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FOI 24/25-0953
DOCUMENT 1
Check criteria for a replacement 
support application 
SGP KP Publishing 
Exported on 2025-02-07 00:57:57 
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FOI 24/25-0953
SGP KP Publishing – Check criteria for a replacement support application 
Table of Contents 
 
1
Recent updates .................................................................................................................... 4
2
Before you start .................................................................................................................... 5
3
Understand a replacement support application ............................................................... 6
4
Check application is correct and complete ....................................................................... 7
4.1 
Eligible to apply .................................................................................................................. 7 
4.2 
Support to be replaced ....................................................................................................... 7 
5
Make a decision to approve or decline the application ................................................... 8
5.1 
Suitability ............................................................................................................................ 8 
5.2 
Replacement hours ............................................................................................................ 8 
5.3 
Benefits ............................................................................................................................... 9 
5.4 
Safety .................................................................................................................................. 9 
5.5 
Cost of the replacement support ........................................................................................ 9 
6
Next steps ........................................................................................................................... 11
 
Table of Contents – 2 
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SGP KP Publishing – Check criteria for a replacement support application 
 
This article provides guidance for the National Contact Centre and a Technical Advisor to: 
  understand a replacement support application 
  check application is correct and complete 
  make a decision to approve or decline the application. 
Recent updates – 3 
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SGP KP Publishing – Check criteria for a replacement support application 
1 Recent updates 
14 October 2024 
New guidance to: 
  reflect legislation changes from 3 October 2024 
  check criteria and make a decision to approve or decline a replacement support 
application. 
Recent updates – 4 
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SGP KP Publishing – Check criteria for a replacement support application 
2  Before you start 
You have: 
  read and understood fact sheets about Replacement Supports (external) 
  received a replacement support request from a participant or authorised representative 
or 
  received a completed Form – Application for Replacement Support (external) with all 
required information. 
IMPORTANT: For all staff other than the National Contact Centre or a Technical Advisor use 
article Create and action a request for a replacement support. 
Before you start – 5 
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SGP KP Publishing – Check criteria for a replacement support application 
3  Understand a replacement support application 
The criteria for assessing a replacement support application have been drafted to guide: 
  NCC in checking applications are correct and complete 
  TAPIB in making a decision to approve or decline the application for a replacement 
support. 
These criteria have been developed to support implementation of the legislative changes on 3 
October 2024. It is expected that the criteria will be amended based on feedback received 
through the application of these processes and the evaluation. 
 
The participant will confirm how the replacement support will be better for them in their 
application. There is no requirement for the participant to seek additional functional 
assessment or reports from health professionals. 
  
This process applies to participants seeking a replacement for a support in an existing plan. 
Requests for a replacement support in a new plan, or a plan reassessment, will not enter the 
pathway through National Call Centre but will be subject to the same criteria: See Create and 
action a request for a replacement support. 
  
If: 
 you 
are 
NCC staff go to section Check application is correct and complete 
 you 
are 
TAPIB staff go to section Make a decision to approve or decline the 
application. 
Understand a replacement support application – 6 
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SGP KP Publishing – Check criteria for a replacement support application 
4  Check application is correct and complete 
4.1  Eligible to apply 
This is completed by NCC staff. 
1. Check 
the 
replacement support list (external) to determine if the requested support is 
approved. 
2.  Check if the support has already been requested in the past 12 months: 
3.  If the support is: 
o  Eligible – go to section Support to be replaced 
o  Not eligible – the application can't be accepted. Contact the participant to let 
them know the application can't be accepted. 
4.2  Support to be replaced 
1.  Check the Request for Replacement Support Form for a statement of what supports will 
be replaced and; 
2.  Check the person account to ensure the participant has a support ready to be replaced 
in their current plan. 
3.  If all criteria is: 
o  Met – refer to TAPIB. Go to article Create and action a request for a 
replacement support application. 
o  Not met – the application can't be accepted. Contact the participant to let them 
know their application can't be accepted. 
Check application is correct and complete – 7 
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SGP KP Publishing – Check criteria for a replacement support application 
5  Make a decision to approve or decline the 
application 
Only TAPIB Technical Advisors or Practice Improvement Branch Technical Advisor 
delegate can make a decision about whether to approve the replacement supports application. 
A technical advice case will be created by NCC if an application has met the criteria for eligibility 
to apply for a support to be replaced. 
 
