Support Workers

12 modules

NDIS induction, Code of Conduct, worker screening, person-centred practice, documentation, incident reporting, privacy, pay and conditions.

Who this is for: All new support workers before independent practice.

Core Team

10 modules

Governance, NDIS practice standards, HR, financial management, incident management, privacy, quality and continuous improvement.

Who this is for: Coordinators, admin, and operational staff who are not Key Personnel.

Key Stakeholders

14 modules

Governance deep-dive, compliance, HR leadership, financial oversight, incident management, legislation, leadership, entrepreneurial mindset and Australian legal framework.

Who this is for: Directors, Key Personnel, and senior managers.

SW1 โ€” Welcome to OCC & the NDIS

Support Worker Training  ยท  Module 1 of 12  ยท  NDIS Worker Orientation

📚 Training Framework Reference

Mandatory Training Framework & Staff Induction Index

Location: 05_Compliance_Quality / Training / Mandatory_Training_Framework.docx and Staff_Induction_Index.docx

These documents set out OCC's full training schedule, mandatory completion timeframes, and how your training records are kept. Ask your manager for a copy if you have not already seen them.

Welcome to Open Care Connect. You are joining a team that exists for one reason: to help people with disability live the life they choose. That is not marketing language โ€” it is what happens on every shift, in every home, every day. As a support worker, you are at the centre of it.

Open Care Connect (trading as Open Care Community Services Pty Ltd) is a registered NDIS provider located at 32 Ranfurlie Circuit, Melton West VIC 3338. Our ABN is 22 668 873 694 and our NDIS Provider ID is 4-JU2I9UJ. You can find more information at opencareconnect.com.au.

We are a smaller provider by design. Being smaller means we know our participants, we know our team, and we can be flexible and responsive. Our participants see consistent faces, build genuine relationships, and receive support that is tailored to them. That is only possible because of the quality of our support workers.

Our Vision and Mission

Our vision is to provide quality and inclusive services that empower individuals with disabilities to thrive.

Our mission is to passionately deliver comprehensive and accessible services tailored to the unique needs of individuals with disabilities. Through collaboration, advocacy, and innovative support, we aim to empower independence and inclusion for everyone we support.

Our Six Values

These values are taken directly from OCC's Participant Handbook (V1.1, approved 01 March 2026). They are how we expect every team member to behave โ€” not just statements on a wall.

Value What It Means on the Job
Putting People First with Respect We prioritise and tailor our services, respecting and valuing the unique needs of individuals with disabilities. You are at the centre of everything we do.
Empowerment and Growth through Empathy We are dedicated to fostering independence, inclusion, and empowerment, listening empathetically to the needs of everyone we support.
Celebrating Diversity We embrace and honour the diverse backgrounds and contributions of all individuals. We deliver culturally safe and inclusive services.
Dedicated Assistance and Listening We actively listen and support individuals with disabilities, helping them achieve their aspirations and goals. We hear you before we act.
Team Collaboration for Excellence Through collaborative efforts across our team, we ensure high-quality and accessible services for every participant.
Accountability and Responsibility We hold ourselves accountable for our actions and decisions, ensuring transparency and trustworthiness in all we do.

What Your Role Involves

As a support worker at OCC, your primary responsibility is to deliver the supports outlined in each participant's support plan, in the way the participant prefers, and to the standard required by the NDIS and OCC. This includes assisting with daily personal activities, supporting community access, helping develop daily living skills, and completing accurate progress notes after every session โ€” within 24 hours.

You are a professional. That does not mean you cannot be warm, caring, and genuinely engaged with the people you support โ€” those qualities are essential. But it does mean maintaining professional boundaries, keeping participant information confidential, and acting in the participant's best interests at all times.

Your first shift

You arrive at a participant's home for the first time. Their support plan says they prefer to direct their own routine. Your job is not to arrive with a checklist. Ask: 'What would you like to do first today?' and follow their lead. After the shift, write a progress note that accurately records what you did, how the participant engaged, and any relevant observations โ€” within 24 hours of the shift ending.

Your Staff ID

You have been assigned a unique OCC staff identifier. Use it on every progress note, incident report, and system entry you make. Every record at OCC must be traceable to the person who created it. If you ever lose access to OCC systems, contact the Operations Manager immediately.

Knowledge Check

What is OCC's vision?

To provide quality and inclusive services that empower individuals with disabilities to thrive. This comes from OCC's Participant Handbook V1.1, approved 01 March 2026.

Name two of OCC's six values and explain what they mean in practice.

There are six values: Putting People First with Respect; Empowerment and Growth through Empathy; Celebrating Diversity; Dedicated Assistance and Listening; Team Collaboration for Excellence; and Accountability and Responsibility. In practice, for example, 'Dedicated Assistance and Listening' means asking and listening before acting โ€” not assuming you know what a participant needs or wants.

SW2 โ€” NDIS Code of Conduct

Support Worker Training  ยท  Module 2 of 12  ยท  NDIS Code of Conduct

The National Disability Insurance Scheme (NDIS) is the framework you work within every day. Understanding how it works โ€” what it funds, who manages it, and what it requires of you โ€” will help you do your job better and protect both you and the people you support.

🔗 Authorised Source

National Disability Insurance Scheme Act 2013 (Cth)

Source: ndis.gov.au

The NDIS is established by the National Disability Insurance Scheme Act 2013. The National Disability Insurance Agency (NDIA) manages participant plans and funding. The NDIS Quality and Safeguards Commission regulates provider quality and safety.

How the NDIS Works

The NDIS funds supports and services for Australians under the age of 65 who have a permanent and significant disability. The National Disability Insurance Agency (NDIA) assesses eligibility, develops individual funding plans, and manages participants' accounts. Each participant has an NDIS plan that outlines their goals and the budget available to fund specific types of support.

OCC is a registered NDIS provider. That means we have been assessed and approved by the NDIS Quality and Safeguards Commission to provide specific types of support. Participants choose OCC because they believe we can help them achieve their goals. Choosing a provider is their right โ€” and they can change providers if they are not satisfied.

The NDIS Quality and Safeguards Commission

The NDIS Quality and Safeguards Commission is the national regulator for NDIS providers. It is separate from the NDIA. The Commission sets and enforces the NDIS Practice Standards, administers the Code of Conduct, manages the Worker Screening system, investigates complaints and incidents, and can take regulatory action against providers who fail their obligations. As a support worker, you are directly accountable to the Commission through the Code of Conduct.

🔗 Authorised Source

NDIS Quality and Safeguards Commission

Source: ndiscommission.gov.au

The Commission regulates all registered NDIS providers in Australia. Participants and workers can make complaints directly to the Commission at any time.

OCC's Eight Registration Groups

OCC is registered to deliver supports in eight groups, confirmed in our NDIS Initial Scope of Audit (November 2023). You must only deliver supports within these groups and within your own training and competence.

Code Name What You Might Deliver
0102 Assist Access/Maintain Employ Employment-related support โ€” helping participants find, maintain, and succeed in employment. This includes job skills development, workplace modifications, and employment coaching.
0104 Assist Personal Activities High High intensity daily personal activities โ€” complex personal care tasks that require specialised training, such as management of medication, complex bowel care, enteral feeding, and wound care. Only workers with HIDPA-specific training may deliver these supports.
0106 Assist-Life Stage, Transition Support during major life transitions โ€” leaving school, entering employment, moving from home, or other significant changes in a participant's life circumstances.
0107 Assist-Personal Activities Standard daily personal activities โ€” personal hygiene and care, meal preparation, domestic assistance, and other routine daily living supports.
0108 Assist-Travel/Transport Assistance with travel and transport โ€” supporting participants to travel independently, use public transport, and access the community safely.
0117 Development-Life Skills Development of daily living and life skills โ€” building participants' capacity for independent living including cooking, budgeting, managing a home, and using community services.
0120 Household Tasks Household tasks โ€” cleaning, laundry, gardening, home maintenance where these tasks support the participant's independence or are necessary for safe and healthy living.
0125 Participate Community Community participation โ€” supporting participants to engage in social, recreational, and community activities, build relationships, and participate in their community.
⚠ Important

Registration group 0104 (Assist Personal Activities High) requires specific HIDPA training for each task type. You must not attempt high-intensity personal activities without the specific training and supervisor confirmation. If you are unsure, ask before your next shift.

What NDIS Plans Do Not Fund

The NDIS does not fund supports that are the responsibility of other systems โ€” Medicare (medical treatment), education (school tuition), housing (rent and mortgage), or supports that are not related to the participant's disability. It also does not fund everyday living costs like groceries or utility bills that non-disabled people pay for themselves. If a participant asks for something that seems outside NDIS funding, check with your supervisor rather than guessing.

Knowledge Check

What is the difference between the NDIA and the NDIS Commission?

The NDIA (National Disability Insurance Agency) manages participant plans and funding โ€” it assesses eligibility, creates NDIS plans, and manages participant budgets. The NDIS Quality and Safeguards Commission is the regulator โ€” it sets and enforces the standards providers must meet, administers the Code of Conduct, manages worker screening, and handles complaints. You interact with the NDIA through participant plans; you are accountable to the Commission through your conduct.

OCC is registered for eight support groups. Which group covers standard personal care like showering assistance?

Registration group 0107 โ€” Assist-Personal Activities. This covers standard daily personal activities including personal hygiene, meal preparation, and domestic assistance. Note that group 0104 (Assist Personal Activities High) covers the same types of tasks but at high intensity โ€” for participants with complex needs requiring specialised training. You must only deliver 0104 supports if you have completed the required HIDPA training.

SW3 โ€” Worker Screening & Compliance

Support Worker Training  ยท  Module 3 of 12  ยท  NDIS Worker Screening Act 2020

The NDIS Code of Conduct sets out how you must behave as an NDIS worker. It is legally binding, it applies to every shift and every interaction, and breaching it has real consequences. These consequences can include employment action by OCC, a finding by the NDIS Commission that you have engaged in worker misconduct, and a negative impact on your Worker Screening Check status.

🔗 Authorised Source

NDIS Code of Conduct Rules 2018 (Cth) โ€” Guidance for Workers (April 2024)

Source: ndiscommission.gov.au/workers/ndis-code-conduct

All seven obligations are legally binding on every worker delivering NDIS supports, whether employed, self-employed, or working through a labour hire arrangement.

The Seven Conduct Obligations

Obligation What the Law Requires What You Must Never Do
1. Respect individual rights Act with respect for individual rights to freedom of expression, self-determination, and decision-making in accordance with applicable laws and conventions. Override a participant's choices without lawful reason. Speak for someone who can speak for themselves. Dismiss preferences you personally disagree with.
2. Respect privacy Respect the privacy of people with disability. Discuss participant information with unauthorised people. Post anything about a participant on social media. Share personal or health information without the participant's consent and without lawful authority.
3. Safe and competent delivery Provide supports and services in a safe and competent manner with care and skill. Attempt tasks outside your training or competence. Cut corners on safe work procedures. Deliver supports you are not qualified for โ€” even if the participant asks.
4. Integrity, honesty, transparency Act with integrity, honesty, and transparency. Falsify progress notes or incident reports. Mislead participants, family, or OCC management. Cover up a mistake instead of reporting it.
5. Raise and act on concerns Promptly take steps to raise and act on concerns about matters that might have an impact on the quality and safety of supports provided to people with disability. Stay silent about a safety concern. Wait until your next scheduled supervision. Tell yourself it is not your place to report.
6. Prevent violence, exploitation, neglect and abuse Take all reasonable steps to prevent and respond to all forms of violence against, exploitation, neglect, and abuse of people with disability. Ignore unexplained injuries. Excuse a participant's fearful behaviour as 'just their personality.' Assume someone else will report it.
7. Prevent sexual misconduct Take all reasonable steps to prevent and respond to sexual misconduct. Have any sexual contact with a participant under any circumstances. Fail to immediately report sexual misconduct by anyone in the participant's environment.

What Happens When the Code Is Breached

If the NDIS Commission receives a complaint or becomes aware of conduct that may breach the Code, it can investigate and take compliance action. This can include giving a compliance notice, requiring training, issuing a banning order (preventing someone from working with NDIS participants), or referring serious matters to police. OCC is required to cooperate fully with any Commission investigation and to report certain conduct matters proactively.

A conduct dilemma

A participant asks you for some of your personal cash because they have run out of money. You genuinely feel sorry for them. What do you do? Do not give cash โ€” even with the best intentions. Giving personal money to a participant blurs professional boundaries and could expose you to accusations of financial exploitation. The right action is to contact your supervisor immediately so the participant can access appropriate emergency support. Your job is to get them the right help โ€” not to act as a personal resource.

Privacy in action

After your shift, a colleague at another organisation asks how a participant they used to support is getting on. You know this person โ€” they seem trustworthy. What do you do? You cannot share any information about the participant. The fact that the colleague used to support them does not give them any current right to information. Politely decline and report the contact to your supervisor. Even well-meaning information sharing is a privacy breach.

Knowledge Check

The NDIS Code of Conduct has seven obligations. What is Obligation 2?

Obligation 2 is: Respect the privacy of people with disability. This means keeping all participant information confidential, not sharing it with unauthorised people, not posting anything about participants on social media, and handling all personal and health information in line with the Privacy Act 1988 and OCC's privacy policy.

Are you legally required to report a concern about a participant's safety?

Yes. Obligation 5 of the NDIS Code of Conduct requires you to promptly take steps to raise and act on concerns about matters that might have an impact on the quality and safety of supports provided to people with disability. Staying silent about a safety concern is itself a breach of the Code. You are protected under law when you raise concerns in good faith.

SW4 โ€” Person-Centred Support

Support Worker Training  ยท  Module 4 of 12  ยท  NDIS Practice Standards โ€” Rights and Responsibilities

Before you can work with NDIS participants at OCC, you must pass the NDIS Worker Screening Check. This is a legal requirement under the National Disability Insurance Scheme (Worker Screening) Act 2020 (Cth). It is not something OCC can waive or skip, no matter how experienced you are or how urgently we need support workers.

🔗 Authorised Source

NDIS Worker Screening Check

Source: ndiscommission.gov.au/providers/worker-screening

All workers in Risk Assessed Roles must hold a current NDIS Worker Screening Check before working with NDIS participants without direct supervision.

What the Check Involves

The NDIS Worker Screening Check is a national background check that assesses whether a person poses an unacceptable risk to people with disability. In Victoria, the check is conducted by the Department of Justice and Community Safety. The assessment considers: criminal history (including spent convictions in some cases); information from professional disciplinary bodies; relevant civil and family court orders; and information from child protection authorities.

The check is conducted once nationally, but it covers all Risk Assessed Roles across all NDIS providers. This means your clearance from OCC also applies if you work for another registered NDIS provider. It is valid for five years from the date of clearance.

Risk Assessed Roles at OCC

Your role as a support worker at OCC is a Risk Assessed Role under category (a) of the NDIS (Worker Screening) Act 2020 โ€” meaning you directly deliver NDIS supports to participants. This means you must hold a clearance before you can work with participants without direct line-of-sight supervision.

RAR Category Who It Covers Your Status
Category (a) Workers who directly deliver NDIS supports to participants All support workers at OCC โ€” including you
Category (b) Key personnel โ€” managers and directors who make decisions affecting participant lives OCC management team (OCCS001โ€“OCCS005)
Category (c) Workers who have more than incidental contact with participants in their duties May apply to admin, transport, and other roles

The Application Process

Your employer (OCC, through the HR/Finance Manager) will initiate the screening application process. You will need to provide 100 points of identification โ€” this typically includes a passport or birth certificate (70 points) plus a driver's licence or Medicare card (25โ€“35 points each). Do not start this process independently โ€” the HR/Finance Manager will guide you through it.

The screening authority aims to determine your RAR status within 20 working days of receiving a complete application. While your application is being processed, you may only work with participants under direct supervision. You cannot be left alone with a participant until clearance is received and confirmed by OCC management.

⚠ Do not work alone with participants without clearance

Working with an NDIS participant in a Risk Assessed Role without a current clearance or approved interim status is a serious breach of the law. It places OCC at risk of losing its NDIS registration and places you at personal legal risk. If you have any doubt about your screening status, contact the HR/Finance Manager before your next shift.

Maintaining Your Check

Your NDIS Worker Screening Check is valid for five years. OCC will track expiry dates through the HR system and notify you when your renewal is due. You must not allow your clearance to lapse. If your clearance lapses, you cannot legally continue working with NDIS participants until the renewal is processed. If your circumstances change in a way that might affect your clearance (for example, a new criminal charge), you are legally required to notify the NDIS Commission.

Knowledge Check

Can you work with a participant while your NDIS Worker Screening Check application is still being processed?

Only under direct line-of-sight supervision from another OCC worker who holds a current clearance. You cannot be left alone with a participant until your clearance or interim approval is confirmed in writing by OCC management. The HR/Finance Manager will advise you of your status โ€” do not make assumptions about when you can work independently.

How long is an NDIS Worker Screening Check valid?

Five years from the date of clearance. The clearance is national โ€” it applies to all NDIS-registered employers, not just OCC. If you work for another NDIS provider in addition to OCC, you use the same clearance. OCC will track your expiry date and prompt you to renew in advance.

SW5 โ€” Communication & Relationships

Support Worker Training  ยท  Module 5 of 12  ยท  NDIS Practice Standards โ€” Support Provision Environment

Starting a new role at OCC involves a structured induction journey โ€” not just a form to sign and a password to set up. The induction process ensures that before you work with participants independently, you have the knowledge, the documentation, and the Director's formal sign-off. This is a legal requirement under our NDIS registration conditions, not an administrative preference.

Our induction process is documented in HR-TMI-001 (Mandatory Training Index). The Director of OCC must personally review and sign off your completed induction checklist before you can deliver supports to participants without direct supervision.

Your Five-Stage Induction

Stage When What Happens Who Is Involved
Stage 1: Pre-Commencement Before your first day Employment contract signed; Worker Screening Check application submitted; 100 points of ID verified; right to work confirmed; payroll set up; mandatory training commenced where possible online HR/Finance Manager
Stage 2: Day 1 Your first day Welcome briefing; workplace tour; introductions to team; system access set up; OCC values and culture overview; Code of Conduct read and signed; OCC photo ID and staff ID issued; emergency procedures explained Your supervisor, Operations Manager
Stage 3: Week 1 Days 2 to 5 OCC policies and procedures overview; how to access participant files and the roster; incident reporting system walkthrough; progress note requirements; first supervision meeting Your supervisor
Stage 4: Weeks 2 to 4 First four weeks Supervised practice sessions with participants; online mandatory training completed (NDIS Worker Orientation Module and other required modules); infection control training completed; first formal supervision session completed and documented Your supervisor, HR/Finance Manager
Stage 5: Director Sign-Off Approx. end of week 4 Director reviews completed induction checklist; confirms all mandatory training completed; confirms Worker Screening clearance received; signs off authorising you to deliver supports independently Director
⚠ Director sign-off is not optional

Until the Director has reviewed and signed your completed induction checklist, you must only work with participants under direct supervision. Even if you have worked in disability support before, our induction process must be completed in full.

Supervision During and After Induction

During your first four weeks, you will have at least two documented supervision sessions โ€” one in Week 1 and one in Weeks 2 to 4. After induction is complete, OCC supports workers through regular supervision. Casual workers receive supervision monthly (or more frequently where there is a performance concern). Supervision is a two-way conversation โ€” you can raise questions, concerns, or feedback about your role, your participants, or your working conditions.

Your probation period runs for three months from your commencement date. During probation, your supervisor will assess your performance against the requirements of your role and the OCC values. If you have concerns about how your probation is going, raise them in supervision โ€” do not wait for a formal review.

Induction in practice

You start at OCC on a Monday. By Friday, you have signed your employment contract, been introduced to the team, received your staff ID and system access, and signed the Code of Conduct. In weeks 2 to 4, you shadow an experienced support worker for three shifts before delivering your first independent supervised shift. You complete the NDIS Worker Orientation Module online and receive your infection control certificate. At the end of week 4, the HR/Finance Manager prepares your completed induction checklist and submits it to the Director. The Director reviews it, confirms your screening clearance has been received, and signs the checklist. You are now authorised to work with participants independently.

Knowledge Check

Who must sign off your induction before you can work with participants independently?

The Director of OCC must personally review your completed induction checklist and sign off authorising you to work with participants independently. This is required under OCC's NDIS registration conditions and applies to all new workers, regardless of prior experience.

How long is the probation period at OCC?

Three months from your commencement date. During this period, your supervisor will regularly assess your performance against your role requirements and OCC's values. Regular supervision sessions are provided, and you can raise any concerns at any time.

