurs. The NDIS Commission have provided a Frequently Asked Questions; My Reportable Incidents booklet to guide providers and / or their workers through this process.

How to notify the NDIS Commission of a reportable incident:

Registered NDIS service providers would use the NDIS Commission Portal (PRODA) – My Reportable Incidents page – to notify and manage reportable incidents. However, as a unregistered provider you do not have access to PRODA (for this purpose anyway). Therefore, you would report directly to the Reportable Incidents team via email at reportableincidents@ndiscommission.gov.au or verbally over the phone at 1800 035 544.

Regulated restrictive practice and the NDIS Commission:

Restrictive practice is something that all support workers should understand fully. The NDIS Act 2013 defines ‘restrictive practice’ as any practice or intervention that restricts the rights or freedom of movement of a person with disability for the purpose of protecting the person or others from harm.

Under the NDIS Restrictive Practices and Behaviour Support Rules 2018, restrictive practices include:

Seclusion – meaning the sole confinement of a person with disability in a room or a physical space at any hour of the day or night where voluntary exit is prevented, or not facilitated, or it is implied that voluntary exit is not permitted,
Chemical restraint – meaning the is the use of medication or chemical substance for the primary purpose of influencing a person’s behaviour. It does not include the use of medication prescribed by a medical practitioner for the treatment of, or to enable treatment of, a diagnosed mental disorder, a physical illness or a physical condition,
Mechanical restraint – meaning the use of a device to prevent, restrict, or subdue a person’s movement for the primary purpose of influencing a person’s behaviour but does not include the use of devices for therapeutic or non-behavioural purposes,
Physical restraint – meaning the use or action of physical force to prevent, restrict or subdue movement of a person’s body, or part of their body, for the primary purpose of influencing their behaviour. Physical restraint does not include the use of a hands-on technique in a reflexive way to guide or redirect a person away from potential harm/injury, consistent with what could reasonably be considered as the exercise of care towards a person,
Environmental restraint – meaning that a person’s free access to all parts of their environment, including items or activities, is restricted.

The use of any restrictive practice must be documented in an authorised positive behaviour support plan that has been lodged with NDIS Commission by a registered (group 110) Senior Behaviour Support Practitioner. The use of any of the above practices without authorisation is considered a prohibited practice. The use of a prohibitive practice is in breach of a person’s human rights, Code of Conduct, and may even result in legal action against the perpetrator.

Positive behaviour support plans authorised by the NDIS Commission will align with NDIS and Human Rights legislation. The disability support sector is working hard to reduce and eliminate the use of restrictive practice. This has been agreed to in the National Framework for Reducing and Eliminating the Use of Restrictive Practice in the Disability Sector.

Any service provider or person who supports the participant, their family or carers with the implementation (i.e. the use) of a restrictive practice must be an NDIS registered provider. Participants can still choose to use non-registered providers in areas of their support that do not involve the implementation of the restrictive practice e.g. cleaning service.

Sole Trader Support Worker: Unregistered Provider Best Practice Checklist

Here we go…yes, it’s a long list!

Creating forms, policies, processes, and procedures:

Invoicing an NDIS participant:

NDIS Quality & Safeguards Commission:

Incident management systems and reportable incidents:

How to notify the NDIS Commission of a reportable incident:

Regulated restrictive practice and the NDIS Commission:

Other helpful reading and resources:

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