The application must meet the criteria as outlined in each section below to be approved. 
5.1 Suitability 
1.  Check if the replacement support addresses the disability related support needs of the 
participant. 
The criteria for Yes is: 
o  There is a demonstrated functional need based on information provided by the 
participant in the Replacement Support application form. Additional information 
could be obtained from existing information on the participant's record 
o  The support will replace a support currently in the participant's plan that 
addresses the same functional need. 
2.  The criteria for No is: 
o  There is no demonstrated functional need, OR 
o  The replacement support does not address the functional need 
Note: For a smartwatch/ tablet/ smartphone or apps it must relate to communication 
and accessibility needs. 
For standard commercially available household goods the item must increase 
whole task independence. It must also reduce or eliminate the need for a 
disability support worker or disability specific assistive technology. 
3.  If the criteria is: 
o  Met - The application can move to the next stage. If the support being replaced 
is a support worker or other human delivered support go to section 
Replacement Hours. For any other requested support go to section Benefits. 
o  Not met - Go to section Next Steps, step 2. 
5.2 Replacement hours 
IMPORTANT: This section is only for supports which replace support workers or other human 
delivered supports. 
1.  Check if the estimate of hours is reasonable. 
2.  The criteria for Yes is: 
o  The tasks that the participant will be able to do without a support worker or 
other paid professional are in line with the number of hours estimated 
o  The criteria for No is: 
o  The number of hours to be saved is not reasonable. 
3.  If the criteria is: 
Make a decision to approve or decline the application – 8 
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SGP KP Publishing – Check criteria for a replacement support application 
o  Met - The application can move to the next stage. Go to section Cost of the 
replacement support 
o  Not met - Go to section Next Steps, step 2. 
5.3 Benefits 
1.  Check if the replacement support provides the same or better outcomes for the 
participant. 
2.  The criteria for Yes is: 
o  The participant can describe how the replacement support will achieve the 
same or better outcomes than the support to be replaced. 
o  Note: The participant will provide information about their lived experience in the 
application form. 
o  There is no relevant or current information about the participant's function which 
suggests that the outcome is not achievable. 
o  The criteria for No is: 
o  The replacement support is unlikely to achieve the same or better outcome. 
3.  If the criteria is: 
o  Met - The application can move to the next stage. Go to section Safety. 
o  Not met - Go to section Next Steps, step 2. 
5.4 Safety 
1.  Check if there are safety concerns for the participant when using the replacement 
support. 
2.  The criteria for Yes is: 
o  Safety concerns are not identified, OR 
o  Any safety concerns are below an acceptable level. Additional information 
may be sought from other sources by TAPIB to make this assessment. 
o  The criteria for No is: 
o  Safety concerns are present, AND 
o  Safety concerns are above an acceptable level. Additional information may be 
sought from other sources by TAPIB to make this assessment. 
3.  If the criteria is: 
o  Met - The application can move to the next stage. Go to section Cost of the 
replacement support 
o  Not met - Go to section Next Steps, step 2. 
5.5  Cost of the replacement support 
1.  Check if the proposed cost of the replacement support is the same or less than the 
support to be replaced. 
2.  The criteria for Yes is: 
o  The tasks that the participant will be able to do without a support worker are in 
line with the number of hours estimated. 
Make a decision to approve or decline the application – 9 
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o  The criteria for No is: 
o  The replacement support is more expensive than the support to be replaced. 
3.  If the criteria is: 
o  Met - The application can be approved. Go to section Next Steps, step 1 
o  Not met - Go to section Next Steps, step 2. 
Make a decision to approve or decline the application – 10 
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6 Next steps 
1.  For an approved replacement support application, go to article Create and action a 
request for a replacement support to complete the technical advice case and contact 
the participant. 
2.  If the application is not approved, TAPIB will call the participant to discuss and offer 
support before finalising the decision and sending the decision letter. 
Next steps – 11 
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DOCUMENT 2
Create and action a request for a 
replacement support 
SGP KP Publishing 
Exported on 2025-02-07 00:55:46 
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SGP KP Publishing – Create and action a request for a replacement support 
Table of Contents 
 