SW6 โ€” Manual Handling & WHS

Support Worker Training  ยท  Module 6 of 12  ยท  Work Health & Safety Act 2011

Mandatory training is not something to complete once and forget. It is an ongoing requirement that forms part of your professional obligation as an NDIS worker. OCC monitors mandatory training currency for all staff, and failing to keep up with training requirements is treated as a performance issue. Some training must be completed before you start working with participants. Other training must be refreshed annually.

🔗 Authorised Source

NDIS Worker Orientation Module โ€” Quality, Safety and You

Source: training.ndiscommission.gov.au

The NDIS Commission provides free online training for all NDIS workers through its training portal. Create a free account at training.ndiscommission.gov.au and enrol in the required modules.

Training You Must Complete Before Working Independently

Training Where Certificate? Validity
NDIS Worker Orientation Module: Quality, Safety and You training.ndiscommission.gov.au (free) Yes โ€” download and provide to OCC One-off (but refresher recommended every 3 years)
NDIS New Worker Module (8 online modules on rights, safety, conduct, reporting) training.ndiscommission.gov.au (free) Yes One-off
Infection Prevention and Control OCC-approved provider Yes Annual
Manual Handling / Safe Moving and Handling OCC-approved provider Yes Annual (or as required by participant support needs)
OCC Induction Training Internal โ€” delivered by supervisor Internal sign-off Once per employment

Ongoing Annual Training

Training Frequency Who Coordinates
Infection Prevention and Control Annual HR/Finance Manager
Manual Handling Annual (or upon new participant with complex needs) HR/Finance Manager
First Aid and CPR First Aid: 3 years | CPR: Annual HR/Finance Manager
Emergency Procedures Annual refresher Operations Manager
Safeguarding and Abuse Prevention Annual HR/Finance Manager
Medication Administration (where applicable) Annual or as required by participant support plan HR/Finance Manager โ€” requires specific qualification

High Intensity Training (HIDPA)

If you are rostered to support a participant with complex health needs โ€” such as management of a PEG tube, tracheostomy, complex bowel care, or subcutaneous injections โ€” you must hold specific High Intensity Daily Personal Activities (HIDPA) training for that task. OCC will not roster you for HIDPA supports unless you have the required qualification or are working under direct clinical supervision. Do not attempt these tasks without the appropriate training, even if you feel confident. The consequences for participants can be serious.

Keeping Your Training Current

The HR/Finance Manager maintains a training register for all staff that tracks completion dates and expiry dates. You will receive a reminder from your supervisor when a renewal is due. You are also responsible for knowing your own training status. If you are ever unsure whether your training is current, ask the HR/Finance Manager before your next shift.

Knowledge Check

Where do you complete the NDIS Worker Orientation Module?

At training.ndiscommission.gov.au โ€” the NDIS Commission's free online training portal. You create a free account, enrol in the module 'Quality, Safety and You', complete all sections, and download your certificate of completion. This certificate must be provided to the HR/Finance Manager and placed on your staff file. The module takes approximately 90 minutes to complete.

What happens if your mandatory training lapses?

Training lapses are treated as a performance issue. If your training lapses, the HR/Finance Manager will contact you to arrange renewal. In some cases, lapsed training may affect your ability to be rostered for certain support types. You are responsible for knowing your training expiry dates โ€” OCC will send reminders, but it is ultimately your professional responsibility to maintain currency.

SW7 โ€” Medication Awareness

Support Worker Training  ยท  Module 7 of 12  ยท  NDIS Practice Standard 2.6 โ€” Medication Administration

Person-centred support is not a philosophy you agree with in your head โ€” it is something you do, on every shift, in every moment. It changes how you ask questions, how you listen, how you plan, how you adapt when things do not go as expected. It is the foundation of everything the NDIS is built on, and it is the standard by which your work is assessed.

The NDIS Practice Standards require that all providers deliver supports in a way that is guided by the participant's individual needs, goals, and preferences. This is assessed at audit through documentation, participant feedback, and interviews with staff.

🔗 Authorised Source

NDIS Practice Standards โ€” Provision of Supports

Source: ndiscommission.gov.au/providers/registered-providers/practice-standards-and-quality-indicators

Practice Standard 3 requires that supports are planned and delivered in partnership with participants, reflect their needs and goals, and support their inclusion and participation.

What Person-Centred Support Looks Like

Person-centred support starts with a fundamental shift in thinking. Instead of asking 'What does this person need?' you ask: 'What does this person want to achieve, and how do they want to be supported to get there?' Those are very different questions with very different answers.

Not Person-Centred Person-Centred
You arrive and immediately start on the task list from the support plan You greet the participant, ask how they are, and check in about what they want to focus on today
You do tasks for the participant because it is faster You support the participant to do tasks themselves, stepping in only where needed
You talk about the participant to family members in front of them You address the participant directly, even if they communicate differently
You follow the routine the same way every time You adapt to the participant's mood, preferences, and changing circumstances
You assume you know what is best for the participant You ask, listen, and take the participant's direction

Supported Decision-Making

All adults โ€” including adults with disability โ€” have the right to make decisions about their own lives. Your role is to support decision-making, not to make decisions for participants. This includes decisions you might think are unwise, such as choosing to eat certain foods, to take certain risks, or to reject a particular type of support. The NDIS Code of Conduct requires you to respect these choices. Where a participant lacks capacity to make a specific decision, OCC will work with their guardian, nominee, or support coordinator to ensure decisions are made in their best interests โ€” not by the support worker acting alone.

Cultural and Communication Sensitivity

OCC participants come from a wide range of cultural, linguistic, and community backgrounds. Person-centred support means adapting to each person's preferred communication style, cultural practices, and community connections. If you are supporting someone whose first language is not English, use simple language, check for understanding frequently, and contact the Operations Manager if you need an interpreter. Never assume a participant cannot understand โ€” always give them the opportunity to communicate in the way that works best for them.

Person-centred in action

A participant's support plan says they are working towards cooking their own meals. You arrive and the participant says they just want to watch television today โ€” they do not feel like cooking. A task-focused worker might push back and say 'But your plan says cooking.' A person-centred worker respects the participant's choice, checks in about whether there is a reason they do not want to cook (tiredness? pain? something else?), notes it in the progress note, and perhaps asks if they would like to try again next time. The participant's goals matter โ€” but so does their autonomy on any given day.

Knowledge Check

A participant asks you to do all their cooking for them because it is easier. But their support plan says the goal is to build their cooking skills. What do you do?

You explain gently that their support plan is about building their cooking skills โ€” your role is to support them to cook, not to cook for them. You can ask what feels manageable today: maybe they want to cook one part of the meal and you help with the rest. You document what happened in your progress note. If this is a recurring pattern, you raise it with your supervisor so the plan can be reviewed. You do not simply take over โ€” that would undermine the participant's goal and is not person-centred support.

What is 'dignity of risk' and why does it matter?

Dignity of risk means that people with disability have the same right as everyone else to make choices that carry some level of risk. Removing all risk from a person's life is not protection โ€” it is a form of over-restriction that limits their freedom and autonomy. Your role is to ensure the participant has the information and support to make an informed choice, to note any safety concerns in your documentation, and to raise significant risks with your supervisor. You do not unilaterally override the participant's choice because you think it is risky.

SW8 โ€” Incident Reporting

Support Worker Training  ยท  Module 8 of 12  ยท  NDIS Incident Management

Your documentation is not just paperwork. It is a legal record, an accountability tool, a continuity mechanism, and evidence of the quality of care you provide. A progress note that is missing, vague, or inaccurate creates problems for the participant, for OCC, and for you personally. At audit, documentation is one of the primary things the NDIS Commission looks for.

Every support session you deliver must be documented in a progress note within 24 hours of the session ending. This is an OCC policy requirement and a reflection of the NDIS Practice Standards' requirement for contemporaneous, accurate record-keeping.

What Must Be in a Progress Note

Element Details
Date and time Start time and end time of the support session
Participant name and ID Full name and OCC participant reference number
Your name and staff ID Your full name and OCC staff ID (e.g., OCCS006)
Supports delivered What you actually did during the session โ€” be specific, not generic
Participant engagement and response How the participant engaged with the supports: positive, reluctant, distressed, communicated preferences
Progress towards goals Reference the participant's NDIS goal that this session addressed, and note any observable progress
Incidents or concerns Any incidents, near-misses, concerns about participant wellbeing, or changes in condition โ€” even minor ones
Follow-up actions Anything that needs to happen next (supervisor contact, next session focus, referral, family contact)
Your signature or digital authentication Progress notes are legal documents โ€” they must be attributed to you

What Makes a Good Progress Note

Poor note vs good note

POOR NOTE: 'Visited participant. Did the usual tasks. All went well.' โ€” This note tells us almost nothing. What tasks? How did the participant engage? What goal was being worked towards? Any concerns? This note would fail an audit. GOOD NOTE: 'Supported Maria in her kitchen with meal preparation (lunch) in line with her goal of independent cooking (NDIS goal: Daily Living Skills). Maria initiated the activity independently today โ€” she had already gathered the ingredients before I arrived, which is a notable step forward. She managed the stovetop with verbal prompting only. No incidents or concerns. Session ended on time. Maria asked about the next session โ€” she wants to try making dinner next time.' This note is specific, goal-referenced, observational, and professional.

Support Plans

Every participant has a support plan that tells you: who they are and what matters to them; their NDIS goals; the specific supports funded and how they should be delivered; any risks or health conditions you need to know about; their preferred communication style; and emergency contacts. You must read the support plan before your first shift with a new participant and whenever it is updated. Do not rely on verbal handovers alone. If you cannot find the support plan or it seems out of date, contact the Client Services Manager before proceeding.

⚠ Never document retrospectively

Progress notes must be completed within 24 hours of the support session. Notes completed days or weeks after the event are unreliable, may be inaccurate, and could be seen as falsification of records. If you missed a progress note, contact your supervisor immediately โ€” do not attempt to write it up from memory as if it were contemporaneous.

Knowledge Check

What is the maximum time you have to complete a progress note after a shift?

24 hours. Progress notes must be completed within 24 hours of the support session ending. This is both an OCC policy requirement and a reflection of the NDIS Practice Standards' requirement for accurate, timely documentation. Notes completed after this timeframe may be flagged in an audit.

A participant tells you something personal that concerns you โ€” not something that requires an incident report, but something you want noted. What do you write?

Document it factually in the progress note under 'Incidents or concerns' or 'Participant communication.' Use the participant's own words in quotation marks where relevant. Do not interpret, diagnose, or draw conclusions โ€” just record what was said or observed. Note any follow-up action you took (e.g., mentioned to supervisor). Example: 'Participant mentioned feeling lonely since a family member moved away. Noted for supervisor awareness. No immediate safety concern identified.'

SW9 โ€” Privacy & Confidentiality

Support Worker Training  ยท  Module 9 of 12  ยท  Privacy Act 1988 & NDIS Practice Standards

Reporting incidents is one of the most important things you will ever do in this role. A promptly reported incident can prevent further harm, trigger the right support, protect the participant, and protect you. An unreported incident โ€” or one that is reported late or minimised โ€” can have serious consequences for participants and for your ongoing employment and registration.

OCC uses the Incident Report Form (INC-IRF-001) to document all incidents. You must submit a completed form within 24 hours of any incident, regardless of how minor it seems.

What Counts as an Incident?

An incident is any event that has, or could have, an adverse impact on a participant's health, safety, wellbeing, or rights. When in doubt, report. It is always better to report something minor that turns out to be nothing than to fail to report something serious.

Category Examples โ€” Report These
Physical harm or injury Participant falls, cuts, bruises, burns, allergic reactions, medication errors, choking
Psychological or emotional harm Participant expressing suicidal thoughts, self-harming, showing signs of extreme distress or trauma
Alleged abuse or neglect Participant discloses abuse; you observe unexplained injuries; participant appears afraid of someone in their environment
Property damage or theft Participant's property is damaged, lost, or stolen during a support session
Near-misses Something that almost went wrong โ€” a hazard that could cause harm if not addressed
Participant absence Participant is not at home when expected and cannot be reached
Allegations against a worker Participant, family member, or third party makes an allegation against any OCC worker

Reportable Incidents โ€” What Goes to the NDIS Commission

Some incidents are classified as 'reportable incidents' under the NDIS (Incident Management and Reportable Incidents) Rules 2018 (Cth). These must be reported to the NDIS Commission by OCC management, within 24 hours. As a support worker, your role is to report to OCC management immediately โ€” not to report to the Commission yourself. But you must understand what a reportable incident is so you escalate appropriately.

Reportable Incident Type Action Required
Death of a participant connected to the delivery of supports Call your supervisor immediately. Complete incident form. Director notifies Commission within 24 hours.
Serious injury (requiring hospitalisation or medical treatment) Ensure participant receives emergency care first. Call supervisor. Complete incident form. Director notifies Commission within 24 hours.
Sexual misconduct (any form, by anyone in the support environment) Ensure participant safety. Call supervisor immediately. Do not delay โ€” this must reach the Director within the hour.
Physical, emotional, or psychological abuse Ensure participant safety. Call supervisor immediately. Do not investigate yourself.
Neglect Ensure participant's immediate needs are met. Call supervisor. Complete incident form.
Unlawful use of restrictive practices Call supervisor immediately. Do not use restrictive practices unless specifically approved in the participant's plan.

🔗 Authorised Source

NDIS Commission โ€” Incident Management

Source: ndiscommission.gov.au/providers/registered-providers/incident-management-and-reportable-incidents

What to Do First in an Emergency

Your priority in any emergency is the participant's safety โ€” not paperwork. First: ensure the participant is safe. Call 000 if there is a risk to life. Then call your supervisor. Then complete the incident report form within 24 hours. Never leave a distressed or at-risk participant alone while you deal with paperwork.

A participant falls

You are supporting a participant with their daily routine when they slip and fall in the bathroom. Your first priority is to check on them. Do not move them if they may have a spinal or neck injury โ€” call 000 if you are unsure. Once medical assistance is either underway or confirmed as not needed, call your supervisor. After the immediate situation is resolved, complete the incident report form (INC-IRF-001) within 24 hours. Document: the time of the fall, what you observed, what the participant said, what first aid was applied, who was called, and the outcome.

Knowledge Check

A participant tells you their family member hit them last week. What do you do?

Stay calm. Take what they say seriously. Do not dismiss it or tell them they must have been mistaken. Do not promise you will keep it secret โ€” you cannot. Tell the participant that you care about their safety and that you need to tell your supervisor so that they can get the right support. Call your supervisor immediately after the session ends (or during, if the participant is in immediate danger). Complete an incident report form within 24 hours. The incident will be escalated to the Director and may be reported to the NDIS Commission and/or police.

Are you protected if you report an incident in good faith that turns out not to be what you thought it was?

Yes. You are legally protected as a good faith reporter. If you genuinely believed something warranted a report and you reported it honestly and without malice, you are protected even if investigation shows the situation was different from what you understood. This protection exists to encourage reporting โ€” the worst outcome of a false alarm is a brief investigation. The worst outcome of not reporting a real incident is far more serious.

SW10 โ€” Professional Boundaries

Support Worker Training  ยท  Module 10 of 12  ยท  Code of Conduct & Professional Standards

Work health and safety is not just a rule OCC has to follow โ€” it is how we protect you and the people you support. As a support worker, you deliver services in environments that OCC does not fully control: participant homes, community venues, vehicles, and public spaces. This means you need strong WHS awareness and the confidence to identify and respond to hazards wherever you find them.

🔗 Authorised Source

Work Health and Safety Act 2011 (Cth) and Occupational Health and Safety Act 2004 (Vic)

Source: safeworkaustralia.gov.au

OCC has duties as a PCBU (Person Conducting a Business or Undertaking) to ensure the health, safety and welfare of workers. Workers also have duties under WHS law.

Your WHS Duties

You have legal obligations under work health and safety legislation. These apply regardless of where you are working โ€” including in a participant's home.

Your Duty What It Means in Practice
Take reasonable care of your own health and safety Do not ignore a hazard that puts you at risk. Use PPE when provided. Follow safe work procedures.
Take reasonable care not to harm others Your actions must not put the participant, their family members, or others at risk of harm.
Comply with OCC's WHS instructions Follow manual handling procedures, PPE requirements, and any other safety instructions from OCC or your supervisor.
Report hazards promptly If you see a hazard โ€” in a participant's home, in a vehicle, in any work environment โ€” report it to your supervisor the same day. Do not wait.
Participate in WHS training Attend all WHS training OCC provides. Keep your manual handling and infection control certificates current.

Hazard Identification in Participant Homes

Before and during each shift, mentally scan the environment for hazards. Common hazards in participant homes include: wet or slippery floors; cluttered pathways; unsafe furniture or bed height; aggressive or large animals; faulty equipment (wheelchairs, hoists, shower chairs); poor lighting; and presence of other household members who may behave unpredictably.

You are not expected to fix hazards yourself. You are expected to note them, avoid them where possible, and report them to your supervisor immediately so that appropriate action can be taken. If the hazard presents an immediate risk to you or the participant, you may need to pause the support session and contact your supervisor before proceeding.

A hazard in a participant's home

You arrive at a participant's home and notice the grab rail in the bathroom has come loose from the wall. The participant uses this rail when transferring onto the toilet โ€” without it, there is a significant fall risk. Do not attempt to fix the rail yourself. Do not proceed with personal care that requires the participant to use the rail. Contact your supervisor immediately. Explain the situation. Follow your supervisor's instructions โ€” they may contact the participant's family or landlord, or arrange an interim support method. Document the hazard in your progress note and complete a hazard report.

Manual Handling

Musculoskeletal injuries from manual handling are one of the most common workplace injuries in the disability and aged care sector. You must complete manual handling training before supporting participants who require physical assistance. Key principles: never lift alone if the participant's weight requires two people or equipment; use prescribed equipment (hoists, slide sheets, transfer belts) correctly; adjust the environment before you start (bed height, furniture position); and always communicate with the participant about what you are going to do before you do it.

Infection Prevention

You must complete infection prevention and control training annually. Key practices: wash hands with soap and water for at least 20 seconds, or use alcohol-based hand sanitiser, before and after personal care; use gloves and other PPE when required; handle and dispose of waste according to OCC's procedures; and do not attend work if you are unwell. If you are supporting a participant with a known infectious condition, follow the specific infection control requirements in their support plan or seek guidance from your supervisor.

Knowledge Check

You notice a hazard in a participant's home that you cannot fix yourself. What do you do?

Report it to your supervisor immediately โ€” on the same day, either by phone or via the OCC hazard reporting process. Document the hazard in your progress note. If the hazard presents an immediate risk to the participant or to you, pause the support session (or the unsafe component of it) and contact your supervisor before proceeding. Do not attempt to fix structural or equipment hazards yourself โ€” that is outside your role and may create additional risks.

Why is it important to tell the participant what you are doing before assisting with a physical transfer?

For safety reasons: the participant needs to know what is about to happen so they can prepare their body, cooperate, and alert you to any pain or discomfort. For dignity reasons: it respects the participant's autonomy and ensures they are an active participant in their own care. For legal reasons: physical assistance without consent could constitute assault, even if well-intentioned.

SW11 โ€” Documentation & Progress Notes

Support Worker Training  ยท  Module 11 of 12  ยท  NDIS Practice Standard 2.1 โ€” Support Planning

Privacy and professional boundaries are not bureaucratic concepts โ€” they are how we protect participants, protect ourselves, and maintain trust. Participants share deeply personal information with us, invite us into their homes, and trust us with their physical care. That trust is a serious responsibility.

🔗 Authorised Source

Privacy Act 1988 (Cth) โ€” Australian Privacy Principles

Source: oaic.gov.au/privacy/australian-privacy-principles

OCC is bound by the 13 Australian Privacy Principles. Participant health and disability information is 'sensitive information' and receives the highest level of privacy protection.

Privacy โ€” What You Must Do

Privacy Rule In Practice
Only collect information that is needed for the participant's support Do not ask personal questions beyond what is required for your role. If a participant volunteers personal information, you may note what is relevant but should not probe further.
Keep information secure Do not leave notes, files, or devices with participant information unattended. Do not discuss participant information in public places. Lock your device if it contains participant information.
Only share information with authorised people Do not discuss a participant's situation with family members who are not listed as authorised contacts. Do not share information with other participants or community members.
Respect participant consent Do not share information about a participant without their consent, except in very limited circumstances (risk to safety, legal obligation).
Handle records properly Progress notes, incident reports, and participant files are confidential documents. Submit them through OCC's system only. Do not email participant information to personal email accounts.

Social Media โ€” A Common Risk Area

⚠ Social media and participant privacy

You must never post any information, photos, or comments about participants on social media โ€” even without naming them, even with the best intentions, even with the participant's permission. Participant information shared on social media is not secure, cannot be recalled, and may violate the Privacy Act 1988. This includes photos taken during support sessions, posts about 'a client I support', and any information that could identify a participant. A single social media breach can result in immediate termination of employment.

