COURSE OVERVIEW:
Welcome to the Ensuring Compliance in NDIS Plan Management Practice course. This program has been designed to strengthen the capability of plan managers, finance staff and NDIS providers to meet the extensive legal, ethical and operational requirements that govern Plan Management under the National Disability Insurance Scheme (NDIS).
Compliance is essential to ensuring that participant funds are managed safely, ethically and transparently. This course begins by outlining the purpose and scope of compliance in NDIS Plan Management, clarifying the roles and responsibilities of plan managers within the broader NDIS framework and explaining the regulatory structures that govern financial intermediary services. Learners explore how compliant practice protects participants, upholds financial integrity and supports transparency and trust throughout the plan management relationship.
A sound understanding of the legislative and regulatory framework is fundamental to safe and responsible plan management. This section examines obligations under the NDIS Act 2013, legislative instruments and the NDIS Rules specific to financial intermediary functions. Learners explore obligations under Australian consumer law relating to accuracy, fairness and transparency, as well as the requirements for truthful communication, non-misleading representations and accurate claim submission to the NDIA. This foundation enables plan managers to operate with accountability, clarity and legal certainty.
The NDIS Practice Standards, Code of Conduct and worker obligations provide the benchmark for ethical plan management. This section outlines how plan management activities must align with the Code of Conduct, meet the Core Module of the NDIS Practice Standards and ensure that staff possess the competencies required to navigate NDIS finance systems, pricing arrangements and operational guidelines. Learners also examine mandatory training requirements and the ethical expectations that underpin participant-centred financial service delivery.
Clear communication and informed participant engagement are central to compliance. This section explores the development of transparent, participant-focused service agreements, ensuring fairness in terms and conditions, and upholding participant choice and control without influencing provider selection. Learners also consider obligations for accurate, ethical marketing, and appropriate identification and disclosure of conflicts of interest.
Accurate financial record-keeping forms the backbone of compliant plan management. This section covers documentation standards for invoices, approvals, expenditure tracking and budget updates, along with retention requirements for financial and administrative records. Learners explore how thorough and transparent documentation supports audits, quality reviews and compliance checks, ensuring all transactions can be traced and validated.
Plan managers carry significant responsibility for verifying invoices and ensuring that claims are valid. This section examines processes for checking invoices against the NDIS Pricing Arrangements, validating the claimability of supports, preventing duplicate or fraudulent claims and processing provider payments accurately and promptly. It also highlights the importance of submitting correct information to NDIA systems to maintain compliance and prevent funding irregularities.
Supporting participants through accurate budget monitoring is a critical part of the plan management role. This section outlines how to provide clear and timely budget-use reports, identify risks of underuse or overspend, communicate budget changes and support participants with financial information for plan review or reassessment. This helps participants remain informed and empowers them to make decisions aligned with their goals.
Privacy, confidentiality and information security safeguards are essential to protecting participant data. This section explains obligations under the Privacy Act 1988 and the Australian Privacy Principles, along with secure data-handling practices, access controls, cybersecurity protections and secure communication protocols. Learners examine how to safeguard sensitive personal and financial information when interacting with stakeholders and digital systems.
Effective complaints and incident management processes support transparency and service quality. This section discusses how to maintain an accessible complaints management system, differentiate between administrative/financial incidents and safeguarding matters, record and respond to incidents in line with NDIS requirements and support participants to raise concerns. It also highlights the role of incident and complaint data in driving continuous improvement.
Financial risk management and organisational governance are central to protecting participant funds and ensuring service continuity. This section explores strategies for identifying financial risks, monitoring for unusual claims activity, implementing internal checks, maintaining business continuity and holding appropriate insurance coverage. Learners also examine how strong governance frameworks reinforce ethical and compliant plan management.
Quality assurance and continuous compliance monitoring strengthen long-term organisational performance. This section explains how to participate in NDIS Commission audits, conduct internal compliance reviews, stay up to date with changes to NDIS pricing and rules, implement corrective actions and build a culture of improvement that supports consistent, compliant service delivery.
Finally, the course explores how to embed compliance into everyday plan management practice. This section highlights the importance of maintaining a culture of accountability, applying ethical decision-making, supporting workforce development, delivering transparent financial services and ensuring alignment with evolving NDIS requirements. Learners examine how continuous organisational learning strengthens compliance and enhances participant experience.
By the end of this course, you will be equipped with the knowledge, frameworks and practical competencies required to ensure safe, ethical and compliant NDIS Plan Management practice that protects participant funds, upholds financial integrity and supports high-quality service delivery across the sector.
Each section is complemented with examples to illustrate the concepts and techniques discussed.