1
Before you start .................................................................................................................... 4
2
Understand a request for replacement supports.............................................................. 5
2.1 
Help the participant to request a replacement support ...................................................... 5 
3
Create an enquiry case to request replacement supports .............................................. 7
3.1 
Who is making the request ................................................................................................. 7 
3.2 
Enquiry Details ................................................................................................................... 7 
3.3 
Duplicate Check ................................................................................................................. 7 
3.4 
Risk Matrix .......................................................................................................................... 7 
3.5 
Notes and Next Steps ......................................................................................................... 7 
3.6 
Review and Submit ............................................................................................................. 8 
4
Triage a request for replacement support ......................................................................... 9
5
Create a technical advice case for replacement support .............................................. 10
5.1 
Submit a technical advice case for replacement support ................................................. 10 
5.2 
Check case is in the correct queue .................................................................................. 11 
6
Provide technical advice (for technical advisor only) .................................................... 13
6.1 
Create and send a manual letter ...................................................................................... 14 
6.2 
Make a fund management decision ................................................................................. 14 
6.2.1 
Change a fund management type for plans on PACE ................................................................ 15 
6.2.2 
Change a fund management type for plans being transitioned from SAP CRM .......................... 15 
 
Table of Contents – 2 
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SGP KP Publishing – Create and action a request for a replacement support 
 
This article provides guidance for a planner delegate, planner (non-partnered area), participant 
support officer, early childhood partner, local area coordinator, technical advisor and the 
National Contact Centre to: 
  understand a request for replacement supports 
  create an enquiry case to request a replacement support 
  triage a request for a replacement support 
  create a technical advice case for a replacement support 
  provide technical advice (for technical advisors only). 
Recent updates 
3 October 2024 
New article to: 
  understand and help the participant request a replacement support request 
  create an enquiry case for a replacement support request 
  triage a request for a replacement support 
  create a technical advice case for a replacement support request 
  provide advice on a request for a replacement support request. 
Before you start – 3 
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SGP KP Publishing – Create and action a request for a replacement support 
1  Before you start 
You have: 
  read and understood fact sheets about Replacement Supports (external) 
  received a replacement support request from a participant or authorised representative 
or 
  received a completed Form – Application for Replacement Support (external) with all 
required evidence or 
 received 
a 
Technical Advice case to provide advice on. 
If you're: 
  an Early Childhood Partner, Local Area Coordinator or a NCC Service Officer and are 
creating an Enquiry case to request a replacement support. Go to section Help the 
participant to request a replacement support and Create an enquiry case to 
request replacement support in this article 
  Service Delivery staff or a NCC Delegate creating a Technical Advice case for 
replacement supports. Go to section Triage a request for replacement support and 
Create a technical advice case for replacement support in this article 
  a Technical Advisor and are providing advice on the Technical Advice case, go to 
section Provide technical advice in this article. 
Before you start – 4 
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SGP KP Publishing – Create and action a request for a replacement support 
2  Understand a request for replacement supports 
A request to replace support(s) can only be made by the participant or their authorised 
representative. A replacement support is not an extra support, but it's a replacement for an 
existing NDIS support(s). Once a participant has received a decision that they can purchase a 
replacement support, it's considered to be a NDIS support for them. 
 