Professional Boundaries

Professional boundaries protect both you and the participants you support. They are not about being cold or distant โ€” you can be warm, caring, and genuinely engaged while maintaining clear professional limits. Boundaries that must always be maintained include:

Boundary Why It Matters
Do not accept gifts from participants (except very minor, token gifts) Accepting gifts can create feelings of obligation, blur boundaries, and lead to complaints of financial manipulation
Do not lend money to, or borrow money from, participants Financial transactions between workers and participants create exploitation risks and legal liability for OCC
Do not give participants your personal mobile number Contact between participants and workers outside scheduled supports must go through OCC channels
Do not continue contact with participants after your employment ends without OCC approval Post-employment relationships require specific approval and policy compliance to prevent exploitation
Do not become involved in a participant's personal, financial, or legal decisions These decisions must remain with the participant, their legal representative, or their support coordinator โ€” not their support worker

Mandatory Reporting โ€” Child Safety

If you support a participant who is a child, or if a participant discloses information suggesting a child is at risk of harm, you may have mandatory reporting obligations under Victorian law. Contact your supervisor immediately if you are concerned about a child's safety โ€” do not wait until after your shift.

Knowledge Check

A participant's adult sibling approaches you after a shift and asks how their brother has been going. What do you do?

Politely explain that you are not able to discuss a participant's situation or progress with family members without the participant's explicit consent and without going through OCC. Refer them to the Client Services Manager, who can facilitate an appropriate conversation if the sibling is an authorised contact. Even if the sibling seems genuinely caring, sharing participant information without authorisation is a privacy breach โ€” regardless of who is asking.

Can you take a photo of yourself and a participant at a community event to share on social media if the participant says it is fine?

No. OCC's privacy policy prohibits sharing participant information, images, or identifying details on social media in all circumstances. Even with the participant's verbal permission, this is not acceptable โ€” a participant's verbal permission does not override OCC's obligations under the Privacy Act 1988. If you want to document a positive moment, write about it in your progress note (without identifying details) or raise it with your supervisor.

SW12 โ€” Pay, Conditions & Your Rights

Support Worker Training  ยท  Module 12 of 12  ยท  SCHADS Award 2010

As an OCC support worker, your employment conditions are governed by the Social, Community, Home Care and Disability Services Industry Award 2010 (SCHADS Award, MA000100), made under the Fair Work Act 2009 (Cth). You are entitled to know your entitlements and how they are calculated. If you believe your pay or conditions are incorrect, you have the right to raise this with OCC โ€” and ultimately with the Fair Work Ombudsman.

🔗 Authorised Source

SCHADS Award (MA000100) โ€” Fair Work Act 2009 (Cth)

Source: fairwork.gov.au/employment-conditions/awards/awards-list

The SCHADS Award is available in full at fairwork.gov.au. Pay rates are updated on 1 July each year following the Fair Work Commission's Annual Wage Review. Always verify current rates at fairwork.gov.au.

Pay and Payroll at OCC

Item Details
Pay cycle Fortnightly โ€” paid every two weeks into your nominated bank account
Superannuation 12% employer contribution as at 1 July 2025 (rising to 12.5% from 1 July 2026), paid into your nominated super fund in line with the Superannuation Guarantee (Administration) Act 1992
Payslips Provided for every pay period โ€” itemises hours worked, pay rate, allowances, tax withheld, and super contributions. Keep all payslips.
Tax PAYG withholding in line with ATO requirements. Complete a Tax File Number Declaration form if you have not already.
Probation 3 months from your commencement date for all employees

Leave Entitlements

Leave Type Full/Part-Time Casual Notes
Annual Leave 4 weeks per year (accrues progressively) Not entitled (casual loading compensates) Cannot be cashed out below NES minimum
Personal/Carer's Leave (Sick Leave) 10 days per year 2 days unpaid carer's leave per occasion Used for your own illness or to care for an immediate family member
Compassionate Leave 2 days per occasion 2 days unpaid per occasion Death or serious illness of an immediate family member
Community Service Leave Unpaid (jury duty is paid) Unpaid (jury duty may be paid) For jury service or emergency volunteering
Parental Leave Up to 12 months unpaid (right to request 12 more) May have limited entitlements Must have 12 months continuous service
Long Service Leave Refer to Victorian Long Service Leave Act 2018 May accrue after 7 years Pro-rata available after 7 years

Penalty Rates

Under the SCHADS Award, you are entitled to penalty rates for work outside ordinary hours. The rates below are indicative โ€” always check the current SCHADS Award at fairwork.gov.au for the rates applicable to your classification and work type, as they are updated annually on 1 July.

When You Work Indicative Penalty Rate
Monday to Friday โ€” ordinary hours Base rate (100%)
Saturday Typically 150% of base rate
Sunday Typically 200% of base rate
Public holidays Typically 250% of base rate (plus possible additional entitlements)
Early morning (before 6am) or late night shifts Shift allowances may apply โ€” refer to current SCHADS Award schedule
⚠ Check current rates

Pay rates and penalty rates under the SCHADS Award are updated on 1 July each year. The rates above are indicative only. Always verify current minimums at fairwork.gov.au before querying your pay. You can also call the Fair Work Infoline on 13 13 94.

Cancellation Policy

You are required to provide at least 24 hours notice if you cannot attend a rostered shift. Failure to provide notice may affect your pay entitlements for that shift under the SCHADS Award provisions. If you are a casual worker, you may accept or decline shifts โ€” but repeatedly declining without reason may affect your ongoing rostering. Speak with the Operations Manager if you have concerns about your availability or roster.

If Your Pay Is Wrong

Raise it with the HR/Finance Manager in the first instance. If it is not resolved, contact the Fair Work Ombudsman at fairwork.gov.au or call 13 13 94. You cannot be dismissed, disadvantaged, or treated differently for exercising your legal rights under the Fair Work Act 2009.

Knowledge Check

What is the current superannuation rate and when does it change?

As of 1 July 2025, the Superannuation Guarantee rate is 12%. This increases to 12.5% from 1 July 2026. OCC must contribute this rate on your ordinary time earnings into your nominated super fund, in line with the Superannuation Guarantee (Administration) Act 1992. If you have a question about your super contributions, check your payslip or contact the HR/Finance Manager.

As a casual support worker, are you entitled to annual leave?

No. Casual employees are not entitled to accrue annual leave, but your casual pay rate includes a loading that compensates for this. You are entitled to two days of unpaid carer's leave per occasion if you need to care for an ill immediate family member. If your employment type changes to permanent part-time or full-time, speak with the HR/Finance Manager about your updated entitlements.

โœ“ Training Pathway Complete

Support Worker Training Pathway  ยท  12 modules  ยท  Open Care Connect

Please confirm each of the following before generating your record:

Training Completion Signatures

Setting up Option B in Microsoft 365 (one-time, takes ~10 minutes):
  1. Open forms.microsoft.com and sign in with your OCC Microsoft account.
  2. Click New Form โ†’ title it "OCC Training Completion โ€” Support Worker Training Pathway".
  3. Add fields: Name (Text), Staff ID (Text), Date Completed (Date), Pathway (dropdown: Support Worker / Core Team), and a declaration confirmation (Choice: Yes/No).
  4. Click Share โ†’ copy the link โ†’ paste it into this file replacing # in gen_hub.py, then regenerate.
  5. Responses automatically save to an Excel workbook in your SharePoint โ€” your training register, built in.

CT1 โ€” NDIS Framework & OCC Overview

Core Team Training  ยท  Module 1 of 10  ยท  NDIS Act 2013 โ€” Provider Governance

Open Care Connect (trading as Open Care Community Services Pty Ltd) is a registered NDIS provider located at 32 Ranfurlie Circuit, Melton West VIC 3338. Our ABN is 22 668 873 694 and our NDIS Provider ID is 4-JU2I9UJ. Our website is opencareconnect.com.au. As a core team member, you carry collective responsibility for everything we do โ€” from the quality of a single support session to our standing with the NDIS Quality and Safeguards Commission.

Leadership at OCC means making decisions that consistently align with our vision: to provide quality and inclusive services that empower individuals with disabilities to thrive. Our mission is to passionately deliver comprehensive and accessible services tailored to the unique needs of individuals with disabilities โ€” through collaboration, advocacy, and innovative support.

Governance is not just policies and paperwork. It is how we demonstrate, to participants, families, the Commission, and the broader community, that we are worthy of their trust.

Our Values

The following six values are taken directly from OCC's Participant Handbook (V1.1, approved 01 March 2026). They are not aspirational statements โ€” they are behavioural commitments that every team member is expected to demonstrate.

Value What It Means in Practice
Putting People First with Respect We prioritise and tailor our services, respecting and valuing the unique needs of individuals with disabilities. You are at the centre of everything we do.
Empowerment and Growth through Empathy We are dedicated to fostering independence, inclusion, and empowerment, listening empathetically to the needs of everyone we support.
Celebrating Diversity We embrace and honour the diverse backgrounds and contributions of all individuals. We deliver culturally safe and inclusive services.
Dedicated Assistance and Listening We actively listen and support individuals with disabilities, helping them achieve their aspirations and goals. We hear you before we act.
Team Collaboration for Excellence Through collaborative efforts across our team, we ensure high-quality and accessible services for every participant.
Accountability and Responsibility We hold ourselves accountable for our actions and decisions, ensuring transparency and trustworthiness in all we do.

Our Organisational Structure

OCC operates under a defined management structure documented in GOV-ORG-001. Five core management roles ensure clear accountability and appropriate segregation of duties.

Role Primary Accountability Reports To
Director Ultimate accountability for NDIS compliance, financial management, quality delivery, regulatory adherence, worker screening sign-off, induction authorisation, incident oversight, and board reporting NDIS Quality and Safeguards Commission
Client Services Manager Participant onboarding, support plan development, service quality in the field, face-to-face assessments, family communication, participant satisfaction Director
Quality and Compliance Manager Audit scheduling and execution, document control, compliance calendar management, policy maintenance, training coordination, CI Register management Director
Operations Manager Rostering, shift management, worker supervision, participant file management, WHS coordination, transport and vehicle oversight Director
HR/Finance Manager Recruitment, worker screening coordination, payroll (fortnightly), leave management, superannuation obligations, performance management, SCHADS Award administration Director

The current core team: Kubir Khanal (OCCS001, Director), Kamal Dhimal (OCCS002), Devi Phuyel (OCCS003), Manoj Khadka (OCCS004), Sumnima Baral (OCCS005). Support worker Kul Chandra Adhikari (OCCS006) commenced on 06 March 2026.

Segregation of Duties

Segregation of duties means no single person controls all aspects of a critical function. The person who recruits a worker should not be the same person who approves their worker screening clearance. The person who schedules an audit should not manage the team being audited. This protects participants, protects the organisation, and protects individual staff from unfair accusations.

In practice: A governance decision

The Operations Manager discovers a support worker has been using a participant's personal phone to complete progress notes โ€” a data security risk. The correct response: notify the Quality and Compliance Manager to assess the policy breach; consult the HR/Finance Manager about whether this is a conduct matter; brief the Director given the compliance implications; implement a corrective action; document the decision and rationale in the CI Register. No single person resolves this alone.

Director Sign-Off Authority

The Director holds sole sign-off authority over three critical areas: (1) authorising new staff to work with participants after completing induction; (2) approving all participant service agreements before services commence; (3) signing off on significant incidents reported to the NDIS Commission. These are legal requirements under our registration conditions โ€” not preferences.

As a core team member, governance means:

  • You understand your specific portfolio and escalate decisions outside it to the Director
  • You escalate anything affecting participant safety, quality, or compliance before acting
  • You document your decisions, rationale, and actions
  • You hold OCC's six values as daily behavioural standards โ€” not just statements
  • You understand that our governance structure exists to protect participants, not to create bureaucracy

Knowledge Check

Who holds ultimate accountability to the NDIS Commission?

The Director. Each manager is accountable for their portfolio and reports to the Director. All decisions affecting participant safety, quality, or compliance are escalated to the Director before action is taken.

What does OCC's vision statement say?

OCC's vision, as stated in the Participant Handbook V1.1 (March 2026), is: 'to provide quality and inclusive services that empower individuals with disabilities to thrive.'

CT2 โ€” NDIS Code of Conduct

Core Team Training  ยท  Module 2 of 10  ยท  NDIS Code of Conduct

Our NDIS registration is a continuous, legally binding commitment to meet the standards set by the NDIS Quality and Safeguards Commission. If we fail to meet these standards, the Commission can impose conditions, suspend, or cancel our registration โ€” meaning we could no longer provide services to NDIS participants.

OCC is registered under the National Disability Insurance Scheme Act 2013 (Cth). Registration is governed by the National Disability Insurance Scheme (Provider Registration and Practice Standards) Rules 2018 (Cth).

🔗 Authorised Source

NDIS Practice Standards

Source: ndiscommission.gov.au/rules-and-standards/ndis-practice-standards

The NDIS Practice Standards and Quality Indicators document (Version 4, November 2021) sets out every outcome and quality indicator registered providers are assessed against.

Our Eight Registration Groups

The following registration groups are confirmed from OCC's NDIS Initial Scope of Audit document (02 November 2023). OCC must only deliver supports within these categories.

Code Registration Group (Official Name) What It Covers
0102 Assist Access/Maintain Employ Employment-related support โ€” helping participants find, maintain, and succeed in employment. This includes job skills development, workplace modifications, and employment coaching.
0104 Assist Personal Activities High High intensity daily personal activities โ€” complex personal care tasks that require specialised training, such as management of medication, complex bowel care, enteral feeding, and wound care. Only workers with HIDPA-specific training may deliver these supports.
0106 Assist-Life Stage, Transition Support during major life transitions โ€” leaving school, entering employment, moving from home, or other significant changes in a participant's life circumstances.
0107 Assist-Personal Activities Standard daily personal activities โ€” personal hygiene and care, meal preparation, domestic assistance, and other routine daily living supports.
0108 Assist-Travel/Transport Assistance with travel and transport โ€” supporting participants to travel independently, use public transport, and access the community safely.
0117 Development-Life Skills Development of daily living and life skills โ€” building participants' capacity for independent living including cooking, budgeting, managing a home, and using community services.
0120 Household Tasks Household tasks โ€” cleaning, laundry, gardening, home maintenance where these tasks support the participant's independence or are necessary for safe and healthy living.
0125 Participate Community Community participation โ€” supporting participants to engage in social, recreational, and community activities, build relationships, and participate in their community.
⚠ Critical rule

You may only arrange or approve supports within OCC's registered groups. Registration group 0104 (High Intensity Personal Activities) requires workers to hold specific HIDPA training before delivering those supports. The Director must confirm a worker's qualifications before they are rostered for 0104 supports.

The NDIS Practice Standards โ€” Core Module

The Core Module applies to all registered providers delivering higher-risk supports. It contains four standards, each with quality indicators that approved auditors assess. As a core team member, you are responsible for demonstrating OCC's compliance with each standard.

Standard What It Requires OCC Responsibility
1. Rights and Responsibilities Participants understand their rights and the provider's responsibilities. Informed consent is obtained. Decision-making support is provided. The complaints process is explained. Director, Client Services Manager โ€” service agreements, rights charter, complaints process
2. Governance and Operational Management The provider has sound governance, qualified staff, documented systems, financial management, and risk management frameworks. Director, Quality and Compliance Manager โ€” GOV-QMF-001, risk register, governance framework
3. The Provision of Supports Supports are planned, delivered, and reviewed in partnership with the participant, reflecting their goals, needs, and preferences. Client Services Manager, Operations Manager โ€” support plans, progress notes, plan reviews
4. Support Provision Environment The environment in which supports are provided is safe, accessible, and appropriate for the delivery of the support. Operations Manager โ€” WHS, vehicle checks, risk assessments in participant homes

In addition to the four core standards, OCC's registration requires compliance with Core Module Standard 4.3 (Management of Medication) and Core Module Standard 4.5 (Management of Waste), due to providing high intensity personal activities (registration group 0104).

High Intensity Daily Personal Activities (HIDPA)

Because OCC is registered for group 0104 (Assist Personal Activities High), workers delivering these supports must hold specific competencies for each high intensity task. These include complex bowel care, enteral feeding, tracheostomy management, subcutaneous injections, and wound management. The HR/Finance Manager and Director must ensure only appropriately trained workers are rostered for 0104 supports. OCC's HIDPA Module policies are held in the Policies and Procedures folder.

Certification Audits

The NDIS Commission requires registered providers to undergo certification audits by an approved quality auditor. For OCC, this means an initial registration audit and recertification every three years, plus surveillance audits between certification cycles. The Quality and Compliance Manager coordinates audit readiness. All core team members must participate fully and provide honest, transparent responses to auditors.

Knowledge Check

How many registration groups does OCC hold, and which one requires specific HIDPA training?

OCC holds eight registration groups, confirmed in the NDIS Initial Scope of Audit (02/11/2023): 0102, 0104, 0106, 0107, 0108, 0117, 0120, and 0125. Registration group 0104 (Assist Personal Activities High) requires workers to hold HIDPA-specific training and competency for each high intensity support task before delivering those supports.

The NDIS Practice Standards Core Module has how many standards?

Four. Standard 1 (Rights and Responsibilities), Standard 2 (Governance and Operational Management), Standard 3 (The Provision of Supports), and Standard 4 (Support Provision Environment). These are set out in the NDIS Practice Standards and Quality Indicators document (Version 4, November 2021). OCC also has additional obligations under Core Module Standards 4.3 (Medication) and 4.5 (Waste).

CT3 โ€” Practice Standards & Audit

Core Team Training  ยท  Module 3 of 10  ยท  NDIS Practice Standards โ€” Governance

Quality management at OCC is not a compliance exercise. It is how we ensure that every participant receives the standard of support they deserve, every time. Our Quality Management Framework (GOV-QMF-001) sets out the systems, processes, and accountabilities that keep us operating to the standard required by the NDIS Commission and expected by our participants.

The QMF is built on a continuous improvement model. This means that quality is not a destination โ€” it is a process of ongoing monitoring, reviewing, identifying gaps, and improving. Every core team member has a role in this cycle.

The Continuous Improvement Cycle

OCC's quality management follows a Plan-Do-Check-Act (PDCA) cycle: we plan what quality looks like, we implement those plans, we monitor and audit to check whether we're meeting our standards, and then we act on what we find to improve. The CI Register (Continuous Improvement Register) is the central tool for capturing and tracking improvement actions across all areas of the business.

Stage What Happens Who Is Responsible
Plan Set quality objectives, develop policies and procedures, create audit schedule Quality and Compliance Manager, Director
Do Implement policies, deliver training, execute support plans, follow documented procedures All staff, Operations Manager
Check Conduct internal audits, collect participant feedback, review incident data, monitor compliance calendar Quality and Compliance Manager, all managers
Act Address findings, update policies, implement corrective actions, update CI Register Quality and Compliance Manager, Director sign-off on significant actions

Document Control

Every policy, procedure, form, and register at OCC follows our document control protocol. This ensures staff are always working from the current version of a document, and that outdated versions cannot cause errors or compliance failures.

The OCC document naming convention is: OCC_[DocumentName]_V[X.X].docx โ€” for example, OCC_StaffHandbook_V1.1.docx. Version numbers use whole numbers for major revisions (V2.0) and decimals for minor updates (V1.1). Documents are reviewed annually or when legislation changes. Superseded documents are archived with a clear date stamp and must not be used for active processes.

Document Code Document Name Review Cycle
GOV-ORG-001 Organisation Chart Annual or upon structural change
GOV-QMF-001 Quality Management Framework Annual
GOV-BPL-001 Business Plan Annual
CM-QAS-001 Quality Audit Schedule Annual
HR-TMI-001 Mandatory Training Index Annual or upon regulation change
INC-IRF-001 Incident Report Form Annual or upon Commission requirement change
CMP-PFS-001 Participant Feedback Survey Annual

Monitoring and Performance Indicators

The Quality and Compliance Manager monitors a set of key performance indicators across the year. These include: percentage of incidents reported within required timeframes; percentage of complaints resolved within 28 days; percentage of staff with current mandatory training; and participant satisfaction scores from the bi-annual feedback survey (CMP-PFS-001). These indicators are reported to the Director quarterly and form part of our evidence base at audit.

Quality improvement in practice

Following a review of incident data for the first quarter of 2026, the Quality and Compliance Manager identifies that three of five incident reports were completed more than 24 hours after the event. This is a compliance gap. The CI Register is updated with an action: refresher training for all support workers on incident reporting timelines within four weeks. The HR/Finance Manager coordinates the training. The Quality and Compliance Manager monitors completion and reviews the next quarter's data for improvement.

