COURSE OVERVIEW:

Welcome to the Legislative & Regulatory Obligations in NDIS Plan Management course. This program has been developed to provide registered and prospective NDIS plan managers with the essential legal knowledge, compliance expectations, and professional competencies required to deliver ethical and effective financial intermediary services. Drawing on Commonwealth and state legislation, NDIS-specific rules, and the broader financial services regulatory landscape, the course ensures that participants can confidently meet their legal duties while upholding participant rights, choice, and financial security.

NDIS plan managers play a pivotal role in the implementation of participant plans by managing budgets, processing invoices, making payments to providers, and offering regular financial reporting. This course begins by introducing the core functions of plan management and clearly distinguishes it from both self-managed and agency-managed options. It outlines the plan manager’s responsibility to promote participant autonomy while ensuring all transactions and financial records are accurate, timely, and transparent. The section also reinforces the importance of plan management in enabling participants to exercise greater choice and control while remaining protected by a regulated financial framework.

Plan management services operate within a complex regulatory environment. This section presents a foundational overview of the laws and rules that govern NDIS financial intermediary services. These include the National Disability Insurance Scheme Act 2013, the NDIS (Plan Management) Rules 2021, and related Codes, Practice Standards, and Guidelines. It also addresses the distinct roles played by national legislation (such as the Privacy Act 1988 and the Corporations Act 2001) and jurisdiction-specific consumer laws. The oversight role of the NDIS Quality and Safeguards Commission is examined in detail, including provider registration requirements and performance monitoring expectations.

Compliance is not just an administrative function—it is a safeguard for participant wellbeing and public accountability. This section explores the consequences of failing to comply with legal obligations, such as deregistration, financial penalties, and participant harm. It emphasises the ethical dimension of plan management, focusing on the principles of transparency, trust, and informed decision-making. As stewards of both public funds and participant outcomes, plan managers must demonstrate integrity in every financial interaction and system they manage.

To become a registered NDIS plan manager, individuals and organisations must meet specific qualification and competency criteria. This section outlines the professional memberships and qualifications recognised by the NDIS Commission, including affiliations with CPA Australia, the Institute of Public Accountants (IPA), and the Institute of Certified Bookkeepers (ICB), among others. It provides guidance on acceptable evidence of qualifications and the ongoing expectations for financial literacy, professional standing, and ethical conduct.

Plan managers must also demonstrate operational competence in a range of financial and technological functions. This section covers the core technical competencies required, including budget planning, invoice processing, use of the MyPlace portal, and compliance with NDIA financial systems. It also addresses the importance of understanding GST requirements, Business Activity Statements (BAS), and relevant tax reporting obligations under the Taxation Administration Act 1953.

A range of national legislative instruments directly shape the delivery of plan management services. This section provides detailed coverage of the NDIS Act 2013 and the NDIS (Plan Management) Rules 2021, highlighting specific duties related to timely payments, financial reporting, and respecting participant service choices. The NDIS (Code of Conduct) Rules 2018 are also examined, with a focus on preventing financial exploitation, ensuring respectful communication, and maintaining honesty in service delivery.

The course also unpacks the NDIS (Provider Registration and Practice Standards) Rules 2018, which impose enforceable requirements around participant safeguarding, staff competence, and risk management. Additional Commonwealth instruments such as the NDIS (Complaints Management and Resolution) Rules 2018 and the NDIS (Quality Indicators) Guidelines 2018 are discussed to explain how plan managers must ensure accessible, fair, and responsive service pathways while continuously improving quality.

Compliance with national privacy laws is fundamental when handling participant data. This section examines how the Privacy Act 1988, including the Australian Privacy Principles (APPs), applies to plan managers. Topics include obtaining consent, data security, limits on disclosure, and the right of participants to access and correct their personal financial information. Participants will also understand how to implement privacy safeguards within digital and physical filing systems.