For a request to be made for a replacement support the participant needs to have an approved 
plan. The participant or their authorised representative can only use their plan funding to buy a 
replacement support when they've received an approval from us. 
  
If we don't approve their request, they won't be able to buy the support and/or ask for an internal 
or external review of their request. 
  
The participant won't be able to reapply for the same replacement support for the next 12 
months. 
 
Only items listed below can be requested as replacement supports: 
  standard commercially available household items, like a washing machine or 
dishwasher 
 smart 
watch 
 smartphone 
 tablet 
device 
  app for accessibility and communication purposes. 
To learn more about replacement supports, go to the fact sheets about[ Replacement Supports 
(external)|https://ourguidelines.ndis.gov.au/would-we-fund-it/what-does-ndis-fund]. 
2.1  Help the participant to request a replacement support 
You must help explain and clarify the replacement support request at the first point of contact 
where possible. When the participant or their authorised representative contacts you to request 
a replacement supports, you must: 
  help them understand how to apply for a replacement support using the Form – 
Application for Replacement Support (external) and 
  explain what a replacement support is, using fact sheets about Replacement Supports 
(external). 
Note: Participants can provide the information to apply for a replacement support in other ways 
as long as we receive the same information that is on the form. 
 
Open the form on your screen to guide the participant or authorised representative to fill in the 
form. You'll need to make sure they're including: 
  their NDIS number 
  which replacement support they want to request 
  how much the replacement support cost 
  how the replacement support will help them. For example, will it help them in the same 
way or more than the NDIS support(s) it's replacing. The participant can also provide 
information about their lived experience to support their request. 
Understand a request for replacement supports – 5 
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  which NDIS support or supports in their plan they want replaced 
  any other information they might like to provide. 
Note: there is no requirement for participants to provide any additional information than what we 
ask in the form. 
Understand a request for replacement supports – 6 
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SGP KP Publishing – Create and action a request for a replacement support 
3  Create an enquiry case to request replacement 
supports 
Below steps are to be used by Early Childhood Partners, Local Area Coordinators, and NCC 
Service Officer when creating an Enquiry case to request replacement support. 
 
Note: NCC Service Officers must only create an Enquiry case if they've received a replacement 
support request through an email or incomplete information is provided. 
1. From 
the 
Person Account, select the Details tab. 
2. Select 
Create Enquiry. A pop-up box will appear. 
3.1  Who is making the request 
1. At 
Requested By, from the drop-down list select who's making the enquiry. 
2. At 
Case Origin, select how the request for replacement supports was received. 
3. Select 
Next. 
3.2 Enquiry Details 
1. At 
Date/Time Received, select the correct date and time the request was received. 
2. At 
Enquiry Type, select Other. 
3. At 
Category, from the drop-down list select General. 
4. At 
Sub Category, from the drop-down list select Information about the NDIS. 
5. Select 
Next. 
3.3 Duplicate Check 
This screen will only appear if there's an open enquiry case on the person account that has 
similar categorisation. You'll need to review the Existing Case Number link to make sure 
you're not duplicating an enquiry that already exists. 
3.4 Risk Matrix 
1. At 
Risk Matrix step, select Yes to see a list of risks and select all that apply. Otherwise, 
select No if there are no risks. 
2. Select 
Next. 
3.5  Notes and Next Steps 
1. At 
Enquiry Notes, in the free text field provide a detailed explanation of the 
replacement support request you've received. 
Note: You'll also need to include what you've discussed with the participant or their 
authorised representative. 
2. At 
Enquiry Outcome, select Re-assign this enquiry to another user. 
3. At 
Case Re-assignment Reason, select Referral to other business area. 
Create an enquiry case to request replacement supports – 7 
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4. At 
Select User or Queue, from the drop-down list select Queue. 
5. At 
Case Owner, select NCC Enquiry High Cost AT queue. 
6. Select 
Next. 
3.6  Review and Submit 
1. At 
the 
Review and Submit step, review the information in the enquiry. 
2. Select 
Submit. 
You've now submitted the Enquiry case for replacement supports. This case will now go to a 
NCC Delegate team to triage. 
Create an enquiry case to request replacement supports – 8 
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SGP KP Publishing – Create and action a request for a replacement support 
4  Triage a request for replacement support 
Service Delivery staff and NCC Delegates must check that the participant's request for a 
replacement support meets the minimum criteria for Technical Advice and Practice 
Improvement Branch (TAPIB) request. Only after this has been checked can a Technical 
Advice case be created and submitted to make a decision. 
 