Knowledge Check

What is the CI Register used for?

The CI Register (Continuous Improvement Register) is used to capture all improvement actions identified through audits, incident reviews, complaint analysis, participant feedback, and staff feedback. It records the issue, the action required, the person responsible, the due date, and the completion date. It is the central evidence document for our continuous improvement process and is reviewed at each audit.

What does the document naming convention OCC_[DocumentName]_V[X.X].docx mean?

OCC identifies the organisation; DocumentName is a short descriptive name; V[X.X] indicates the version number where whole numbers (V1.0, V2.0) indicate major revisions and decimals (V1.1, V1.2) indicate minor updates. Using consistent naming means staff and auditors can always identify the current version of any document.

CT4 โ€” Participant Rights & Engagement

Core Team Training  ยท  Module 4 of 10  ยท  UN CRPD & NDIS Practice Standards

Compliance at OCC is not something we do at audit time. It is built into how we operate every day, every week, every month. Our Compliance Calendar 2026 contains 20 scheduled compliance activities across the year, assigned to specific role owners with defined frequencies. As a core team member, you are responsible for executing and evidencing the activities in your portfolio.

The compliance calendar is maintained by the Quality and Compliance Manager and reviewed at the start of each quarter. If an activity cannot be completed on time, the responsible manager must notify the Director and document the delay and its reason in the CI Register.

Compliance Activity Categories

Frequency Examples Owner
Monthly Progress note audits (random sample), incident register review, mandatory training currency check, complaints register review Quality and Compliance Manager
Quarterly Internal audit (rotating focus areas), board/director report, participant satisfaction review, WHS inspection Quality and Compliance Manager, Director
Bi-Annual Participant satisfaction survey (CMP-PFS-001), full policy review cycle, staff file audit, full mandatory training report Quality and Compliance Manager, HR/Finance Manager
Annual Full internal audit, external certification audit (when due), business plan review, SCHADS Award compliance check, document register review Quality and Compliance Manager, Director

How Compliance Is Evidenced

Evidence of compliance is what protects OCC at audit. For every scheduled compliance activity, there must be a dated record: an audit report, a completed checklist, meeting minutes, a training completion record, or a survey result. The Quality and Compliance Manager maintains a compliance evidence folder that is made available to auditors on request. Do not rely on memory โ€” document everything.

Compliance in practice

In March 2026, the Quality and Compliance Manager conducts the Q1 internal audit with a focus on documentation practices (progress notes and incident reports). They review a random sample of 10 progress notes from the previous month. Three are found to be incomplete โ€” missing the participant's goal reference and the worker's signature. This is documented in the audit report, an action is added to the CI Register, and refresher coaching is provided to the workers involved within two weeks. The Q2 audit will include a follow-up check on documentation quality to confirm improvement.

NDIS Commission Reporting Obligations

Compliance is not just internal. Certain events must be reported to the NDIS Commission within specific timeframes. These are non-negotiable legal obligations:

Event Reporting Timeframe Who Reports
Reportable incidents โ€” death, serious injury, abuse or neglect, unlawful sexual or physical contact, sexual misconduct Within 24 hours of becoming aware Director or Quality and Compliance Manager via NDIS Commission portal
Reportable incidents โ€” unauthorised use of a restrictive practice (without harm) Within 5 business days of becoming aware (24 hours if harm occurred) Director or Quality and Compliance Manager via NDIS Commission portal
Change in key personnel Within 30 days Director
Change to scope of registration Before change occurs Director
Provider ceasing operations As soon as practicable Director
Significant changes to financial position Within 30 days Director

🔗 Authorised Source

NDIS Commission Reportable Incidents

Source: ndiscommission.gov.au/providers/registered-providers/incident-management-and-reportable-incidents

All registered providers must have an incident management system and report certain incidents to the Commission.

Knowledge Check

What must happen if a scheduled compliance activity cannot be completed on time?

The responsible manager must notify the Director immediately and document the delay and its reason in the CI Register. A revised completion date must be agreed and monitored. Recurring delays in compliance activities would be a red flag at audit.

What is the timeframe for reporting a reportable incident to the NDIS Commission?

Within 24 hours of the registered provider becoming aware of the incident. This includes death of a participant, serious injury, abuse, neglect, sexual misconduct, or unlawful use of restrictive practices. The Director or Quality and Compliance Manager submits the report through the NDIS Commission online portal.

CT5 โ€” Risk & Incident Management

Core Team Training  ยท  Module 5 of 10  ยท  NDIS Incident Management Framework

Auditing is how OCC tests whether our systems and practices are actually working โ€” not just whether our policies say the right things. The Quality Audit Schedule (CM-QAS-001, V1.2) sets out eight specific audit types conducted throughout the year. As a core team member, you will either conduct audits, participate in them, or be accountable for audit findings in your area.

Internal audits are conducted by OCC personnel. External certification audits are conducted by an approved quality auditor appointed by the NDIS Commission. Both types produce findings that must be addressed and evidenced.

The Eight Audit Types

Audit Type Focus Frequency Lead
Documentation Audit Progress notes, incident reports, support plans โ€” completeness, accuracy, timeliness Quarterly Quality and Compliance Manager
Staff File Audit Worker screening, mandatory training currency, employment documentation, induction completion Bi-Annual HR/Finance Manager
Participant File Audit Service agreements, support plans, consent forms, communication logs, plan review currency Bi-Annual Client Services Manager
Financial Compliance Audit NDIS price guide adherence, invoice accuracy, SCHADS Award payroll compliance Annual Director, HR/Finance Manager
WHS Compliance Audit Hazard registers, incident records, vehicle checks, manual handling records, PPE availability Annual Operations Manager
Incident Management Audit Incident report quality, reporting timeframes, Commission notification compliance, corrective action completion Quarterly Quality and Compliance Manager
Complaints Management Audit Complaints register completeness, resolution timeframes, participant satisfaction follow-up Bi-Annual Quality and Compliance Manager
Policy and Procedure Review Currency and accuracy of all policies against current legislation and Commission requirements Annual Quality and Compliance Manager, Director

The Audit Process at OCC

Every audit follows a consistent three-stage process. In the planning stage, the Quality and Compliance Manager confirms the scope and dates with the relevant manager, prepares audit tools (checklists, sample selection criteria), and notifies any staff who will be involved. In the fieldwork stage, the auditor reviews documents, observes practices where relevant, and interviews staff. In the reporting stage, the auditor prepares an audit report with findings, ratings, and recommended actions. The Director reviews and approves all audit reports before they are filed.

An audit finding and response

The Q2 2026 Documentation Audit finds that six of 15 progress notes reviewed were completed more than 24 hours after the support session โ€” a breach of our documentation policy. The audit report rates this as a 'moderate' finding. The Quality and Compliance Manager adds an action to the CI Register: all support workers to complete a documentation refresher session within three weeks, and the Operations Manager to conduct a spot-check of progress notes for the following four weeks. At the Q3 audit, the auditor will verify that the action has been completed and effectiveness assessed.

Preparing for an External Certification Audit

When the NDIS Commission schedules an external certification audit, the Quality and Compliance Manager leads OCC's preparation. This includes conducting a full self-assessment against each Practice Standard, compiling a document register and evidence portfolio, briefing all staff on the audit process and their roles, and ensuring the CI Register shows that previous audit findings have been actioned. The Director is the primary point of contact with the external auditor. All core team members are expected to participate honestly and constructively in the external audit process.

⚠ Important

It is a serious breach of our obligations to withhold documents from, or provide misleading information to, an external auditor. All staff are required to be cooperative, honest, and transparent during any audit โ€” internal or external.

Knowledge Check

How many audit types are in OCC's Quality Audit Schedule (CM-QAS-001)?

Eight audit types: Documentation Audit, Staff File Audit, Participant File Audit, Financial Compliance Audit, WHS Compliance Audit, Incident Management Audit, Complaints Management Audit, and Policy and Procedure Review. They occur at different frequencies โ€” quarterly, bi-annual, and annual โ€” as set out in CM-QAS-001 V1.2.

What happens after an audit identifies a finding?

The finding is documented in the audit report with a rating (minor, moderate, or significant) and a recommended action. The action is added to the CI Register with a responsible person and due date. The Director reviews and approves the report. The responsible manager implements the action within the agreed timeframe. The next relevant audit verifies completion and assesses effectiveness.

CT6 โ€” HR, SCHADS & Employment Law

Core Team Training  ยท  Module 6 of 10  ยท  Fair Work Act 2009 & SCHADS Award

Every person we recruit, screen, and employ represents OCC to the people we support. Getting human resources right โ€” particularly worker screening and induction โ€” is one of the most significant compliance obligations we carry as a registered NDIS provider. The HR/Finance Manager holds primary responsibility for this area, but the Director has final sign-off authority.

Worker Screening โ€” The Legal Requirement

Under the National Disability Insurance Scheme (Worker Screening) Act 2020 (Cth), all workers in Risk Assessed Roles (RAR) at a registered NDIS provider must hold a current NDIS Worker Screening Check before they can work with NDIS participants unsupervised. This is not a discretionary policy โ€” it is a legal requirement.

🔗 Authorised Source

NDIS Worker Screening

Source: ndiscommission.gov.au/providers/worker-screening

The NDIS Worker Screening Check applies to all workers in Risk Assessed Roles at registered providers.

Risk Assessed Roles (RAR)

The NDIS (Worker Screening) Act 2020 defines Risk Assessed Roles in three categories. All OCC support workers fall into at least one of these categories.

Category Who It Covers OCC Examples
Category (a) Workers who deliver NDIS supports directly to a participant All support workers, including Kul Chandra Adhikari (OCCS006)
Category (b) Key personnel โ€” those who make decisions affecting participants' lives, or are responsible for operational management Director, all managers (OCCS001โ€“OCCS005)
Category (c) Workers who have more than incidental contact with participants in the course of their duties Admin staff, transport drivers, anyone regularly in participant environments

A person in a Risk Assessed Role cannot commence working with NDIS participants until their screening check application has been submitted and they have received either a clearance or an approval to commence work pending clearance. The screening authority in Victoria (Victorian Department of Justice and Community Safety) makes the RAR determination within 20 working days of a complete application. The check is valid for five years.

The Five-Stage Induction

OCC uses a structured five-stage induction process (HR-TMI-001) for all new staff before they are authorised to work with participants independently.

Stage Timing Key Activities
Stage 1: Pre-Commencement Before first day Signed employment contract, Worker Screening Check application submitted, 100 points of ID verified, mandatory training commenced, right to work confirmed
Stage 2: Day 1 First day Workplace tour, introduction to team, access to systems, OCC values and culture briefing, Code of Conduct sign-off, photo ID issued
Stage 3: Week 1 Days 2โ€“5 OCC policies and procedures overview, participant file system training, incident reporting process, supervision meeting with manager
Stage 4: Weeks 2โ€“4 First four weeks Supervised practice with participants (where applicable), mandatory online training completion (NDIS Worker Orientation Module, infection control), first formal supervision session
Stage 5: Sign-Off End of induction period (approx. 4 weeks) Director reviews induction checklist and confirms all requirements met; Director signs off authorising the worker to deliver supports independently
⚠ Director sign-off is mandatory

No support worker may deliver supports independently until the Director has reviewed the completed induction checklist and provided written sign-off. This is a non-negotiable requirement under our NDIS registration conditions. If the Director sign-off has not been completed, the worker must only operate under direct supervision.

Employment Conditions โ€” SCHADS Award

OCC support workers are employed under the Social, Community, Home Care and Disability Services Industry Award 2010 (SCHADS Award, MA000100), the modern award that governs employment conditions in the disability sector. As a core team member, you must understand the key provisions of this award to ensure OCC meets its legal obligations as an employer.

🔗 Authorised Source

SCHADS Award โ€” Social, Community, Home Care and Disability Services Industry Award 2010 (MA000100)

Source: fairwork.gov.au/employment-conditions/awards/awards-list

The SCHADS Award sets minimum pay rates, penalty rates, allowances, and leave entitlements for support workers.

Key Provision Details
Pay cycle Fortnightly (every two weeks)
Superannuation 11.5% employer contribution as at 2026 (legislated rate)
Probation period 3 months for all new employees
Overtime Applicable when hours exceed the maximum ordinary hours defined in the award
Penalty rates Applies for work on weekends, public holidays, and outside ordinary hours
Shift allowances Applicable for certain shift types โ€” refer to the current SCHADS Award schedule
Annual leave 4 weeks per annum pro-rata (full-time equivalent)

Staff File Requirements

Every staff member must have a complete file maintained by the HR/Finance Manager. This file must contain: signed employment contract; current Worker Screening Check status (clearance or approval); copy of 100 points of ID; evidence of all mandatory training completions (dates and certificates); signed copy of the OCC Code of Conduct; completed induction checklist with Director sign-off; and current professional registration certificates (where applicable). Staff files are audited bi-annually.

Knowledge Check

What is the NDIS Worker Screening Check and how long is it valid?

The NDIS Worker Screening Check is a background check required under the NDIS (Worker Screening) Act 2020 for all workers in Risk Assessed Roles at registered NDIS providers. It assesses whether a person poses an unacceptable risk to people with disability. The check is conducted by the state or territory screening authority (in Victoria, the Department of Justice and Community Safety) and is valid for five years from the date of clearance.

Who must sign off on a new worker's induction before they can work with participants independently?

The Director must review the completed induction checklist and provide written sign-off authorising the worker to deliver supports independently. This applies to all new workers regardless of their prior experience in the disability sector. Until the Director's sign-off is in place, the worker may only operate under direct supervision.

CT7 โ€” Financial Management & NDIS Pricing

Core Team Training  ยท  Module 7 of 10  ยท  NDIS Pricing Arrangements & Price Limits

Every participant who chooses OCC is placing an enormous amount of trust in us. The participant onboarding process is where we either earn that trust or lose it. Getting it right means the participant understands their rights, feels heard, has a genuine support plan that reflects their goals, and knows exactly how to access help if something goes wrong.

The participant onboarding process is led by the Client Services Manager and requires Director sign-off on the service agreement before any services commence.

The Participant Onboarding Process

Step Activity Who Documentation
1 Initial enquiry received โ€” captured in the enquiry register Client Services Manager Enquiry log
2 Eligibility confirmed โ€” participant must be an NDIS participant with relevant funding in their plan Client Services Manager NDIS plan extract or myplace portal confirmation
3 Face-to-face or phone assessment to understand participant goals, preferences, support needs, and risk factors Client Services Manager Assessment form
4 Service agreement drafted, reviewed with participant and (if applicable) their nominated representative Client Services Manager OCC Service Agreement
5 Director reviews and signs off on service agreement before it is signed by participant Director Signed service agreement on file
6 Support plan developed with the participant, reflecting their NDIS goals and the support types funded Client Services Manager Participant support plan
7 Rostering โ€” participant matched with suitable, screened, trained support worker Operations Manager Roster system
8 Participant rights and responsibilities explained, complaints process provided, emergency contacts confirmed Client Services Manager, support worker at first visit Participant handbook provided

Person-Centred Planning

OCC's support planning approach is built on the principle that the participant is the expert on their own life. The support plan is not a document we write about someone โ€” it is a document we write with them. It must reflect their stated goals (using their own words where possible), their preferred routines and communication style, their risk factors and how to manage them, and their preferred support workers where this preference has been expressed.

Support plans are reviewed at least every 12 months, or whenever there is a significant change in the participant's circumstances, NDIS plan, or goals. The Client Services Manager is responsible for scheduling and leading plan reviews.

🔗 Authorised Source

Person-Centred Approaches to Support Planning

Source: ndiscommission.gov.au/providers/providing-services-and-supports/person-centred-approaches

The NDIS Commission expects providers to use a person-centred approach in all aspects of service delivery.

Participant Rights and Complaints

Every OCC participant is given a copy of the Participant Handbook at onboarding. The handbook contains their rights charter, our service delivery commitments, and information about how to make a complaint. Under our complaints management policy:

Step Timeframe Responsible
Acknowledge complaint receipt Within 2 business days Client Services Manager or Director
Investigate and resolve Within 28 days of receipt Client Services Manager, escalated to Director for significant complaints
Follow up with complainant Within 5 days of resolution Client Services Manager
Record in complaints register Immediately upon receipt Quality and Compliance Manager

Participants may also raise complaints directly with the NDIS Commission. We must never discourage a participant from doing so, and we must cooperate fully with any Commission-led investigation.

Participant Satisfaction Surveys

OCC conducts participant satisfaction surveys twice a year using the standard survey tool (CMP-PFS-001). Survey results are analysed by the Quality and Compliance Manager and reported to the Director. Any area where satisfaction scores fall below the target threshold triggers a quality improvement action in the CI Register. The survey is voluntary and anonymous โ€” participants are encouraged but never pressured to participate.

Knowledge Check

What must happen before a service agreement is signed with a participant?

The Director must review and sign off on the service agreement before it is presented to the participant for signature. This ensures the agreement accurately reflects our registration conditions, complies with NDIS Price Guide requirements, and appropriately sets out both parties' rights and obligations. No services may commence before a signed agreement is in place.

How often are support plans reviewed?

At least every 12 months, and any time there is a significant change in the participant's NDIS plan, personal circumstances, goals, or risk profile. Reviews are led by the Client Services Manager and conducted with the participant (and their support person or representative if applicable).

CT8 โ€” WHS & Safe Work Practices

Core Team Training  ยท  Module 8 of 10  ยท  Work Health & Safety Act 2011

Incident management is one of our most important compliance obligations and one of the clearest measures of our commitment to participant safety. An incident that is managed well โ€” reported promptly, investigated thoroughly, and used to drive improvement โ€” is evidence of a well-functioning provider. An incident that is hidden, minimised, or poorly managed is a serious compliance failure and a risk to participants.

OCC classifies incidents into three categories. The category determines the reporting pathway and timeframe.

Incident Categories

Category Definition Examples Reporting
Minor Low-level events with limited impact on participant wellbeing, no injury, no ongoing risk Participant refuses support, minor misunderstanding, late service delivery, small property damage Documented internally within 24 hours; reviewed monthly
Significant Events causing or likely to cause material impact on participant wellbeing, requiring management review and corrective action Medication error without serious harm, participant distress during support, worker conduct concern, unexplained injury of minor nature Incident form completed within 24 hours; Director review required; CI Register updated
Reportable Events that must be reported to the NDIS Commission under the NDIS (Incident Management and Reportable Incidents) Rules 2018 (Cth) Death of a participant, serious injury, sexual misconduct, physical or psychological abuse, neglect, unauthorised use of restrictive practices Report to NDIS Commission within 24 hours of becoming aware; full incident investigation; Director-led response

🔗 Authorised Source

NDIS Reportable Incidents

Source: ndiscommission.gov.au/providers/registered-providers/incident-management-and-reportable-incidents

Under the NDIS (Incident Management and Reportable Incidents) Rules 2018, registered providers must notify the Commission of reportable incidents.

The Incident Reporting Process

Any staff member who witnesses or becomes aware of an incident must complete an Incident Report Form (INC-IRF-001) within 24 hours of the event. The completed form is submitted to the Operations Manager who classifies it, determines the appropriate response, and escalates to the Director for significant and reportable incidents. The Quality and Compliance Manager maintains the incident register and conducts monthly reviews of all entries.

A reportable incident

A support worker arrives at a participant's home and finds the participant has a bruise on their arm that was not present at the previous support session. The participant is unable to clearly explain how it happened. The support worker immediately contacts their supervisor, completes an incident report form, and does not leave the participant alone. The Operations Manager escalates to the Director immediately. The Director makes a preliminary report to the NDIS Commission within two hours and commences an internal investigation. The participant's GP is contacted that day. A full investigation report is submitted to the Commission within five business days.

Risk Management at OCC

OCC maintains a risk register that is reviewed quarterly by the Quality and Compliance Manager and presented to the Director. The risk register covers strategic, operational, participant safety, financial, and compliance risks. Each risk is rated by likelihood and consequence, assigned to a risk owner, and has documented mitigation strategies. High-rated risks require immediate escalation and a documented management plan.

Risk Rating Action Required
Low Monitor and review quarterly; no immediate action required
Moderate Implement mitigation strategies; review monthly; report to Director
High Immediate Director briefing; documented management plan; review weekly until rating is reduced
Critical Immediate Director and (if participant safety is involved) NDIS Commission notification; suspend related activities if necessary; daily review

Knowledge Check

What is the timeframe for reporting a reportable incident to the NDIS Commission?

Within 24 hours of the registered provider becoming aware of the incident. The Director or Quality and Compliance Manager submits the notification through the NDIS Commission online portal. A full incident investigation report must follow within five business days.

What are the six types of events that are 'reportable incidents' under the NDIS Rules?