Anti-discrimination and human rights legislation intersect with plan management in critical ways. This section explores the Disability Discrimination Act 1992 and the Australian Human Rights Commission Act 1986, both of which require plan managers to deliver services that are inclusive, accessible, and respectful of each participant’s dignity. It also outlines how plan managers must accommodate diverse communication needs, service preferences, and support circumstances in all aspects of financial service delivery.

Plan managers are also required to meet workplace obligations under the Fair Work Act 2009 and the Work Health and Safety Act 2011. This section outlines employer responsibilities related to safe working environments, employee entitlements, and fair rostering. It includes practical guidance on office ergonomics, mental health, and hybrid work models—factors especially relevant to financial administrators working in high-volume digital environments. It also addresses the safe handling of sensitive participant documentation and cybersecurity risks.

For organisations operating as companies, the Corporations Act 2001 sets enforceable standards around corporate governance, financial reporting, and director responsibilities. This section explains the relevance of these obligations in the NDIS context, particularly where plan managers must ensure accurate recordkeeping, ethical leadership, and responsible business conduct. The Anti-Money Laundering and Counter-Terrorism Financing Act 2006 is also addressed, including its application to identifying, reporting, and preventing suspicious or fraudulent financial activity within NDIS transactions.

NDIS plan managers are also bound by taxation legislation, including the Taxation Administration Act 1953. This section discusses how to manage GST obligations, process accurate business activity statements (BAS), and maintain compliance with Australian Taxation Office (ATO) expectations for all transactions involving NDIS funding. The need for accurate invoicing, reconciliation, and participant financial summaries is reinforced throughout.

In addition to Commonwealth requirements, plan managers must comply with relevant consumer protection and fair trading laws in each Australian state and territory. This section outlines the key laws across jurisdictions—from NSW’s Fair Trading Act 1987 to the NT’s Consumer Affairs and Fair Trading Act 1990. It also defines specific plan manager obligations under Australian Consumer Law, such as avoiding misleading representations, disclosing all service terms and fees upfront, and delivering services with care and in a timely manner.

Work health and safety (WHS) obligations also differ slightly across jurisdictions. This section explores how state and territory WHS legislation applies to the daily functions of plan management, with a focus on safe office environments, remote work policies, and the handling of sensitive financial data. Psychological wellbeing, burnout prevention, and work-related stress management are also discussed, given the high administrative and compliance demands of the role.

By the end of this course, you will have a solid understanding of the legislative and regulatory frameworks that govern NDIS plan management in Australia. You will be equipped to deliver your services lawfully, ethically, and with the professional diligence required to uphold both participant outcomes and public confidence in the NDIS.

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:

1. Introduction to Legislative and Regulatory Obligations in NDIS Plan Management

Understanding the Role of an NDIS Plan Manager

• Functions of a plan manager: managing funds, processing claims, paying providers, and offering financial reporting.
• Distinguishing plan management from agency-managed and self-managed plans.
• Scope of responsibilities and impact on participant choice and control.

Legal Framework Governing Plan Management

• Overview of applicable laws and NDIS-specific rules.
• Distinction between national and state/territory legislation.
• Understanding NDIS Commission oversight and compliance expectations.

The Importance of Compliance in Financial Intermediary Services

• Risks of non-compliance: deregistration, fraud penalties, harm to participants.
• The value of ethics in financial transparency, trust, and informed decision-making.
• Plan managers as stewards of public funds and participant wellbeing.

2. Required Qualifications and Experience for Becoming a Plan Manager

Recognised Financial Qualifications and Memberships

• Membership requirements for registered plan management providers.
• Acceptable qualifications from professional bodies include:
• Association of Taxation and Management Accountants (ATMA)
• Association of Accounting Technicians (AAT)
• Association of Certified Bookkeepers (CBK)
• Association of Chartered Certified Accountants (ACCA)
• Australia Bookkeepers Association Limited (ABAL)
• CPA Australia (CPA)
• Institute of Certified Bookkeepers (ICB)
• Institute of Public Accountants (IPA) or Chartered Accountants Australia & New Zealand (CAANZ)

Core Competencies for Plan Managers

• Demonstrated understanding of bookkeeping, budgeting, and financial systems.
• Competency in using NDIS MyPlace Portal, invoicing, and compliance platforms.
• Understanding of NDIA reporting, GST, and BAS requirements.