You'll need to check: 
  the support the participant is requesting is on the list of replacement supports 
  the participant has an approved plan with supports they want to replace 
  the participant has contacted us to ask for a replacement support. 
If the participants request doesn't include this information, you can't send their request to TAPIB 
to make a decision. You'll need to let the participant know their request needs to include this 
information for us to make a decision. You should help the participant understand what 
evidence may be required for their request. You can help the participant to provide the extra 
information by referring to the fact sheets Replacement Supports (external). 
 
Only valid requests can go through to TAPIB for a decision. Once you have a valid request, go 
to section Create a technical advice case for replacement support in this article. 
Triage a request for replacement support – 9 
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5  Create a technical advice case for replacement 
support 
Below steps are only to be used by Service Delivery staff and NCC Delegates when creating a 
Technical Advice case for replacement support requests. 
 
Note: If the technical advice request doesn't relate to replacement supports, go to article Create 
a technical advice case. 
 
For TAPIB to make a decision about replacement supports you'll need to create a Technical 
Advice case. 
1.  On the right hand side of the screen, on the Case Action Bar, select Technical 
Advice. 
Note: This'll open up the Advice categorisation step. 
2. At 
Type, select the Replacement Request option from the drop down list. 
3. At 
Category, select the Replacement Request option from the drop-down list. 
4. At 
Does this request include restrictive practices or constraints?, select Yes or 
No. 
5. At 
What specific advice do you require in relation to this request?, in the free text 
field provide a detailed explanation of the replacement support request. 
6.  Don't select the checkbox at Select if this request relates to an AAT (Administrative 
Appeal Tribunal) matter. 
7. At 
Priority, select the relevant level from the drop-down list. To learn more about 
priority levels, go to section Select the priority in article Understand advice 
categorisation in a technical advice case. 
8. Select 
Next. This'll take you to the Confirmation step. 
9. At 
the 
Confirmation step, review and confirm the information in the request is correct. 
10. Select Submit and go to section Submit a technical advice case for replacement 
support in this article to process the case. 
Note: You must complete the below steps to progress and finalise the case. 
5.1  Submit a technical advice case for replacement support 
The Technical Advice case will now be open and needs to be finalised. You must complete all 
the steps below before you submit the request to TAPIB. If the below steps aren't completed the 
case will stay assigned to you and won't go to TAPIB. 
 