Under the NDIS (Incident Management and Reportable Incidents) Rules 2018, the six categories are: (1) death of a participant connected to the delivery of supports; (2) serious injury requiring urgent medical treatment or hospitalisation; (3) abuse or neglect of a person with disability; (4) unlawful sexual or physical contact or assault of a participant; (5) sexual misconduct against or in the presence of a participant (including grooming); and (6) unauthorised use of a restrictive practice. Categories 1โ€“5 must be reported within 24 hours; category 6 within 5 business days unless harm occurred (then 24 hours).

CT9 โ€” Privacy, Consent & Information Governance

Core Team Training  ยท  Module 9 of 10  ยท  Privacy Act 1988 & APPs

OCC operates within a complex legislative environment. As a core team member, you do not need to be a lawyer โ€” but you do need to understand which laws apply to what we do, what they require of us, and where to look when you need to go deeper. This module is a reference guide to the key legislation governing OCC's operations.

Primary NDIS Legislation

Legislation What It Does Where to Find It
National Disability Insurance Scheme Act 2013 (Cth) The principal Act establishing the NDIS, the NDIA, and the NDIS Quality and Safeguards Commission. Defines participant eligibility, plan funding, and provider obligations. legislation.gov.au
NDIS (Provider Registration and Practice Standards) Rules 2018 (Cth) Sets out the NDIS Practice Standards (Core Module, HIDPA Module, and others) that registered providers must meet. legislation.gov.au
NDIS Code of Conduct Rules 2018 (Cth) Defines the seven conduct obligations binding on all NDIS workers and providers. legislation.gov.au / ndiscommission.gov.au
NDIS (Incident Management and Reportable Incidents) Rules 2018 (Cth) Defines reportable incident categories and notification obligations. legislation.gov.au
NDIS (Worker Screening) Act 2020 (Cth) Requires all workers in Risk Assessed Roles to hold a current NDIS Worker Screening Check. legislation.gov.au

Privacy and Information Handling

🔗 Authorised Source

Privacy Act 1988 (Cth) โ€” Australian Privacy Principles

Source: oaic.gov.au/privacy/australian-privacy-principles

The 13 Australian Privacy Principles (APPs) govern how organisations collect, store, use, and disclose personal information. OCC is bound by the APPs as a provider handling sensitive health and disability information.

The Privacy Act 1988 (Cth) contains the 13 Australian Privacy Principles (APPs), which govern how we collect, hold, use, and disclose participant and staff personal information. Key obligations for OCC: we only collect personal information that is necessary for our purposes; we must tell participants what information we collect and how it is used; we must store information securely; and we must not disclose personal information about a participant without their consent, except in limited circumstances (such as risk to safety, or legal obligation to disclose).

Health information is classified as 'sensitive information' under the Privacy Act and attracts higher protections. All participant health information must be stored securely, accessible only to authorised staff, and never shared with third parties without explicit consent or legal requirement. File retention: participant files must be retained for a minimum of seven years, and indefinitely for Aboriginal and Torres Strait Islander participants.

Work Health and Safety

🔗 Authorised Source

Work Health and Safety Act 2011 (Cth) and state equivalents

Source: safeworkaustralia.gov.au

OCC has duties under WHS legislation as a person conducting a business or undertaking (PCBU). Victoria applies the Occupational Health and Safety Act 2004 (Vic).

As a PCBU (Person Conducting a Business or Undertaking), OCC must so far as is reasonably practicable ensure the health, safety, and welfare of all workers. This includes support workers delivering services in participants' homes โ€” which are considered workplaces under WHS law. Key duties: identifying and managing hazards; providing information, training, and supervision; consulting with workers on WHS matters; and having a documented WHS management plan.

Employment Law

🔗 Authorised Source

Fair Work Act 2009 (Cth) โ€” SCHADS Award (MA000100)

Source: fairwork.gov.au/employment-conditions/awards/awards-list

The Fair Work Act 2009 and the SCHADS Award govern employment conditions for OCC support workers.

OCC's employment obligations are governed by the Fair Work Act 2009 (Cth) and the SCHADS Award (MA000100). The National Employment Standards (NES) set minimum entitlements โ€” including annual leave (four weeks), personal/carer's leave (10 days), and parental leave โ€” that apply to all employees regardless of award. The SCHADS Award sets minimum pay rates, allowances, and conditions specific to the disability and community services sector.

Knowledge Check

Which Act requires OCC to hold an NDIS Worker Screening Check for all risk assessed role workers?

The National Disability Insurance Scheme (Worker Screening) Act 2020 (Cth). This Act establishes the national worker screening framework and makes it unlawful for a registered NDIS provider to engage a person in a Risk Assessed Role if they do not hold a clearance or have not been approved to work pending clearance.

How long must OCC retain participant files?

A minimum of seven years. For Aboriginal and Torres Strait Islander participants, files must be retained indefinitely. These requirements apply from the date of the last service delivery entry. Files must be stored securely and accessible only to authorised personnel, in line with the Privacy Act 1988 and the Australian Privacy Principles.

CT10 โ€” Quality & Continuous Improvement

Core Team Training  ยท  Module 10 of 10  ยท  NDIS Quality Framework

The NDIS Code of Conduct is one of the primary regulatory instruments that governs how everyone at OCC must behave. As a core team member, you are bound by the Code of Conduct Rules 2018 in everything you do. You are also responsible for ensuring your team understands it, and for responding correctly when a conduct issue arises.

🔗 Authorised Source

NDIS Code of Conduct Rules 2018 (Cth) โ€” Guidance for Providers (April 2024)

Source: ndiscommission.gov.au/rules-and-standards/ndis-code-conduct

These rules are legally binding on all registered NDIS providers and their workers. The April 2024 guidance documents provide current explanations of each obligation.

The Seven Conduct Obligations

Obligation The Legal Requirement Your Leadership Responsibility
1. Respect individual rights Act with respect for individual rights to freedom of expression, self-determination, and decision-making in accordance with applicable laws and conventions. Model a culture where participant choices are respected. Ensure staff never override participant decisions without lawful authority. Support staff to understand that respecting autonomy is not permissive โ€” it is legally required.
2. Respect privacy Respect the privacy of people with disability. Ensure all participant information is held, used, and disclosed in line with the Privacy Act 1988. Audit access to participant files. Investigate any privacy breach immediately.
3. Safe and competent delivery Provide supports and services in a safe and competent manner with care and skill. Ensure workers are rostered only for supports they are trained and qualified to deliver. Maintain mandatory training registers. Never pressure staff to exceed their competence.
4. Integrity, honesty, transparency Act with integrity, honesty, and transparency. Ensure all service agreements, invoices, and communications with participants are accurate and clear. Address dishonesty in the team immediately.
5. Raise and act on concerns Promptly take steps to raise and act on concerns about matters that might have an impact on the quality and safety of supports provided to people with disability. Create a culture where staff feel safe to raise concerns without fear. Never punish a worker for a good-faith report. Respond to every concern promptly and on the record.
6. Prevent violence, exploitation, neglect and abuse Take all reasonable steps to prevent and respond to all forms of violence against, exploitation, neglect, and abuse of people with disability. Ensure all staff are trained in recognising and responding to abuse and neglect. Follow up every concern with documented action. Cooperate fully with Commission investigations.
7. Prevent sexual misconduct Take all reasonable steps to prevent and respond to sexual misconduct. Report immediately to the Director. Mandatory Commission notification within 24 hours. Zero-tolerance policy โ€” no exceptions, regardless of the circumstances.

Worker Conduct Management

When a conduct concern is raised about a staff member, OCC must respond consistently and fairly. The process: receive the report and document it; determine whether to stand the worker down from participant-facing duties pending investigation (for serious allegations, this is the default); conduct a fair, documented investigation; make a finding; implement an appropriate outcome (counselling through to termination); and notify the NDIS Commission if the conduct constitutes a reportable incident or the worker poses an unacceptable risk.

⚠ Mandatory Commission notification

If an OCC worker is dismissed โ€” or resigns โ€” in circumstances where OCC reasonably believes the worker posed an unacceptable risk to participants, OCC must notify the NDIS Commission. This obligation exists even after employment has ended. Failure to notify is a serious compliance breach.

Building a Safe Conduct Culture

Regulatory compliance alone does not create a safe culture. As core team members, you actively build a culture where staff feel safe to raise concerns without fear of retaliation; participant feedback is taken seriously; conduct expectations are communicated clearly from day one; and you model OCC's values โ€” particularly Accountability and Responsibility โ€” in how you manage your teams.

Knowledge Check

Which Code of Conduct obligation requires a 24-hour notification to the NDIS Commission?

Obligation 7 โ€” take all reasonable steps to prevent and respond to sexual misconduct. Any sexual misconduct involving a participant must be reported to the Director and notified to the NDIS Commission within 24 hours of the registered provider becoming aware. This is also a reportable incident under the NDIS (Incident Management and Reportable Incidents) Rules 2018.

What are the seven conduct obligations in correct order?

1. Respect individual rights; 2. Respect privacy; 3. Safe and competent delivery; 4. Integrity, honesty, transparency; 5. Raise and act on concerns about quality and safety; 6. Prevent violence, exploitation, neglect and abuse; 7. Prevent and respond to sexual misconduct. These are the seven obligations under the National Disability Insurance Scheme (Code of Conduct) Rules 2018.

โœ“ Training Pathway Complete

Core Team Training Pathway  ยท  10 modules  ยท  Open Care Connect

Please confirm each of the following before generating your record:

Training Completion Signatures

Setting up Option B in Microsoft 365 (one-time, takes ~10 minutes):
  1. Open forms.microsoft.com and sign in with your OCC Microsoft account.
  2. Click New Form โ†’ title it "OCC Training Completion โ€” Core Team Training Pathway".
  3. Add fields: Name (Text), Staff ID (Text), Date Completed (Date), Pathway (dropdown: Support Worker / Core Team), and a declaration confirmation (Choice: Yes/No).
  4. Click Share โ†’ copy the link โ†’ paste it into this file replacing # in gen_hub.py, then regenerate.
  5. Responses automatically save to an Excel workbook in your SharePoint โ€” your training register, built in.

KS1 โ€” NDIS Framework & OCC Overview

Key Stakeholders Training  ยท  Module 1 of 14  ยท  NDIS Act 2013 โ€” Provider Governance & Registration

📚 Training Framework Reference

Mandatory Training Framework & Staff Induction Index

Location: 05_Compliance_Quality / Training / Mandatory_Training_Framework.docx and Staff_Induction_Index.docx

These documents set out OCC's full training schedule, mandatory completion timeframes, and record-keeping requirements for all staff. As a key stakeholder, you are responsible for ensuring this framework is implemented across the organisation. Review both documents alongside this training pathway.

Open Care Connect (trading as Open Care Community Services Pty Ltd) is a registered NDIS provider located at 32 Ranfurlie Circuit, Melton West VIC 3338. Our ABN is 22 668 873 694 and our NDIS Provider ID is 4-JU2I9UJ. Our website is opencareconnect.com.au. As a key stakeholder, you carry collective responsibility for everything we do โ€” from the quality of a single support session to our standing with the NDIS Quality and Safeguards Commission.

Leadership at OCC means making decisions that consistently align with our vision: to provide quality and inclusive services that empower individuals with disabilities to thrive. Our mission is to passionately deliver comprehensive and accessible services tailored to the unique needs of individuals with disabilities โ€” through collaboration, advocacy, and innovative support.

Governance is not just policies and paperwork. It is how we demonstrate, to participants, families, the Commission, and the broader community, that we are worthy of their trust.

Our Values

The following six values are taken directly from OCC's Participant Handbook (V1.1, approved 01 March 2026). They are not aspirational statements โ€” they are behavioural commitments that every team member is expected to demonstrate.

Value What It Means in Practice
Putting People First with Respect We prioritise and tailor our services, respecting and valuing the unique needs of individuals with disabilities. You are at the centre of everything we do.
Empowerment and Growth through Empathy We are dedicated to fostering independence, inclusion, and empowerment, listening empathetically to the needs of everyone we support.
Celebrating Diversity We embrace and honour the diverse backgrounds and contributions of all individuals. We deliver culturally safe and inclusive services.
Dedicated Assistance and Listening We actively listen and support individuals with disabilities, helping them achieve their aspirations and goals. We hear you before we act.
Team Collaboration for Excellence Through collaborative efforts across our team, we ensure high-quality and accessible services for every participant.
Accountability and Responsibility We hold ourselves accountable for our actions and decisions, ensuring transparency and trustworthiness in all we do.

Our Organisational Structure

OCC operates under a defined management structure documented in GOV-ORG-001. Five core management roles ensure clear accountability and appropriate segregation of duties.

Role Primary Accountability Reports To
Director Ultimate accountability for NDIS compliance, financial management, quality delivery, regulatory adherence, worker screening sign-off, induction authorisation, incident oversight, and board reporting NDIS Quality and Safeguards Commission
Client Services Manager Participant onboarding, support plan development, service quality in the field, face-to-face assessments, family communication, participant satisfaction Director
Quality and Compliance Manager Audit scheduling and execution, document control, compliance calendar management, policy maintenance, training coordination, CI Register management Director
Operations Manager Rostering, shift management, worker supervision, participant file management, WHS coordination, transport and vehicle oversight Director
HR/Finance Manager Recruitment, worker screening coordination, payroll (fortnightly), leave management, superannuation obligations, performance management, SCHADS Award administration Director

The current core team: Kubir Khanal (OCCS001, Director), Kamal Dhimal (OCCS002), Devi Phuyel (OCCS003), Manoj Khadka (OCCS004), Sumnima Baral (OCCS005). Support worker Kul Chandra Adhikari (OCCS006) commenced on 06 March 2026.

Segregation of Duties

Segregation of duties means no single person controls all aspects of a critical function. The person who recruits a worker should not be the same person who approves their worker screening clearance. The person who schedules an audit should not manage the team being audited. This protects participants, protects the organisation, and protects individual staff from unfair accusations.

In practice: A governance decision

The Operations Manager discovers a support worker has been using a participant's personal phone to complete progress notes โ€” a data security risk. The correct response: notify the Quality and Compliance Manager to assess the policy breach; consult the HR/Finance Manager about whether this is a conduct matter; brief the Director given the compliance implications; implement a corrective action; document the decision and rationale in the CI Register. No single person resolves this alone.

Director Sign-Off Authority

The Director holds sole sign-off authority over three critical areas: (1) authorising new staff to work with participants after completing induction; (2) approving all participant service agreements before services commence; (3) signing off on significant incidents reported to the NDIS Commission. These are legal requirements under our registration conditions โ€” not preferences.

As a key stakeholder, governance means:

  • You understand your specific portfolio and escalate decisions outside it to the Director
  • You escalate anything affecting participant safety, quality, or compliance before acting
  • You document your decisions, rationale, and actions
  • You hold OCC's six values as daily behavioural standards โ€” not just statements
  • You understand that our governance structure exists to protect participants, not to create bureaucracy

Knowledge Check

Who holds ultimate accountability to the NDIS Commission?

The Director. Each manager is accountable for their portfolio and reports to the Director. All decisions affecting participant safety, quality, or compliance are escalated to the Director before action is taken.

What does OCC's vision statement say?

OCC's vision, as stated in the Participant Handbook V1.1 (March 2026), is: 'to provide quality and inclusive services that empower individuals with disabilities to thrive.'

KS2 โ€” NDIS Practice Standards

Key Stakeholders Training  ยท  Module 2 of 14  ยท  NDIS Practice Standards โ€” Registration Groups

Our NDIS registration is a continuous, legally binding commitment to meet the standards set by the NDIS Quality and Safeguards Commission. If we fail to meet these standards, the Commission can impose conditions, suspend, or cancel our registration โ€” meaning we could no longer provide services to NDIS participants.

OCC is registered under the National Disability Insurance Scheme Act 2013 (Cth). Registration is governed by the National Disability Insurance Scheme (Provider Registration and Practice Standards) Rules 2018 (Cth).

🔗 Authorised Source

NDIS Practice Standards

Source: ndiscommission.gov.au/rules-and-standards/ndis-practice-standards

The NDIS Practice Standards and Quality Indicators document (Version 4, November 2021) sets out every outcome and quality indicator registered providers are assessed against.

Our Eight Registration Groups

The following registration groups are confirmed from OCC's NDIS Initial Scope of Audit document (02 November 2023). OCC must only deliver supports within these categories.

Code Registration Group (Official Name) What It Covers
0102 Assist Access/Maintain Employ Employment-related support โ€” helping participants find, maintain, and succeed in employment. This includes job skills development, workplace modifications, and employment coaching.
0104 Assist Personal Activities High High intensity daily personal activities โ€” complex personal care tasks that require specialised training, such as management of medication, complex bowel care, enteral feeding, and wound care. Only workers with HIDPA-specific training may deliver these supports.
0106 Assist-Life Stage, Transition Support during major life transitions โ€” leaving school, entering employment, moving from home, or other significant changes in a participant's life circumstances.
0107 Assist-Personal Activities Standard daily personal activities โ€” personal hygiene and care, meal preparation, domestic assistance, and other routine daily living supports.
0108 Assist-Travel/Transport Assistance with travel and transport โ€” supporting participants to travel independently, use public transport, and access the community safely.
0117 Development-Life Skills Development of daily living and life skills โ€” building participants' capacity for independent living including cooking, budgeting, managing a home, and using community services.
0120 Household Tasks Household tasks โ€” cleaning, laundry, gardening, home maintenance where these tasks support the participant's independence or are necessary for safe and healthy living.
0125 Participate Community Community participation โ€” supporting participants to engage in social, recreational, and community activities, build relationships, and participate in their community.
⚠ Critical rule

You may only arrange or approve supports within OCC's registered groups. Registration group 0104 (High Intensity Personal Activities) requires workers to hold specific HIDPA training before delivering those supports. The Director must confirm a worker's qualifications before they are rostered for 0104 supports.

The NDIS Practice Standards โ€” Core Module

The Core Module applies to all registered providers delivering higher-risk supports. It contains four standards, each with quality indicators that approved auditors assess. As a key stakeholder, you are responsible for demonstrating OCC's compliance with each standard.

Standard What It Requires OCC Responsibility
1. Rights and Responsibilities Participants understand their rights and the provider's responsibilities. Informed consent is obtained. Decision-making support is provided. The complaints process is explained. Director, Client Services Manager โ€” service agreements, rights charter, complaints process
2. Governance and Operational Management The provider has sound governance, qualified staff, documented systems, financial management, and risk management frameworks. Director, Quality and Compliance Manager โ€” GOV-QMF-001, risk register, governance framework
3. The Provision of Supports Supports are planned, delivered, and reviewed in partnership with the participant, reflecting their goals, needs, and preferences. Client Services Manager, Operations Manager โ€” support plans, progress notes, plan reviews
4. Support Provision Environment The environment in which supports are provided is safe, accessible, and appropriate for the delivery of the support. Operations Manager โ€” WHS, vehicle checks, risk assessments in participant homes

In addition to the four core standards, OCC's registration requires compliance with Core Module Standard 4.3 (Management of Medication) and Core Module Standard 4.5 (Management of Waste), due to providing high intensity personal activities (registration group 0104).

High Intensity Daily Personal Activities (HIDPA)

Because OCC is registered for group 0104 (Assist Personal Activities High), workers delivering these supports must hold specific competencies for each high intensity task. These include complex bowel care, enteral feeding, tracheostomy management, subcutaneous injections, and wound management. The HR/Finance Manager and Director must ensure only appropriately trained workers are rostered for 0104 supports. OCC's HIDPA Module policies are held in the Policies and Procedures folder.

Certification Audits

The NDIS Commission requires registered providers to undergo certification audits by an approved quality auditor. For OCC, this means an initial registration audit and recertification every three years, plus surveillance audits between certification cycles. The Quality and Compliance Manager coordinates audit readiness. All key stakeholders must participate fully and provide honest, transparent responses to auditors.

Knowledge Check

How many registration groups does OCC hold, and which one requires specific HIDPA training?

OCC holds eight registration groups, confirmed in the NDIS Initial Scope of Audit (02/11/2023): 0102, 0104, 0106, 0107, 0108, 0117, 0120, and 0125. Registration group 0104 (Assist Personal Activities High) requires workers to hold HIDPA-specific training and competency for each high intensity support task before delivering those supports.

The NDIS Practice Standards Core Module has how many standards?

Four. Standard 1 (Rights and Responsibilities), Standard 2 (Governance and Operational Management), Standard 3 (The Provision of Supports), and Standard 4 (Support Provision Environment). These are set out in the NDIS Practice Standards and Quality Indicators document (Version 4, November 2021). OCC also has additional obligations under Core Module Standards 4.3 (Medication) and 4.5 (Waste).