3. National (Commonwealth) Legislation Relevant to Plan Management

National Disability Insurance Scheme Act 2013

• Legal foundation of the NDIS, participant rights, and funding mechanisms.
• Obligations for providers delivering financial intermediary services.

NDIS (Plan Management) Rules 2021

• Specific regulations governing plan management under the NDIS.
• Requirements for service scope, payment timeframes, and participant choice.

NDIS (Code of Conduct) Rules 2018

• Enforceable expectations for behaviour and integrity across all NDIS providers.
• Provisions around honesty, respect, and prevention of financial harm.

NDIS (Provider Registration and Practice Standards) Rules 2018

• Practice standards applicable to financial service providers.
• Risk management, participant safeguarding, and workforce requirements.

NDIS (Complaints Management and Resolution) Rules 2018

• Requirement to have formal systems for managing and responding to complaints.
• Timelines, accessibility, and internal documentation processes.

NDIS (Quality Indicators) Guidelines 2018

• Measurable indicators used to assess plan manager compliance and quality.
• Relevant indicators include service agreements, financial integrity, and responsiveness.

Privacy Act 1988 (incl. Australian Privacy Principles)

• Regulates collection, storage, use, and disclosure of participant financial and personal information.
• Key principles: consent, data security, access rights, and purpose limitation.

Disability Discrimination Act 1992

• Prohibits discriminatory practices in access to financial supports and communications.
• Ensures services are accessible, inclusive, and responsive to participant needs.

Australian Human Rights Commission Act 1986

• Upholds participant dignity, rights, and equal access to financial intermediary services.

Fair Work Act 2009

• Ensures lawful employment conditions for plan manager staff.
• Covers entitlements, awards, rosters, and anti-discrimination.

Work Health and Safety Act 2011

• Workplace obligations to maintain safe, healthy environments for workers.
• Applies to office-based, remote, or hybrid NDIS plan management teams.

Corporations Act 2001 (for registered entities)

• Governs corporate conduct, financial reporting, and directorial duties.
• Relevance for plan managers operating as companies or trusts.

Anti-Money Laundering and Counter-Terrorism Financing Act 2006

• Compliance in identifying and reporting suspicious financial activity.
• Understanding threshold transactions and international financial risks.

Taxation Administration Act 1953

• Legal obligations around GST, BAS, and tax reporting in plan management.
• Relevance for bookkeeping, invoicing, and payment accuracy.

4. State/Territory Financial & Consumer Laws

Fair Trading and Consumer Protection Laws by Jurisdiction

• NSW: Fair Trading Act 1987
• VIC: Australian Consumer Law and Fair Trading Act 2012
• QLD: Fair Trading Act 1989
• WA: Australian Consumer Law (WA) Act 2010
• SA: Australian Consumer Law (SA) Act 2010
• TAS: Fair Trading Act 1990
• ACT: Fair Trading (Australian Consumer Law) Act 1992
• NT: Consumer Affairs and Fair Trading Act 1990

Obligations for NDIS Plan Managers under Consumer Law

• Avoiding misleading or deceptive conduct in service promotion or billing.
• Disclosing all service fees, terms, and conflicts of interest upfront.
• Delivering services with due care, skill, and within reasonable timeframes.

5. State/Territory Work Health & Safety Acts

Work Health and Safety Laws by Jurisdiction

• NSW: Work Health and Safety Act 2011
• VIC: Occupational Health and Safety Act 2004
• QLD: Work Health and Safety Act 2011
• WA: Work Health and Safety Act 2020
• SA: Work Health and Safety Act 2012
• TAS: Work Health and Safety Act 2012
• ACT: Work Health and Safety Act 2011
• NT: Work Health and Safety (National Uniform Legislation) Act 2011

Workplace Safety in Plan Management Contexts

• Office ergonomics, cyber safety, and psychological wellbeing for administrative staff.
• Safe handling of sensitive participant documents and financial systems.

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”.