To progress the Technical Advice case: 
1. From 
the 
Details tab, under the Case Information heading, select Edit Subject 
(pencil). 
2. Add 
s10(6) in the Subject field. This'll allow for the case to be triaged quickly to the 
relevant TAPIB team once the case is submitted. 
3. At 
Prioritisation Reason, select the relevant reason from the drop-down list if the 
request is being prioritised. 
4.  Confirm the remaining information recorded in the Details tab is correct and make 
changes if needed. 
5. Select 
Save. 
Create a technical advice case for replacement support – 10 
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6. Select 
the 
Request tab to go to the Request Information step. You must complete all 
the mandatory fields marked with an asterisk. 
Note: Not all questions may be relevant. Answer as correctly as possible and create an 
Internal Note in the case to include other relevant information. Go to article Log an 
activity or internal note. 
7. At 
Does the request relate to the participants disability?, select Yes or No. 
Note: If you select No, you won't be able to finalise the case. 
8. At 
Does the support meet the reasonable and necessary criteria?, select Yes. 
9. At 
Does the support represent value for money?, select Yes. 
10. At Have you looked at the related procedures or resources for this request?, if you 
select: 
o  Yes, you must complete additional mandatory fields marked with an asterisk. 
o  No, you won't be able to finalise the case and need to review the relevant 
procedures or resources before going back and selecting Yes. 
11. Select Next. 
12. At Has there been any risks identified that may impact the participant, nominee or 
NDIS associated with this complaint?, select: 
o  Yes, if you do identify any risks. Go to section If you do identify risks in article 
Complete the risk matrix for a technical advice case to complete mandatory risk 
questions. Once completed go to step 13 in this article. 
o  No, if you don't identify any risks. Go to step 13 in this article. 
13. Select Next to go to Upload Documents step. 
14.  Link documents from the Person Account or upload any documents to support the 
request. Go to article Add documents to a case. 
Note: You must upload the completed Form - Application for Replacement Support 
(external) and any supporting evidence provided at this stage. 
15. Select Next to go the Summary step. 
16. At Summary step review all details are correct. 
17. At As the requestor, I agree that all the information presented is accurate and up 
to date, select Yes or No. 
Note: If you select No, an error message Please ensure that all the information 
presented is accurate will appear and system will not allow you to submit the case. 
You'll need to correct any information that is incorrect before going to step 18. 
18. Select Submit and go to section Check case is in the correct queue in this article. 
5.2  Check case is in the correct queue 
You must check the Technical Advice case is in the correct queue. If the request is assigned 
to an incorrect queue, you must manually assign it to the correct queue: 
1. At 
the 
Case Owner field, select Change Owner (the person icon), The Change Case 
Owner screen will display. 
2. At 
the 
Search Users field, select the down arrow next to the Users icon and then select 
Queues from the drop-down options. 
3. At 
Search Queues, search Technical Advice Case (TAB) Routing Queue. 
4. Select 
Change Owner. The technical advice request will now be routed to TAPIB to 
action. 
Create a technical advice case for replacement support – 11 
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You have now successfully submitted the Technical Advice case for replacement supports. 
The technical advisor will provide their advice and close the case when completed. 
Create a technical advice case for replacement support – 12 
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6  Provide technical advice (for technical advisor only) 
Below steps are only to be used by Technical Advisors. 
  
Before you provide advice on the replacement support request, you must review the request 
and supporting information, go to article Review the request information and other supporting 
information. Once reviewed and completed follow the steps below. 
 