KS3 โ€” Quality Management Framework

Key Stakeholders Training  ยท  Module 3 of 14  ยท  NDIS Quality Framework โ€” Continuous Improvement

Quality management at OCC is not a compliance exercise. It is how we ensure that every participant receives the standard of support they deserve, every time. Our Quality Management Framework (GOV-QMF-001) sets out the systems, processes, and accountabilities that keep us operating to the standard required by the NDIS Commission and expected by our participants.

The QMF is built on a continuous improvement model. This means that quality is not a destination โ€” it is a process of ongoing monitoring, reviewing, identifying gaps, and improving. Every core team member has a role in this cycle.

The Continuous Improvement Cycle

OCC's quality management follows a Plan-Do-Check-Act (PDCA) cycle: we plan what quality looks like, we implement those plans, we monitor and audit to check whether we're meeting our standards, and then we act on what we find to improve. The CI Register (Continuous Improvement Register) is the central tool for capturing and tracking improvement actions across all areas of the business.

Stage What Happens Who Is Responsible
Plan Set quality objectives, develop policies and procedures, create audit schedule Quality and Compliance Manager, Director
Do Implement policies, deliver training, execute support plans, follow documented procedures All staff, Operations Manager
Check Conduct internal audits, collect participant feedback, review incident data, monitor compliance calendar Quality and Compliance Manager, all managers
Act Address findings, update policies, implement corrective actions, update CI Register Quality and Compliance Manager, Director sign-off on significant actions

Document Control

Every policy, procedure, form, and register at OCC follows our document control protocol. This ensures staff are always working from the current version of a document, and that outdated versions cannot cause errors or compliance failures.

The OCC document naming convention is: OCC_[DocumentName]_V[X.X].docx โ€” for example, OCC_StaffHandbook_V1.1.docx. Version numbers use whole numbers for major revisions (V2.0) and decimals for minor updates (V1.1). Documents are reviewed annually or when legislation changes. Superseded documents are archived with a clear date stamp and must not be used for active processes.

Document Code Document Name Review Cycle
GOV-ORG-001 Organisation Chart Annual or upon structural change
GOV-QMF-001 Quality Management Framework Annual
GOV-BPL-001 Business Plan Annual
CM-QAS-001 Quality Audit Schedule Annual
HR-TMI-001 Mandatory Training Index Annual or upon regulation change
INC-IRF-001 Incident Report Form Annual or upon Commission requirement change
CMP-PFS-001 Participant Feedback Survey Annual

Monitoring and Performance Indicators

The Quality and Compliance Manager monitors a set of key performance indicators across the year. These include: percentage of incidents reported within required timeframes; percentage of complaints resolved within 28 days; percentage of staff with current mandatory training; and participant satisfaction scores from the bi-annual feedback survey (CMP-PFS-001). These indicators are reported to the Director quarterly and form part of our evidence base at audit.

Quality improvement in practice

Following a review of incident data for the first quarter of 2026, the Quality and Compliance Manager identifies that three of five incident reports were completed more than 24 hours after the event. This is a compliance gap. The CI Register is updated with an action: refresher training for all support workers on incident reporting timelines within four weeks. The HR/Finance Manager coordinates the training. The Quality and Compliance Manager monitors completion and reviews the next quarter's data for improvement.

Knowledge Check

What is the CI Register used for?

The CI Register (Continuous Improvement Register) is used to capture all improvement actions identified through audits, incident reviews, complaint analysis, participant feedback, and staff feedback. It records the issue, the action required, the person responsible, the due date, and the completion date. It is the central evidence document for our continuous improvement process and is reviewed at each audit.

What does the document naming convention OCC_[DocumentName]_V[X.X].docx mean?

OCC identifies the organisation; DocumentName is a short descriptive name; V[X.X] indicates the version number where whole numbers (V1.0, V2.0) indicate major revisions and decimals (V1.1, V1.2) indicate minor updates. Using consistent naming means staff and auditors can always identify the current version of any document.

KS4 โ€” Compliance Calendar

Key Stakeholders Training  ยท  Module 4 of 14  ยท  NDIS Commission โ€” Reporting & Compliance Obligations

Compliance at OCC is not something we do at audit time. It is built into how we operate every day, every week, every month. Our Compliance Calendar 2026 contains 20 scheduled compliance activities across the year, assigned to specific role owners with defined frequencies. As a key stakeholder, you are responsible for executing and evidencing the activities in your portfolio.

The compliance calendar is maintained by the Quality and Compliance Manager and reviewed at the start of each quarter. If an activity cannot be completed on time, the responsible manager must notify the Director and document the delay and its reason in the CI Register.

Compliance Activity Categories

Frequency Examples Owner
Monthly Progress note audits (random sample), incident register review, mandatory training currency check, complaints register review Quality and Compliance Manager
Quarterly Internal audit (rotating focus areas), board/director report, participant satisfaction review, WHS inspection Quality and Compliance Manager, Director
Bi-Annual Participant satisfaction survey (CMP-PFS-001), full policy review cycle, staff file audit, full mandatory training report Quality and Compliance Manager, HR/Finance Manager
Annual Full internal audit, external certification audit (when due), business plan review, SCHADS Award compliance check, document register review Quality and Compliance Manager, Director

How Compliance Is Evidenced

Evidence of compliance is what protects OCC at audit. For every scheduled compliance activity, there must be a dated record: an audit report, a completed checklist, meeting minutes, a training completion record, or a survey result. The Quality and Compliance Manager maintains a compliance evidence folder that is made available to auditors on request. Do not rely on memory โ€” document everything.

Compliance in practice

In March 2026, the Quality and Compliance Manager conducts the Q1 internal audit with a focus on documentation practices (progress notes and incident reports). They review a random sample of 10 progress notes from the previous month. Three are found to be incomplete โ€” missing the participant's goal reference and the worker's signature. This is documented in the audit report, an action is added to the CI Register, and refresher coaching is provided to the workers involved within two weeks. The Q2 audit will include a follow-up check on documentation quality to confirm improvement.

NDIS Commission Reporting Obligations

Compliance is not just internal. Certain events must be reported to the NDIS Commission within specific timeframes. These are non-negotiable legal obligations:

Event Reporting Timeframe Who Reports
Reportable incidents โ€” death, serious injury, abuse or neglect, unlawful sexual or physical contact, sexual misconduct Within 24 hours of becoming aware Director or Quality and Compliance Manager via NDIS Commission portal
Reportable incidents โ€” unauthorised use of a restrictive practice (without harm) Within 5 business days of becoming aware (24 hours if harm occurred) Director or Quality and Compliance Manager via NDIS Commission portal
Change in key personnel Within 30 days Director
Change to scope of registration Before change occurs Director
Provider ceasing operations As soon as practicable Director
Significant changes to financial position Within 30 days Director

🔗 Authorised Source

NDIS Commission Reportable Incidents

Source: ndiscommission.gov.au/providers/registered-providers/incident-management-and-reportable-incidents

All registered providers must have an incident management system and report certain incidents to the Commission.

Knowledge Check

What must happen if a scheduled compliance activity cannot be completed on time?

The responsible manager must notify the Director immediately and document the delay and its reason in the CI Register. A revised completion date must be agreed and monitored. Recurring delays in compliance activities would be a red flag at audit.

What is the timeframe for reporting a reportable incident to the NDIS Commission?

Within 24 hours of the registered provider becoming aware of the incident. This includes death of a participant, serious injury, abuse, neglect, sexual misconduct, or unlawful use of restrictive practices. The Director or Quality and Compliance Manager submits the report through the NDIS Commission online portal.

KS5 โ€” Quality Auditing

Key Stakeholders Training  ยท  Module 5 of 14  ยท  NDIS Practice Standards โ€” Certification Audits

Auditing is how OCC tests whether our systems and practices are actually working โ€” not just whether our policies say the right things. The Quality Audit Schedule (CM-QAS-001, V1.2) sets out eight specific audit types conducted throughout the year. As a key stakeholder, you will either conduct audits, participate in them, or be accountable for audit findings in your area.

Internal audits are conducted by OCC personnel. External certification audits are conducted by an approved quality auditor appointed by the NDIS Commission. Both types produce findings that must be addressed and evidenced.

The Eight Audit Types

Audit Type Focus Frequency Lead
Documentation Audit Progress notes, incident reports, support plans โ€” completeness, accuracy, timeliness Quarterly Quality and Compliance Manager
Staff File Audit Worker screening, mandatory training currency, employment documentation, induction completion Bi-Annual HR/Finance Manager
Participant File Audit Service agreements, support plans, consent forms, communication logs, plan review currency Bi-Annual Client Services Manager
Financial Compliance Audit NDIS price guide adherence, invoice accuracy, SCHADS Award payroll compliance Annual Director, HR/Finance Manager
WHS Compliance Audit Hazard registers, incident records, vehicle checks, manual handling records, PPE availability Annual Operations Manager
Incident Management Audit Incident report quality, reporting timeframes, Commission notification compliance, corrective action completion Quarterly Quality and Compliance Manager
Complaints Management Audit Complaints register completeness, resolution timeframes, participant satisfaction follow-up Bi-Annual Quality and Compliance Manager
Policy and Procedure Review Currency and accuracy of all policies against current legislation and Commission requirements Annual Quality and Compliance Manager, Director

The Audit Process at OCC

Every audit follows a consistent three-stage process. In the planning stage, the Quality and Compliance Manager confirms the scope and dates with the relevant manager, prepares audit tools (checklists, sample selection criteria), and notifies any staff who will be involved. In the fieldwork stage, the auditor reviews documents, observes practices where relevant, and interviews staff. In the reporting stage, the auditor prepares an audit report with findings, ratings, and recommended actions. The Director reviews and approves all audit reports before they are filed.

An audit finding and response

The Q2 2026 Documentation Audit finds that six of 15 progress notes reviewed were completed more than 24 hours after the support session โ€” a breach of our documentation policy. The audit report rates this as a 'moderate' finding. The Quality and Compliance Manager adds an action to the CI Register: all support workers to complete a documentation refresher session within three weeks, and the Operations Manager to conduct a spot-check of progress notes for the following four weeks. At the Q3 audit, the auditor will verify that the action has been completed and effectiveness assessed.

Preparing for an External Certification Audit

When the NDIS Commission schedules an external certification audit, the Quality and Compliance Manager leads OCC's preparation. This includes conducting a full self-assessment against each Practice Standard, compiling a document register and evidence portfolio, briefing all staff on the audit process and their roles, and ensuring the CI Register shows that previous audit findings have been actioned. The Director is the primary point of contact with the external auditor. All key stakeholders are expected to participate honestly and constructively in the external audit process.

⚠ Important

It is a serious breach of our obligations to withhold documents from, or provide misleading information to, an external auditor. All staff are required to be cooperative, honest, and transparent during any audit โ€” internal or external.

Knowledge Check

How many audit types are in OCC's Quality Audit Schedule (CM-QAS-001)?

Eight audit types: Documentation Audit, Staff File Audit, Participant File Audit, Financial Compliance Audit, WHS Compliance Audit, Incident Management Audit, Complaints Management Audit, and Policy and Procedure Review. They occur at different frequencies โ€” quarterly, bi-annual, and annual โ€” as set out in CM-QAS-001 V1.2.

What happens after an audit identifies a finding?

The finding is documented in the audit report with a rating (minor, moderate, or significant) and a recommended action. The action is added to the CI Register with a responsible person and due date. The Director reviews and approves the report. The responsible manager implements the action within the agreed timeframe. The next relevant audit verifies completion and assesses effectiveness.

KS6 โ€” Human Resources & Worker Screening

Key Stakeholders Training  ยท  Module 6 of 14  ยท  NDIS Worker Screening Act 2020 & SCHADS Award

Every person we recruit, screen, and employ represents OCC to the people we support. Getting human resources right โ€” particularly worker screening and induction โ€” is one of the most significant compliance obligations we carry as a registered NDIS provider. The HR/Finance Manager holds primary responsibility for this area, but the Director has final sign-off authority.

Worker Screening โ€” The Legal Requirement

Under the National Disability Insurance Scheme (Worker Screening) Act 2020 (Cth), all workers in Risk Assessed Roles (RAR) at a registered NDIS provider must hold a current NDIS Worker Screening Check before they can work with NDIS participants unsupervised. This is not a discretionary policy โ€” it is a legal requirement.

🔗 Authorised Source

NDIS Worker Screening

Source: ndiscommission.gov.au/providers/worker-screening

The NDIS Worker Screening Check applies to all workers in Risk Assessed Roles at registered providers.

Risk Assessed Roles (RAR)

The NDIS (Worker Screening) Act 2020 defines Risk Assessed Roles in three categories. All OCC support workers fall into at least one of these categories.

Category Who It Covers OCC Examples
Category (a) Workers who deliver NDIS supports directly to a participant All support workers, including Kul Chandra Adhikari (OCCS006)
Category (b) Key personnel โ€” those who make decisions affecting participants' lives, or are responsible for operational management Director, all managers (OCCS001โ€“OCCS005)
Category (c) Workers who have more than incidental contact with participants in the course of their duties Admin staff, transport drivers, anyone regularly in participant environments

A person in a Risk Assessed Role cannot commence working with NDIS participants until their screening check application has been submitted and they have received either a clearance or an approval to commence work pending clearance. The screening authority in Victoria (Victorian Department of Justice and Community Safety) makes the RAR determination within 20 working days of a complete application. The check is valid for five years.

The Five-Stage Induction

OCC uses a structured five-stage induction process (HR-TMI-001) for all new staff before they are authorised to work with participants independently.

Stage Timing Key Activities
Stage 1: Pre-Commencement Before first day Signed employment contract, Worker Screening Check application submitted, 100 points of ID verified, mandatory training commenced, right to work confirmed
Stage 2: Day 1 First day Workplace tour, introduction to team, access to systems, OCC values and culture briefing, Code of Conduct sign-off, photo ID issued
Stage 3: Week 1 Days 2โ€“5 OCC policies and procedures overview, participant file system training, incident reporting process, supervision meeting with manager
Stage 4: Weeks 2โ€“4 First four weeks Supervised practice with participants (where applicable), mandatory online training completion (NDIS Worker Orientation Module, infection control), first formal supervision session
Stage 5: Sign-Off End of induction period (approx. 4 weeks) Director reviews induction checklist and confirms all requirements met; Director signs off authorising the worker to deliver supports independently
⚠ Director sign-off is mandatory

No support worker may deliver supports independently until the Director has reviewed the completed induction checklist and provided written sign-off. This is a non-negotiable requirement under our NDIS registration conditions. If the Director sign-off has not been completed, the worker must only operate under direct supervision.

Employment Conditions โ€” SCHADS Award

OCC support workers are employed under the Social, Community, Home Care and Disability Services Industry Award 2010 (SCHADS Award, MA000100), the modern award that governs employment conditions in the disability sector. As a key stakeholder, you must understand the key provisions of this award to ensure OCC meets its legal obligations as an employer.

🔗 Authorised Source

SCHADS Award โ€” Social, Community, Home Care and Disability Services Industry Award 2010 (MA000100)

Source: fairwork.gov.au/employment-conditions/awards/awards-list

The SCHADS Award sets minimum pay rates, penalty rates, allowances, and leave entitlements for support workers.

Key Provision Details
Pay cycle Fortnightly (every two weeks)
Superannuation 11.5% employer contribution as at 2026 (legislated rate)
Probation period 3 months for all new employees
Overtime Applicable when hours exceed the maximum ordinary hours defined in the award
Penalty rates Applies for work on weekends, public holidays, and outside ordinary hours
Shift allowances Applicable for certain shift types โ€” refer to the current SCHADS Award schedule
Annual leave 4 weeks per annum pro-rata (full-time equivalent)

Staff File Requirements

Every staff member must have a complete file maintained by the HR/Finance Manager. This file must contain: signed employment contract; current Worker Screening Check status (clearance or approval); copy of 100 points of ID; evidence of all mandatory training completions (dates and certificates); signed copy of the OCC Code of Conduct; completed induction checklist with Director sign-off; and current professional registration certificates (where applicable). Staff files are audited bi-annually.

Knowledge Check

What is the NDIS Worker Screening Check and how long is it valid?

The NDIS Worker Screening Check is a background check required under the NDIS (Worker Screening) Act 2020 for all workers in Risk Assessed Roles at registered NDIS providers. It assesses whether a person poses an unacceptable risk to people with disability. The check is conducted by the state or territory screening authority (in Victoria, the Department of Justice and Community Safety) and is valid for five years from the date of clearance.

Who must sign off on a new worker's induction before they can work with participants independently?

The Director must review the completed induction checklist and provide written sign-off authorising the worker to deliver supports independently. This applies to all new workers regardless of their prior experience in the disability sector. Until the Director's sign-off is in place, the worker may only operate under direct supervision.

KS7 โ€” Participant Onboarding

Key Stakeholders Training  ยท  Module 7 of 14  ยท  NDIS Practice Standards โ€” Rights and Responsibilities

Every participant who chooses OCC is placing an enormous amount of trust in us. The participant onboarding process is where we either earn that trust or lose it. Getting it right means the participant understands their rights, feels heard, has a genuine support plan that reflects their goals, and knows exactly how to access help if something goes wrong.

The participant onboarding process is led by the Client Services Manager and requires Director sign-off on the service agreement before any services commence.

The Participant Onboarding Process

Step Activity Who Documentation
1 Initial enquiry received โ€” captured in the enquiry register Client Services Manager Enquiry log
2 Eligibility confirmed โ€” participant must be an NDIS participant with relevant funding in their plan Client Services Manager NDIS plan extract or myplace portal confirmation
3 Face-to-face or phone assessment to understand participant goals, preferences, support needs, and risk factors Client Services Manager Assessment form
4 Service agreement drafted, reviewed with participant and (if applicable) their nominated representative Client Services Manager OCC Service Agreement
5 Director reviews and signs off on service agreement before it is signed by participant Director Signed service agreement on file
6 Support plan developed with the participant, reflecting their NDIS goals and the support types funded Client Services Manager Participant support plan
7 Rostering โ€” participant matched with suitable, screened, trained support worker Operations Manager Roster system
8 Participant rights and responsibilities explained, complaints process provided, emergency contacts confirmed Client Services Manager, support worker at first visit Participant handbook provided

Person-Centred Planning

OCC's support planning approach is built on the principle that the participant is the expert on their own life. The support plan is not a document we write about someone โ€” it is a document we write with them. It must reflect their stated goals (using their own words where possible), their preferred routines and communication style, their risk factors and how to manage them, and their preferred support workers where this preference has been expressed.

Support plans are reviewed at least every 12 months, or whenever there is a significant change in the participant's circumstances, NDIS plan, or goals. The Client Services Manager is responsible for scheduling and leading plan reviews.

🔗 Authorised Source

Person-Centred Approaches to Support Planning

Source: ndiscommission.gov.au/providers/providing-services-and-supports/person-centred-approaches

The NDIS Commission expects providers to use a person-centred approach in all aspects of service delivery.

Participant Rights and Complaints

Every OCC participant is given a copy of the Participant Handbook at onboarding. The handbook contains their rights charter, our service delivery commitments, and information about how to make a complaint. Under our complaints management policy:

Step Timeframe Responsible
Acknowledge complaint receipt Within 2 business days Client Services Manager or Director
Investigate and resolve Within 28 days of receipt Client Services Manager, escalated to Director for significant complaints
Follow up with complainant Within 5 days of resolution Client Services Manager
Record in complaints register Immediately upon receipt Quality and Compliance Manager

Participants may also raise complaints directly with the NDIS Commission. We must never discourage a participant from doing so, and we must cooperate fully with any Commission-led investigation.

Participant Satisfaction Surveys

OCC conducts participant satisfaction surveys twice a year using the standard survey tool (CMP-PFS-001). Survey results are analysed by the Quality and Compliance Manager and reported to the Director. Any area where satisfaction scores fall below the target threshold triggers a quality improvement action in the CI Register. The survey is voluntary and anonymous โ€” participants are encouraged but never pressured to participate.

Knowledge Check

What must happen before a service agreement is signed with a participant?

The Director must review and sign off on the service agreement before it is presented to the participant for signature. This ensures the agreement accurately reflects our registration conditions, complies with NDIS Price Guide requirements, and appropriately sets out both parties' rights and obligations. No services may commence before a signed agreement is in place.

How often are support plans reviewed?

At least every 12 months, and any time there is a significant change in the participant's NDIS plan, personal circumstances, goals, or risk profile. Reviews are led by the Client Services Manager and conducted with the participant (and their support person or representative if applicable).

KS8 โ€” Incident Management & Risk

Key Stakeholders Training  ยท  Module 8 of 14  ยท  NDIS Incident Management Framework

Incident management is one of our most important compliance obligations and one of the clearest measures of our commitment to participant safety. An incident that is managed well โ€” reported promptly, investigated thoroughly, and used to drive improvement โ€” is evidence of a well-functioning provider. An incident that is hidden, minimised, or poorly managed is a serious compliance failure and a risk to participants.