LEARNING OUTCOMES:
By the end of this course, you will be able to understand the following topics:
Introduction to Compliance Requirements in NDIS Plan Management
- Purpose and scope of compliance within NDIS Plan Management
- Roles and responsibilities of plan managers within the NDIS framework
- Overview of the regulatory environment governing financial intermediary services
- Importance of compliance in protecting participants and ensuring financial integrity
- Relationship between compliance, transparency, and participant trust
Legislative and Regulatory Framework for Plan Management Compliance
- Compliance with the NDIS Act 2013 and relevant legislative instruments
- Understanding NDIS Rules specific to plan management and financial intermediary functions
- Obligations under Australian consumer law for accuracy, fairness, and transparency
- Requirements for truthful communication and non-misleading representations
- Submitting accurate information to the NDIA and avoiding false claims
NDIS Practice Standards, Code of Conduct, and Worker Obligations
- Adherence to the NDIS Code of Conduct for all plan management activities
- Meeting the NDIS Practice Standards Core Module requirements
- Ensuring staff hold necessary competencies for NDIS finance systems and pricing rules
- Mandatory training expectations for plan management workers
- Ethical obligations in participant-centred financial service delivery
Service Agreements, Participant Rights, and Choice and Control
- Providing transparent, participant-centred service agreements specific to plan management
- Ensuring fairness and clarity in service terms and responsibilities
- Upholding participant choice and control without steering provider selection
- Disclosing and managing conflicts of interest appropriately
- Ensuring marketing and communications are accurate, ethical, and not misleading
Financial Record-Keeping, Documentation Standards, and Retention Requirements
- Maintaining accurate financial records for budgets, invoices, and expenditure
- Documentation requirements for invoicing, approvals, and payment logs
- Retaining financial and administrative records for statutory timeframes
- Ensuring documentation supports audits, quality reviews, and compliance checks
- Maintaining traceability and transparency of all payments and budget updates
Invoice Verification, Claims Validation, and Payment Accuracy
- Verifying invoices against NDIS Pricing Arrangements and Operational Guidelines
- Validating supports to ensure they are claimable and compliant
- Preventing duplicate, unauthorised, or fraudulent claims
- Processing provider payments accurately and in a timely manner
- Ensuring accurate information is submitted to NDIA claims systems
Participant Budget Monitoring and Reporting Requirements
- Providing clear and accurate budget utilisation reports to participants
- Identifying risks of overspend or underspend
- Supporting participants with financial information for plan reassessment
- Communicating promptly about budget changes or concerns
- Ensuring reporting supports participant decision-making and plan outcomes
Privacy, Confidentiality, and Information Security Safeguards
- Compliance with the Privacy Act 1988 and Australian Privacy Principles
- Ensuring secure handling of personal and financial information
- Maintaining secure digital systems for all plan management operations
- Access control, data storage, and cybersecurity protections
- Protecting participant information when communicating with stakeholders
Complaints and Incident Management Systems in Plan Management
- Maintaining an accessible and documented complaints management system
- Distinguishing between administrative/financial incidents and safeguarding matters
- Recording, managing, and resolving incidents in compliance with NDIS requirements
- Ensuring participants understand how to raise concerns or complaints
- Using complaint and incident data to support continuous improvement
Financial Risk Management and Organisational Compliance
- Implementing financial risk management strategies to safeguard participant funds
- Ensuring business continuity for uninterrupted payment processing
- Monitoring for irregularities, unusual claims trends, or system misuse
- Holding appropriate insurance
- Ensuring organisational governance supports ethical and compliant practice
Quality Assurance, Audits, and Continuous Compliance Monitoring
- Participating in NDIS Commission audits and assessments when required
- Conducting internal audits to verify compliance across financial processes
- Staying updated with changes to NDIS pricing, rules, and financial guidelines
- Ensuring corrective actions are implemented following audit findings
- Promoting a culture of continuous improvement in plan management practice
Embedding Compliance into Everyday Plan Management Practice
- Integrating compliance principles into routine financial operations
- Maintaining professional accountability and ethical decision-making
- Building workforce capability through ongoing training and development
- Supporting participants through high-quality, transparent plan management
- Sustaining long-term compliance through continuous organisational learning
COURSE DURATION:
The typical duration of this course is approximately 2-3 hours to complete. Your enrolment is Valid for 12 Months. Start anytime and study at your own pace.
COURSE REQUIREMENTS:
You must have access to a computer or any mobile device with Adobe Acrobat Reader (free PDF Viewer) installed, to complete this course.
COURSE DELIVERY:
Purchase and download course content.
ASSESSMENT:
A simple 10-question true or false quiz with Unlimited Submission Attempts.
CERTIFICATION:
Upon course completion, you will receive a customised digital “Certificate of Completion”.