You must call and inform the participant or their authorised representative about the outcome of 
their request before you make a decision on their replacement support request. When you 
contact the participant or authorised representative, you'll also need to discuss: 
  the outcome and reasons for your decision 
  that you'll send them a letter confirming your decision 
If the replacement support is approved you can talk to them about 
  how they'll claim for the support 
  the decision letter can be used as evidence of approval to claim 
  the fund management type if relevant 
From the Technical Advice case: 
1. Select 
the 
Advice tab to go to the Details step. 
2. At 
Complexity Rating, select Short or Comprehensive from the drop-down list. 
3. At 
Documents Referenced, in the free text field record any document(s) that've been 
uploaded by the requestor. You'll need to review the information provided by the 
participant to request a replacement support. 
4.  Use the fact sheet about Replacement Supports (external) 
to assist your decision making. You can only use the criteria for replacement supports in 
making your decision. These include: 
o  the support is a replacement support 
o  the support will replace a current support in the participants plan 
o  the replacement support costs the same or less than the support they want to 
replace 
o  the replacement support will provide the same or better outcomes 
o  you have considered any risk to the participant if they use the replacement 
support instead of the support in their plan. 
5. At 
Advisor Option, select: 
o  Replacement request is approved, if you're approving the replacement 
support or 
o  Replacement request is not approved, if you're declining the replacement 
support. 
Note: You must call and inform the participant or their authorised representative 
about the outcome of their request before you make a decision on their 
replacement support request. Record your discussion in a Internal Note under 
the Activity Panel. 
6. At 
Advisor's additional comments, in the free text field record any additional 
comments, if required. 
7. At 
Was the advice discussed with the requestor?, select Yes. 
8. At 
Advisor Recommendation, in the free text field record your recommendations 
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9. At 
Is there any other legislative references required?, in the free text field record 
any legislative references, if required. 
10. At Peer Reviewer, search and select the name of the peer reviewer if required. 
11. At Clearance Manager, search and select the name of your Team Leader (TL) or 
manager. 
12. At Date Cleared, select Select Date (calander) and add the date the request was 
cleared by your TL or manager. 
13. Select Next to go to Select Advisor Form(s) step. 
14. At Please select one or more of the following advisor forms to complete for this 
technical advice, select box Section 10 – Replacement Supports. 
15. Select Next to go to the Summary step. 
16. Select Submit and the Technical Advice case will now be Closed. 
17. Select Document tab and attach your technical advice. Link the document from the 
Person Account or upload the technical advice. Go to article Add documents to a case 
to learn more. 
18.  Go to section Create and send a manual letter in this article to create and send a 
manual letter. 
19.  If a fund management decision is required, go to section Make a fund management 
decision. 
6.1  Create and send a manual letter 
Once you've made a decision on the participant's replacement support request, the decision 
letter won't generate automatically. You must manually create and send the decision letter 
using: 
  Letter – Replacement support request – Approved or 
  Letter - Replacement support request – Not approved. 
Note: You'll only be able to edit specific fields in manual letters where information is required. 
 
Once you've finished creating the decision letter, go to article Send a manual letter to learn how 
to upload and send the manual letter. 
 
Note: Make sure you upload the letter to the Document tab of the Technical Advice case. This 
is the evidence that we've approved the replacement support request, we'll refer to this when 
they claim reimbursement for the support. 
6.2  Make a fund management decision 
You may need to make a fund management decision if you've approved a replacement support 
and the participant's plan or support category is Agency-managed. This is only if the support 
can't be purchased from a registered provider. 
 