OCC classifies incidents into three categories. The category determines the reporting pathway and timeframe.

Incident Categories

Category Definition Examples Reporting
Minor Low-level events with limited impact on participant wellbeing, no injury, no ongoing risk Participant refuses support, minor misunderstanding, late service delivery, small property damage Documented internally within 24 hours; reviewed monthly
Significant Events causing or likely to cause material impact on participant wellbeing, requiring management review and corrective action Medication error without serious harm, participant distress during support, worker conduct concern, unexplained injury of minor nature Incident form completed within 24 hours; Director review required; CI Register updated
Reportable Events that must be reported to the NDIS Commission under the NDIS (Incident Management and Reportable Incidents) Rules 2018 (Cth) Death of a participant, serious injury, sexual misconduct, physical or psychological abuse, neglect, unauthorised use of restrictive practices Report to NDIS Commission within 24 hours of becoming aware; full incident investigation; Director-led response

🔗 Authorised Source

NDIS Reportable Incidents

Source: ndiscommission.gov.au/providers/registered-providers/incident-management-and-reportable-incidents

Under the NDIS (Incident Management and Reportable Incidents) Rules 2018, registered providers must notify the Commission of reportable incidents.

The Incident Reporting Process

Any staff member who witnesses or becomes aware of an incident must complete an Incident Report Form (INC-IRF-001) within 24 hours of the event. The completed form is submitted to the Operations Manager who classifies it, determines the appropriate response, and escalates to the Director for significant and reportable incidents. The Quality and Compliance Manager maintains the incident register and conducts monthly reviews of all entries.

A reportable incident

A support worker arrives at a participant's home and finds the participant has a bruise on their arm that was not present at the previous support session. The participant is unable to clearly explain how it happened. The support worker immediately contacts their supervisor, completes an incident report form, and does not leave the participant alone. The Operations Manager escalates to the Director immediately. The Director makes a preliminary report to the NDIS Commission within two hours and commences an internal investigation. The participant's GP is contacted that day. A full investigation report is submitted to the Commission within five business days.

Risk Management at OCC

OCC maintains a risk register that is reviewed quarterly by the Quality and Compliance Manager and presented to the Director. The risk register covers strategic, operational, participant safety, financial, and compliance risks. Each risk is rated by likelihood and consequence, assigned to a risk owner, and has documented mitigation strategies. High-rated risks require immediate escalation and a documented management plan.

Risk Rating Action Required
Low Monitor and review quarterly; no immediate action required
Moderate Implement mitigation strategies; review monthly; report to Director
High Immediate Director briefing; documented management plan; review weekly until rating is reduced
Critical Immediate Director and (if participant safety is involved) NDIS Commission notification; suspend related activities if necessary; daily review

Knowledge Check

What is the timeframe for reporting a reportable incident to the NDIS Commission?

Within 24 hours of the registered provider becoming aware of the incident. The Director or Quality and Compliance Manager submits the notification through the NDIS Commission online portal. A full incident investigation report must follow within five business days.

What are the six types of events that are 'reportable incidents' under the NDIS Rules?

Under the NDIS (Incident Management and Reportable Incidents) Rules 2018, the six categories are: (1) death of a participant connected to the delivery of supports; (2) serious injury requiring urgent medical treatment or hospitalisation; (3) abuse or neglect of a person with disability; (4) unlawful sexual or physical contact or assault of a participant; (5) sexual misconduct against or in the presence of a participant (including grooming); and (6) unauthorised use of a restrictive practice. Categories 1โ€“5 must be reported within 24 hours; category 6 within 5 business days unless harm occurred (then 24 hours).

KS9 โ€” Legislative Environment

Key Stakeholders Training  ยท  Module 9 of 14  ยท  NDIS Act 2013 & Related Legislation

OCC operates within a complex legislative environment. As a key stakeholder, you do not need to be a lawyer โ€” but you do need to understand which laws apply to what we do, what they require of us, and where to look when you need to go deeper. This module is a reference guide to the key legislation governing OCC's operations.

Primary NDIS Legislation

Legislation What It Does Where to Find It
National Disability Insurance Scheme Act 2013 (Cth) The principal Act establishing the NDIS, the NDIA, and the NDIS Quality and Safeguards Commission. Defines participant eligibility, plan funding, and provider obligations. legislation.gov.au
NDIS (Provider Registration and Practice Standards) Rules 2018 (Cth) Sets out the NDIS Practice Standards (Core Module, HIDPA Module, and others) that registered providers must meet. legislation.gov.au
NDIS Code of Conduct Rules 2018 (Cth) Defines the seven conduct obligations binding on all NDIS workers and providers. legislation.gov.au / ndiscommission.gov.au
NDIS (Incident Management and Reportable Incidents) Rules 2018 (Cth) Defines reportable incident categories and notification obligations. legislation.gov.au
NDIS (Worker Screening) Act 2020 (Cth) Requires all workers in Risk Assessed Roles to hold a current NDIS Worker Screening Check. legislation.gov.au

Privacy and Information Handling

🔗 Authorised Source

Privacy Act 1988 (Cth) โ€” Australian Privacy Principles

Source: oaic.gov.au/privacy/australian-privacy-principles

The 13 Australian Privacy Principles (APPs) govern how organisations collect, store, use, and disclose personal information. OCC is bound by the APPs as a provider handling sensitive health and disability information.

The Privacy Act 1988 (Cth) contains the 13 Australian Privacy Principles (APPs), which govern how we collect, hold, use, and disclose participant and staff personal information. Key obligations for OCC: we only collect personal information that is necessary for our purposes; we must tell participants what information we collect and how it is used; we must store information securely; and we must not disclose personal information about a participant without their consent, except in limited circumstances (such as risk to safety, or legal obligation to disclose).

Health information is classified as 'sensitive information' under the Privacy Act and attracts higher protections. All participant health information must be stored securely, accessible only to authorised staff, and never shared with third parties without explicit consent or legal requirement. File retention: participant files must be retained for a minimum of seven years, and indefinitely for Aboriginal and Torres Strait Islander participants.

Work Health and Safety

🔗 Authorised Source

Work Health and Safety Act 2011 (Cth) and state equivalents

Source: safeworkaustralia.gov.au

OCC has duties under WHS legislation as a person conducting a business or undertaking (PCBU). Victoria applies the Occupational Health and Safety Act 2004 (Vic).

As a PCBU (Person Conducting a Business or Undertaking), OCC must so far as is reasonably practicable ensure the health, safety, and welfare of all workers. This includes support workers delivering services in participants' homes โ€” which are considered workplaces under WHS law. Key duties: identifying and managing hazards; providing information, training, and supervision; consulting with workers on WHS matters; and having a documented WHS management plan.

Employment Law

🔗 Authorised Source

Fair Work Act 2009 (Cth) โ€” SCHADS Award (MA000100)

Source: fairwork.gov.au/employment-conditions/awards/awards-list

The Fair Work Act 2009 and the SCHADS Award govern employment conditions for OCC support workers.

OCC's employment obligations are governed by the Fair Work Act 2009 (Cth) and the SCHADS Award (MA000100). The National Employment Standards (NES) set minimum entitlements โ€” including annual leave (four weeks), personal/carer's leave (10 days), and parental leave โ€” that apply to all employees regardless of award. The SCHADS Award sets minimum pay rates, allowances, and conditions specific to the disability and community services sector.

Knowledge Check

Which Act requires OCC to hold an NDIS Worker Screening Check for all risk assessed role workers?

The National Disability Insurance Scheme (Worker Screening) Act 2020 (Cth). This Act establishes the national worker screening framework and makes it unlawful for a registered NDIS provider to engage a person in a Risk Assessed Role if they do not hold a clearance or have not been approved to work pending clearance.

How long must OCC retain participant files?

A minimum of seven years. For Aboriginal and Torres Strait Islander participants, files must be retained indefinitely. These requirements apply from the date of the last service delivery entry. Files must be stored securely and accessible only to authorised personnel, in line with the Privacy Act 1988 and the Australian Privacy Principles.

KS10 โ€” NDIS Code of Conduct

Key Stakeholders Training  ยท  Module 10 of 14  ยท  NDIS Code of Conduct โ€” Provider Obligations

The NDIS Code of Conduct is one of the primary regulatory instruments that governs how everyone at OCC must behave. As a key stakeholder, you are bound by the Code of Conduct Rules 2018 in everything you do. You are also responsible for ensuring your team understands it, and for responding correctly when a conduct issue arises.

🔗 Authorised Source

NDIS Code of Conduct Rules 2018 (Cth) โ€” Guidance for Providers (April 2024)

Source: ndiscommission.gov.au/rules-and-standards/ndis-code-conduct

These rules are legally binding on all registered NDIS providers and their workers. The April 2024 guidance documents provide current explanations of each obligation.

The Seven Conduct Obligations

Obligation The Legal Requirement Your Leadership Responsibility
1. Respect individual rights Act with respect for individual rights to freedom of expression, self-determination, and decision-making in accordance with applicable laws and conventions. Model a culture where participant choices are respected. Ensure staff never override participant decisions without lawful authority. Support staff to understand that respecting autonomy is not permissive โ€” it is legally required.
2. Respect privacy Respect the privacy of people with disability. Ensure all participant information is held, used, and disclosed in line with the Privacy Act 1988. Audit access to participant files. Investigate any privacy breach immediately.
3. Safe and competent delivery Provide supports and services in a safe and competent manner with care and skill. Ensure workers are rostered only for supports they are trained and qualified to deliver. Maintain mandatory training registers. Never pressure staff to exceed their competence.
4. Integrity, honesty, transparency Act with integrity, honesty, and transparency. Ensure all service agreements, invoices, and communications with participants are accurate and clear. Address dishonesty in the team immediately.
5. Raise and act on concerns Promptly take steps to raise and act on concerns about matters that might have an impact on the quality and safety of supports provided to people with disability. Create a culture where staff feel safe to raise concerns without fear. Never punish a worker for a good-faith report. Respond to every concern promptly and on the record.
6. Prevent violence, exploitation, neglect and abuse Take all reasonable steps to prevent and respond to all forms of violence against, exploitation, neglect, and abuse of people with disability. Ensure all staff are trained in recognising and responding to abuse and neglect. Follow up every concern with documented action. Cooperate fully with Commission investigations.
7. Prevent sexual misconduct Take all reasonable steps to prevent and respond to sexual misconduct. Report immediately to the Director. Mandatory Commission notification within 24 hours. Zero-tolerance policy โ€” no exceptions, regardless of the circumstances.

Worker Conduct Management

When a conduct concern is raised about a staff member, OCC must respond consistently and fairly. The process: receive the report and document it; determine whether to stand the worker down from participant-facing duties pending investigation (for serious allegations, this is the default); conduct a fair, documented investigation; make a finding; implement an appropriate outcome (counselling through to termination); and notify the NDIS Commission if the conduct constitutes a reportable incident or the worker poses an unacceptable risk.

⚠ Mandatory Commission notification

If an OCC worker is dismissed โ€” or resigns โ€” in circumstances where OCC reasonably believes the worker posed an unacceptable risk to participants, OCC must notify the NDIS Commission. This obligation exists even after employment has ended. Failure to notify is a serious compliance breach.

Building a Safe Conduct Culture

Regulatory compliance alone does not create a safe culture. As key stakeholders, you actively build a culture where staff feel safe to raise concerns without fear of retaliation; participant feedback is taken seriously; conduct expectations are communicated clearly from day one; and you model OCC's values โ€” particularly Accountability and Responsibility โ€” in how you manage your teams.

Knowledge Check

Which Code of Conduct obligation requires a 24-hour notification to the NDIS Commission?

Obligation 7 โ€” take all reasonable steps to prevent and respond to sexual misconduct. Any sexual misconduct involving a participant must be reported to the Director and notified to the NDIS Commission within 24 hours of the registered provider becoming aware. This is also a reportable incident under the NDIS (Incident Management and Reportable Incidents) Rules 2018.

What are the seven conduct obligations in correct order?

1. Respect individual rights; 2. Respect privacy; 3. Safe and competent delivery; 4. Integrity, honesty, transparency; 5. Raise and act on concerns about quality and safety; 6. Prevent violence, exploitation, neglect and abuse; 7. Prevent and respond to sexual misconduct. These are the seven obligations under the National Disability Insurance Scheme (Code of Conduct) Rules 2018.

KS11 โ€” Understanding the Support Worker Role

Key Stakeholders Training  ยท  Module 11 of 14  ยท  NDIS Practice Standard 1.1 โ€” Human Resources

As a key stakeholder, you will not be delivering direct supports yourself โ€” but every decision you make affects the people who do. Understanding what a support worker actually does, the pressures they face, and what good practice looks like is essential for building a functional, quality organisation.

What a Support Worker Does Day-to-Day

Support workers at OCC provide assistance with daily living, community access, and personal care under NDIS funding. A typical shift might involve helping a participant get ready in the morning, preparing meals, supporting them to attend community activities, assisting with medication administration, documenting the session in progress notes, and reporting any concerns to the supervisor.

Support workers often work alone in a participant's home or in the community. They make real-time judgements about safety, communication, and care quality without management present. The quality of their practice depends heavily on three things: how well they were inducted, how well they are supervised, and how supported they feel by the organisation.

Key NDIS Support Categories OCC Workers Deliver

  • Assistance with Daily Life โ€” personal care, domestic support, in-home assistance
  • Assistance with Social and Community Participation โ€” social activities, outings, recreation
  • Assistance with Travel and Transport โ€” supporting participants to travel independently
  • High Intensity Daily Personal Activities (HIDPA) โ€” clinical and complex care requiring specialist training
  • Short Term Accommodation (STA) โ€” respite and overnight support

What Good Practice Looks Like

A high-performing support worker communicates clearly and respectfully with the participant, follows the support plan without overriding participant choices, documents accurately and on time, raises concerns promptly, maintains professional boundaries, and treats the participant's home with the same respect the participant would expect. Good practice is visible in the documentation, in participant feedback, and in the absence of escalated concerns.

Common Pressures Workers Face

Support workers in the disability sector face real pressures: unpredictable hours under the SCHADS Award, emotionally demanding work, physical risks from manual handling and infection exposure, the challenge of professional boundaries, and the isolation of lone working. Organisations that ignore these pressures experience high turnover, poor engagement, and eventually, poor participant outcomes.

As a key stakeholder, your role is to build systems that address these pressures: structured supervision, clear rostering, prompt access to PPE, a culture where concerns are heard, and fair pay and conditions. These are directly linked to your obligations under NDIS Practice Standard 1.1 (Human Resources).

The Link Between Worker Experience and Participant Safety

Research in the disability sector consistently shows a direct correlation between worker wellbeing and participant safety. Workers who feel unsupported, undertrained, or undervalued are more likely to be absent, more likely to make errors, and less likely to report concerns. The NDIS Quality and Safeguards Commission has identified workforce management as a core contributor to serious safeguarding failures. Building a workplace where support workers feel respected, adequately trained, and genuinely supported is a core practice standard obligation and a direct safeguard for participants.

👥 Leadership Reflection

Think about the last operational or rostering decision you made. How did you consider its impact on the workers delivering supports? What would a support worker need from you this week to deliver safe, high-quality support? Building the habit of asking this question is at the heart of effective leadership in the NDIS context.

Knowledge Check

Why is the quality of staff induction directly linked to participant safety?

Support workers often work alone without direct supervision. Their ability to make safe decisions in the moment depends entirely on the quality of training and induction they received before they started. A poorly inducted worker may not know how to recognise an unsafe situation, how to report a concern, or how to correctly follow a participant's support plan โ€” creating direct risk to participants and a compliance exposure for OCC under Practice Standard 1.1.

Name two pressures support workers commonly face and explain why they matter to leadership.

Unpredictable hours (SCHADS Award complexity) and the emotional and physical demands of direct care work. These matter to leadership because unaddressed workplace pressures lead to higher turnover, lower engagement, and increased risk of errors or incidents. Leaders who build systems to mitigate these pressures โ€” structured supervision, fair rostering, access to support โ€” see better retention, better practice quality, and better participant outcomes.

KS12 โ€” Leadership, Culture and Team Building

Key Stakeholders Training  ยท  Module 12 of 14  ยท  NDIS Practice Standards โ€” Human Resources & Governance

Leadership in an NDIS registered provider organisation is about creating the conditions in which high-quality, safe support can be delivered consistently. This module covers the leadership behaviours, cultural foundations, and team-building practices that distinguish effective NDIS organisations.

The Leader as Culture Setter

Culture in a disability support organisation is not what is written in the staff handbook โ€” it is what happens when no one is watching. As a key stakeholder at OCC, you set the culture through your behaviour: how you respond when something goes wrong, whether you genuinely listen to a worker raising a concern, whether you model the values you expect of others, and whether you treat participants with the same respect you expect from workers. The NDIS Commission's quality framework recognises that a provider's internal culture is one of the strongest predictors of participant safety.

Psychological Safety

Psychological safety โ€” the belief that you can speak up, raise concerns, or admit a mistake without fear of punishment โ€” is the most critical ingredient of a high-performing care team. Research consistently shows that teams with high psychological safety report more errors, not because they make more, but because they report them. Early error reporting prevents escalation to serious incidents. As a key stakeholder, you build psychological safety by responding to concerns with curiosity rather than blame, making it safe to say "I don't know", following up on every concern with documented action, and never punishing a worker for a good-faith report.

Leadership Behaviours That Build a Quality Culture

  • Conduct regular, structured supervision โ€” not just when problems arise
  • Be visible and accessible to workers โ€” present and supportive, not just oversight-focused
  • Acknowledge and celebrate good practice specifically and genuinely
  • Respond to errors with a root-cause lens, not a blame lens
  • Involve workers in decisions that affect how they do their job
  • Model the Code of Conduct in every interaction

Delegation and Accountability

Effective leadership requires clear delegation โ€” being explicit about who is responsible for what, to what standard, and by when. The Delegation of Authority Register documents OCC's formal delegation structure. In practice, this means trusting people to deliver within agreed parameters and holding people to account fairly when things fall short. The trap many small NDIS providers fall into is either over-centralising decision-making (the director approves everything, creating bottlenecks) or under-delegating accountability (everyone is responsible, so no one is). OCC's growth depends on building a team where responsibility is genuinely shared.

Managing Performance and Conduct

Performance management done well gives people clear feedback, support to improve, and a fair process when things are not working. OCC's performance framework (HR-EPA-001, available via the Staff Supervision tool) provides the structure. Your role as a leader is to use it consistently, fairly, and with genuine intent to support worker development wherever possible. Performance management done poorly damages trust, increases legal risk, and drives away good workers.

Building a Team Through the Growth Stage

OCC is at a growth stage where the founding team is transitioning from doing everything themselves to building systems and people who can deliver consistently. This transition โ€” from founder-led to system-led โ€” requires deliberately bringing people into decision-making, building capability rather than just capacity, and accepting that others will approach tasks differently. Documenting how OCC does things (the systems, workflows, and standards) is not bureaucracy โ€” it is the foundation of scalable, consistent quality.

👥 Leadership Reflection

A support worker tells you they felt pressured to deliver a support they were not trained for because the rostered worker called in sick. How do you respond? What systems does this expose as needing improvement? What does your response communicate to the rest of the team about the culture at OCC?

Situational Leadership โ€” Adapting Your Style

There is no single leadership style that works in all situations. Effective leaders at OCC adapt their approach based on the person and the context. A new support worker who has never worked in disability before needs a directive style: clear instructions, close supervision, regular check-ins, and specific feedback. An experienced coordinator who has been with OCC for two years needs a different approach: collaborative problem-solving, autonomy over their schedule, and coaching rather than instruction. Using the wrong style โ€” over-supervising someone competent, or under-supporting someone new โ€” is one of the most common causes of worker disengagement and error.

Four Leadership Styles โ€” When to Use Each

  • Directing (high task, low relationship): For new workers or new tasks. Provide specific instruction, close supervision, and check understanding explicitly.
  • Coaching (high task, high relationship): For developing workers. Explain the why, not just the what. Involve them in finding solutions. Build confidence.
  • Supporting (low task, high relationship): For capable workers who need encouragement. Share decision-making. Ask, don't tell. Recognise their contributions.
  • Delegating (low task, low relationship): For experienced, motivated performers. Set the outcome, agree on check-in points, then step back. Trust and verify.

Leading Through Change

OCC is growing and changing โ€” adopting new systems like ShiftCare and SharePoint, expanding its participant base, adding new service types, and building its team. Change is unsettling for many workers, particularly those who work in isolation and may feel disconnected from management decisions. Effective change leadership at OCC means: communicating changes early and clearly, explaining the reason for change (not just what is changing), acknowledging that change creates uncertainty, giving workers a voice in how changes are implemented, and following through on commitments made during change processes.

๐Ÿ“‹ Scenario โ€” Introducing ShiftCare

OCC is transitioning support workers from paper-based progress notes to ShiftCare's digital rostering and notes system. Some workers are uncomfortable with technology. Effective change leadership here means: announcing the change at a team meeting with a clear timeline, offering training sessions with hands-on practice, having a go-to person for questions, not penalising early mistakes, and gathering feedback after the first month to identify what is not working and adjusting accordingly.

Difficult Conversations Framework

One of the most avoided responsibilities in leadership is the difficult conversation โ€” addressing underperformance, raising a behaviour concern, or managing conflict between team members. Avoiding these conversations does not make the problem go away; it signals to the team that problems are tolerated, and it is ultimately unfair to the person who needed the feedback. A simple framework for difficult conversations at OCC:

Step What to Do Example
1. Prepare Know the specific behaviour or performance issue. Have dates, examples, documentation. Be clear about what outcome you are looking for. "I want to speak with [worker] about three shifts this month where progress notes were not submitted."
2. Create safety Choose a private time and place. Start by stating your intent: "I want to talk about something because I want to support you to succeed." Not in front of colleagues. Not at the end of a long shift. Not by text message.
3. State facts, not judgements Describe what happened specifically. Avoid labels like "unprofessional" or "lazy." Say what you observed. "I noticed that progress notes for [participant] on 3, 8 and 14 March were not submitted."
4. Listen Ask what was happening for them. There may be a legitimate reason, a skill gap, or a personal circumstance you are unaware of. "Can you help me understand what happened on those shifts?"
5. Agree on action Agree on what will change, by when, and what support you will provide. Document it. "From Monday, notes will be submitted within 24 hours of each shift. I'll check in with you weekly for the next month."
6. Follow up Do what you said you would. If the issue recurs, escalate through the formal performance management process (see OCC_Staff_Supervision.html). One week later: check whether notes are being submitted. Acknowledge improvement if it occurs.

Self-Leadership โ€” Sustaining Yourself as a Leader

Leadership in a growing NDIS organisation is demanding. You carry responsibility for participant safety, worker welfare, compliance obligations, financial performance, and organisational culture simultaneously. Burnout is a real risk for key personnel in small disability providers โ€” and a burnt-out leader cannot effectively support their team. Self-leadership means: knowing your own limits and communicating them, building routines that protect your energy (exercise, sleep, boundaries on after-hours contact), asking for help before you are overwhelmed, and modelling the wellbeing practices you expect of your team. The NDIS Code of Conduct applies to you as much as to your support workers.

Knowledge Check

What is psychological safety and why does it matter in a disability support context?

Psychological safety is the belief that you can speak up, raise concerns, or admit a mistake without fear of punishment or retaliation. In a disability support context, it matters because early concern-raising prevents minor issues from escalating into serious incidents. Workers who feel safe to report problems โ€” including their own errors โ€” create a much safer environment for participants than workers who conceal mistakes out of fear.

What is the risk of over-centralising decision-making in a small NDIS provider?

Over-centralisation creates bottlenecks, slows response times, and prevents the organisation from scaling effectively. It also means that if key decision-makers are unavailable, the organisation cannot function. The NDIS Commission expects registered providers to have clear governance structures with appropriate delegation โ€” a model where one person controls all decisions is both operationally fragile and a governance concern.

KS13 โ€” Business Growth, NDIS Market and Organisational Sustainability

Key Stakeholders Training  ยท  Module 13 of 14  ยท  Business Strategy & NDIS Sustainability

OCC exists to deliver high-quality disability supports โ€” and to do that sustainably, it must function as a viable, well-governed business. This module covers the NDIS market context, growth strategy considerations, the link between quality and sustainability, and the business and growth mindset that key stakeholders need.

Understanding the NDIS as a Market

The NDIS is a demand-driven, consumer-directed market. Participants choose their providers. Funding follows the participant. This means OCC's success depends directly on the quality of experience participants have, their willingness to continue with OCC, and their willingness to recommend OCC to others. Unlike government block-funded systems, there is no guaranteed revenue โ€” it is earned shift by shift, participant by participant.

The Victorian NDIS market is competitive. There are thousands of registered providers ranging from large national organisations to sole traders. OCC's advantage is its ability to provide genuinely personalised, culturally responsive, high-quality supports โ€” something large organisations consistently struggle to deliver. This is the foundation of a sustainable growth strategy: know your advantage and protect it.

NDIS Pricing and Revenue

OCC's revenue is governed by the NDIS Pricing Arrangements and Price Limits (PAPL), updated annually by the NDIA. The PAPL sets maximum prices for each support type. Understanding the pricing structure, the difference between standard and higher-intensity support rates, travel and cancellation provisions, and the distinction between NDIS-funded and non-NDIS revenue is essential for financial sustainability. The Financial Management module (KS7) covers the mechanics in detail.

Growth Mindset in an NDIS Context

  • Quality before quantity โ€” one excellent participant experience generates referrals; one serious complaint can define your reputation in a local market
  • Systems before scale โ€” build the capacity to deliver consistently before expanding participant numbers
  • Workforce first โ€” every participant you add requires a worker who is trained, supervised, and supported; plan workforce ahead of participant growth
  • Compliance as a competitive advantage โ€” providers with strong compliance records attract participants, attract quality staff, and survive audits; providers who cut corners do not
  • Data-informed decisions โ€” use the KPI tracker, incident register, complaint register, and participant feedback to inform strategic decisions, not just gut instinct
  • Learning culture โ€” treat every complaint, incident, and audit finding as a learning opportunity, not just a compliance obligation

Organisational Sustainability

Sustainability for an NDIS provider means more than financial viability. It means maintaining registration in good standing, retaining capable workers, maintaining participant trust, managing organisational risk, and building the internal capability to deliver consistently over time. The Business Continuity Plan (01_Governance/Strategic_Planning) addresses service disruption. The Compliance Strategy maps how OCC maintains regulatory standing through planned, systematic activity rather than reactive responses.

Community Reputation and Referral Networks

OCC's reputation โ€” among participants, families, support coordinators, Local Area Coordinators (LACs), Allied Health professionals, hospitals, and community organisations โ€” is one of its most valuable assets. Reputation is built slowly and damaged quickly. Referral networks are the primary source of new participants for most NDIS providers. Building genuine relationships based on trust and quality outcomes is more effective and more sustainable than any marketing activity. Every interaction a staff member has with anyone connected to the disability sector is an opportunity to demonstrate OCC's values.

Strategic Planning

OCC's Business Plan (01_Governance/Strategic_Planning/Business_Plan.docx) is the governing document for OCC's direction and priorities. As a key stakeholder, you have a responsibility to contribute to, understand, and advocate for this plan. Strategic planning in an NDIS context means setting realistic growth targets aligned with workforce capacity, identifying which support types to grow or add, planning for changes in NDIS policy and pricing, and building the financial reserves that allow OCC to weather uncertainty and invest in quality.

👥 Strategic Reflection

OCC is approached by a support coordinator with five new participants who need complex clinical supports starting in three weeks. The revenue would be significant. What questions do you ask before saying yes? What systems need to be in place before you can deliver safely? How does your answer connect to OCC's values of quality, accountability, and participant safety?

Entrepreneurial Mindset in Disability Services

Running an NDIS provider organisation is, at its core, an entrepreneurial act. You are building something that did not exist before โ€” a service, a team, a reputation โ€” in a competitive, regulated market, under uncertainty. The skills that make a good entrepreneur are the same skills that make a good NDIS provider leader: curiosity, initiative, persistence, comfort with uncertainty, and the ability to see problems as opportunities.

Founder Thinking โ€” What It Looks Like at OCC

  • Ownership mentality: Treat every participant outcome, every support plan, every staff hire as something you personally care about โ€” not as someone else's problem.
  • Take initiative beyond your role: If you see something that could be better, raise it, fix it, or escalate it โ€” do not wait for someone else to notice.
  • See problems as design opportunities: When a participant repeatedly cancels, that is not just an administrative problem โ€” it is a signal that something in the service experience is not working. Investigate and redesign.
  • Move fast on small things, deliberately on big things: Reply to participant families the same day. Think carefully before changing service models or taking on new support types.

Innovation in Disability Services

Innovation in disability services does not mean inventing new technology. It means finding better ways to meet participant needs, deliver supports more efficiently, and create a working environment that attracts and retains great support workers. The lean approach applies directly: identify an unmet participant need, design a small-scale response, test it with one or two participants, learn from what happens, and scale what works. Examples of OCC-relevant innovation: a structured handover process between support workers that reduces information loss; a participant feedback call 30 days after commencement that identifies dissatisfaction early; a worker recognition programme that costs nothing but dramatically improves retention.

Commercial Awareness โ€” Understanding the Numbers

Key stakeholders at OCC do not need to be accountants, but they must be commercially aware. Commercial awareness means understanding how OCC generates revenue, what it costs to deliver a shift, and what the margin between those two figures means for the organisation's sustainability.

Concept What It Means OCC Application
Revenue per participant The total NDIS funding OCC invoices for a participant's supports in a given period Higher-intensity supports (HIDPA) generate more revenue per hour than standard assistance with daily life
Cost of delivery The total cost to deliver one hour of support: worker wages, superannuation, worker's comp, training, supervision, overheads Under SCHADS Award casual rates plus weekend penalties, the cost per hour can approach the NDIS price limit โ€” leaving little margin
Gross margin Revenue minus direct delivery costs, as a percentage of revenue A healthy NDIS provider typically targets 20โ€“35% gross margin before overheads
Cancellation rate The proportion of scheduled shifts that are cancelled by participants without OCC providing an alternative High cancellation rates directly reduce revenue. The NDIS Price Guide allows providers to charge a cancellation fee under specific conditions.
Roster utilisation The proportion of rostered worker hours that are actually billed to participants Idle time โ€” workers rostered but without participants โ€” is a direct cost with no revenue offset

Reading a Profit and Loss statement at a high level means understanding: revenue (total NDIS invoices), cost of goods sold (worker wages and direct costs), gross profit (revenue minus direct costs), operating expenses (office, insurance, compliance, management), and net profit (what is left). If OCC's net profit is consistently negative, the organisation is unsustainable โ€” no matter how well it performs clinically.

Risk Appetite vs Risk Management โ€” The Balance

Compliance culture in disability services can create excessive risk aversion โ€” a reluctance to try anything new for fear of breaching a standard. Entrepreneurial leaders balance compliance (managing known risks) with calculated risk-taking (pursuing growth and improvement). The question is not "could this go wrong?" but "if it goes wrong, how serious is the consequence, and can we manage it?" For decisions with catastrophic potential consequences โ€” participant safety, financial insolvency, registration loss โ€” be highly risk-averse. For decisions about marketing, new service types, technology adoption, or team structure โ€” accept that imperfect action beats paralysis, and build in review points.

Building Your Personal Brand as a Leader

In a relationship-based sector like disability services, personal reputation matters as much as organisational reputation. The key stakeholders at OCC are, in effect, the face of the organisation in the local community. Building a personal brand as an NDIS leader means: being visible at industry events (local disability expos, NDIS Commission information sessions, support coordination forums), building genuine relationships with allied health professionals, plan managers, and support coordinators who could refer participants to OCC, sharing knowledge generously (LinkedIn posts, community group contributions), and consistently demonstrating that you prioritise participant outcomes above commercial interests. The most powerful referral source in disability services is a satisfied participant, followed closely by a respected professional who trusts your organisation.

Knowledge Check

Why is growing participant numbers without growing operational capacity a quality risk rather than a growth strategy?

Each participant requires a trained, supervised, and supported worker. Growing participant numbers faster than your ability to recruit, induct, and supervise workers causes support quality to deteriorate โ€” existing workers become overloaded, supervision gaps emerge, documentation quality drops, and incident risk increases. The NDIS Commission expects providers to take on only the participants they can deliver to safely and competently. Taking on more than you can manage is both a quality risk and a registration risk.

Name two ways that strong compliance performance creates a competitive advantage in the NDIS market.

First, a strong compliance record builds trust with participants, families, and referrers โ€” people choose providers they trust to be safe and accountable. Second, strong compliance attracts quality workers โ€” capable, qualified people want to work for organisations that are well-run, compliant, and treat staff and participants fairly. A provider known for poor practice or Commission investigations struggles to attract both participants and staff.

KS14 โ€” Australian Legal Framework for NDIS Providers

Key Stakeholders Training  ยท  Module 14 of 14  ยท  Corporations Act 2001, ACL, Fair Work Act & State Legislation

As a key stakeholder, director, or senior leader at OCC, you operate within a layered legal framework. This module provides a plain-English overview of the key Australian laws that govern OCC as a company and as an employer. It is not legal advice โ€” for specific situations, always consult a qualified solicitor.

โš–๏ธ This Is Not Legal Advice

This module is designed to raise your awareness of relevant legislation. The law is complex and fact-specific. When you face a real situation involving legal risk, seek professional legal advice from a qualified Australian solicitor.

Corporations Act 2001 (Cth) โ€” Your Duties as a Director or Officer

OCC is registered as a Pty Ltd company. All directors and officers of OCC are subject to the duties set out in the Corporations Act 2001 (Cth), administered by the Australian Securities and Investments Commission (ASIC). There are four core duties:

Duty Section What It Means in Practice
Care and diligence s 180 Make decisions with the care and diligence a reasonable person would exercise. Read board papers, ask questions, attend meetings, understand the financials.
Good faith s 181 Act in the best interests of the company and for a proper purpose. Do not use your position to benefit yourself at the expense of OCC or its participants.
Proper use of position s 182 Do not use your position to gain an advantage for yourself or another person, or to cause detriment to the company.
Proper use of information s 183 Do not use company information obtained through your role to gain personal advantage or harm the company.

The business judgment rule (s 180(2)) provides a defence: if you made a decision in good faith, for a proper purpose, without a personal interest, having informed yourself reasonably, and rationally believing the decision was in the company's best interests โ€” you will not be in breach of your duty of care, even if the decision turns out to be wrong.

What This Means for OCC Day-to-Day

  • Attend every board or management meeting โ€” or send apologies and review minutes
  • Read financial reports before signing off on them
  • Declare any conflict of interest at every meeting โ€” even if you think it is minor
  • Do not make payments, contracts, or decisions that personally benefit you without full board knowledge and approval
  • Ensure OCC has adequate insurance, including Directors and Officers (D&O) liability cover

Insolvent Trading โ€” A Critical Risk

Under s 588G of the Corporations Act, a director has a duty to prevent a company from incurring debts when the company is insolvent (or will become insolvent as a result of the debt). If OCC cannot pay its debts as they fall due, directors must take immediate steps: seek legal advice, consider voluntary administration, and stop incurring new liabilities. Personal liability for company debts can result from a breach of this duty. This is one of the most serious risks for directors of growing small businesses.

Australian Consumer Law (Competition and Consumer Act 2010)

The Australian Consumer Law (ACL) applies to OCC's service delivery. Key provisions relevant to NDIS providers include:

ACL Provision What It Means for OCC
Misleading or deceptive conduct (s 18) Do not make false or misleading statements about OCC's services, qualifications, registration, or capacity โ€” in any form, including marketing materials and verbal representations.
Consumer guarantees Services must be rendered with due care and skill, be fit for the purpose the participant communicated, and be delivered within a reasonable time. These guarantees cannot be excluded by contract.
Unconscionable conduct (s 21) OCC must not take advantage of a participant's vulnerability, disability, or lack of bargaining power. This is particularly relevant given OCC's participant cohort.

Fair Work Act 2009 โ€” Employer Obligations at a Glance

OCC is an employer under the Fair Work Act 2009. Module KS6 covers HR and the SCHADS Award in detail; the legal framework that underpins it is the Fair Work Act. Key obligations include:

Core Fair Work Act Obligations

  • Provide all employees with a Fair Work Information Statement and a Casual Employment Information Statement (for casuals) at the start of employment
  • Pay employees at least their applicable Modern Award minimum (SCHADS Award for OCC's workforce)
  • Not take adverse action against an employee for exercising a workplace right (e.g. raising a concern, taking leave, making a complaint)
  • Meet National Employment Standards (NES) โ€” including leave entitlements, notice periods, and flexible work provisions
  • Consult employees before making major workplace changes that are likely to have a significant effect on them
  • Maintain accurate time and wage records for 7 years

Cross-Reference: Legislation Covered in Other KS Modules

Several key laws are covered in dedicated modules. This table summarises the full legislative environment OCC operates within:

Legislation Relevance to OCC Covered In
National Disability Insurance Scheme Act 2013 (Cth) Registration, practice standards, participant rights, NDIS Commission powers KS1, KS2
NDIS (Quality Indicators) Guidelines 2018 Quality and audit framework KS3, KS5
NDIS Worker Screening Act 2020 (Cth) Mandatory worker screening for risk-assessed roles KS6
Privacy Act 1988 (Cth) & Australian Privacy Principles Collection, use, disclosure and storage of personal information KS9
Work Health and Safety Act 2011 (Cth) / WHS Act 2021 (Vic) Duty of care to workers and others in the workplace KS8
Disability Discrimination Act 1992 (Cth) Non-discrimination in service delivery and employment Across all modules
Victorian Disability Act 2006 State-level disability services standards; Victorian context for NDIS delivery This module
Equal Opportunity Act 2010 (Vic) Non-discrimination in employment; reasonable adjustments for workers with disability This module
Children, Youth and Families Act 2005 (Vic) Mandatory reporting obligations when supporting participants under 18 This module

Victorian Disability Act 2006 and Equal Opportunity Act 2010

The Victorian Disability Act 2006 sets out principles for disability services in Victoria including the rights of people with a disability to access services without discrimination, to receive services that meet their individual needs, and to participate in decisions about their own lives. While the NDIS national framework largely supersedes the state framework for registered providers, the Victorian Act remains relevant for state-funded supports and the broader service delivery culture.

The Equal Opportunity Act 2010 (Vic) prohibits discrimination in employment on the basis of disability, among other attributes. For OCC this means: you cannot discriminate against a job applicant or worker because of a disability; you must make reasonable adjustments to accommodate a worker with a disability; and you must not subject any worker to harassment or victimisation.

๐Ÿ“‹ Scenario โ€” Director Conflict of Interest

A director of OCC is also a director of a cleaning company. The director suggests at a management meeting that OCC contract that cleaning company to provide environmental cleaning services at a participant's home. Under the Corporations Act, this director must immediately declare their conflict of interest, must not be present for the discussion or vote on the proposal, and the remaining directors must consider whether the arrangement is genuinely in OCC's best interests. Failure to declare and manage this conflict is a breach of director duties.

Knowledge Check

Under the Corporations Act 2001, what are the four main duties of a director? Give a brief description of each.
1. Care and diligence (s 180): Exercise the care and diligence a reasonable person would in the same role. Stay informed, attend meetings, understand the business.

2. Good faith (s 181): Act in the best interests of the company and for a proper purpose โ€” not for personal gain.

3. Proper use of position (s 182): Do not exploit your role to gain a personal advantage or harm the company.

4. Proper use of information (s 183): Do not misuse confidential company information for personal benefit.
What is the insolvent trading duty, and what should a director do if they believe OCC may be unable to pay its debts?
Under s 588G of the Corporations Act, directors must not allow a company to incur new debts if the company is insolvent or will become insolvent as a result. If a director believes OCC may be unable to pay its debts as they fall due, they should immediately: stop incurring new liabilities, seek urgent legal and financial advice, consider voluntary administration as a mechanism to protect creditors, and document all decisions made. Personal liability can attach to directors who breach this duty.
Name two obligations OCC has under the Australian Consumer Law in relation to how it delivers services to participants.
Any two of: (1) Services must be rendered with due care and skill. (2) Services must be fit for the purpose communicated by the participant. (3) OCC must not engage in misleading or deceptive conduct about its services. (4) OCC must not engage in unconscionable conduct โ€” taking advantage of a participant's vulnerability or disability.

Training Completion Signatures

Setting up Option B in Microsoft 365 (one-time, ~10 minutes):
  1. Open forms.microsoft.com and sign in with your OCC Microsoft account.
  2. Click New Form → title it "OCC Training Completion โ€” Key Stakeholders Training Pathway".
  3. Add fields: Name (Text), Staff ID (Text), Date Completed (Date), Pathway (dropdown: Support Worker / Key Stakeholders), declaration confirmation (Choice: Yes/No).
  4. Click Share → copy the link → paste it replacing #.
  5. Responses save automatically to an Excel workbook in SharePoint โ€” your training register, built in.
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