To check if a fund management decision is needed, confirm with the participant if the provider 
they wish to buy the replacement support from is a: 
  registered NDIS provider. If they're a registered NDIS provider, a fund management 
decision is not required as the provider can claim from the Agency-managed plan or 
support category. End of process. 
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  unregistered NDIS provider. If they're not a registered NDIS provider for this support 
you'll need to talk to the participant about changing their fund management type to buy 
the approved replacement support. Confirm with the participant if they wish to change 
the fund management type. Once confirmed go to section Change a fund 
management type for plans on PACE or Change a fund management type for 
plans being transitioned from SAP CRM in this article. 
6.2.1  Change a fund management type for plans on PACE 
Use the below steps for a participant whose plan is already on PACE. 
1. Create 
a 
Plan Change case, using article Create a plan variation (s47A) request and 
assign the case to yourself to make a decision. 
2.  Make a decision on the plan change request, using article Make a plan change 
decision. 
3.  Change the fund management type, using article Make fund management decision. 
4.  Approve the budget, using article Finalise and approve a budget update. 
6.2.2  Change a fund management type for plans being transitioned 
from SAP CRM 
Use the below steps for a participant whose plan is on SAP CRM and needs to be transitioned 
to PACE. 
1. Create 
a 
Plan Change case, using article Create a plan reassessment (s48) request 
and assign the case to yourself to make a decision. 
Note: You'll need to create the Plan Change case as CEO's own initiative – S48. 
2.  Make a decision on the plan change request, using article Make a plan change 
decision. 
3.  Check information has correctly transitioned from SAP CRM, using article Check 
information correctly transitioned to PACE. 
4.  Select a streamline planning approach, using article Determine the streamlined 
planning approach. You'll need to use the PCST to develop the budget using the article 
Understand and update the plan conversation support tool. 
5.  Change the draft budget, using article Change the draft budget. 
6.  Change the fund management type, using article Make fund management decision. 
7.  Approve the plan, using article Approve and generate a plan. 
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DOCUMENT 3
Knowledge Article 
For Internal Use Only
The contents of this document are OFFICIAL. 
Make fund management decision 
Guidance in this document is not approved for use unless you view it in PACE. 
This article provides guidance for a planner delegate, planner (non-partnered area) or review 
officer to: 
 understand fund management types
 identify risks and consider safeguards
 record the fund management request
 make a self-management decision
 make a registered plan manager decision
 assign fund management to support categories
 calculate 
registered plan manager funding
 add registered plan manager funding.
Recent updates 
3 October 2024 
Updated guidance to reflect legislation changes from 3 October 2024. Interim guidance on 
considering criminal convictions and plan utilisation when making fund management decisions. 
Before you start 
You have: 
 read and understood Our Guideline – Creating your plan (external)
 read and understood Our Guideline – Changing your plan (external).
Understand fund management types 
Participants have three options for how they manage the funding in their plan 
 Agency-managed: we manage the funding and pay providers.
 Using a registered plan manager: a registered plan manager manages the funding
and pays providers.
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  Self-managed: the participant, plan nominee or child representative, manages the 
funding and pays their providers. 
Participants can choose a combination of these three options. To learn more about fund 
management, go to section What are your options for managing your funding? in Our 
Guideline – Creating your plan (external). 
Identify risk and consider safeguards 
Consider if there are any unreasonable risks to the participant. To learn more about managing 
risks, go to section What supports or strategies can we use to reduce risks? in Our 
Guideline – Creating your plan (external). 
You'll also have to review information on the Person Account to help determine any risks. 
You'll need to check: 
  any previous relevant plan management decisions and risk assessment tools. Check 
if there is information already captured that details the reason for the current fund 
management decisions. Consider if those reasons still apply 
  if the participant, nominee, or child representative is under legal orders. Details of 
who is responsible for the participant's financial decisions should be recorded on the 
Person Account on the Relationships tab 
  if there's a history of self-management or using a plan manager. This is available on 
the My Budget tab 
  information in the Check-in case 
  information in the Participant Risk Assessment case 
  information in the Personal and Environmental Circumstances case 
  information in the Access Request case 
 information 
in 
Internal Notes. 
You may need to complete a new Participant Risk Assessment case to record any relevant 
risks. Use the Activity Log during the case to capture any additional information related to the 
fund management decision. Go to article Create and complete a participant risk assessment 
case. 
Go to Our Guideline – Creating your plan (external) for more information about identifying and 
managing risks around fund management. 
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Consider criminal convictions 
A participant or nominee can’t self-manage funding if they have been convicted of an offence 
that either: 
  is punishable by 2 or more years 
  involves fraud or dishonesty. 
A participant or nominee with a relevant criminal offence can still request to use a registered 
plan manager for some or all of their funding. If they don’t make a request, their funding will be 
Agency-managed. 
Until further advice is provided, do not ask the participant or their nominee if they have 
previously had any criminal convictions. Don’t ask the participant or nominee for more 
information if another person discloses information about the person’s criminal history. 
You should only consider declining fund management due to a criminal conviction where the 
information is otherwise made available to the NDIA. For example, if the participant or their 
nominee has disclosed this information to us, we have a court record or a previous criminal 
history check, or the participant is currently serving a custodial sentence and is being 
supported to transition from a custodial setting. 
You should only decline fund management if the information we already have shows that the 
offence involves fraud or dishonesty, or the person received a sentence of 2 or more years. 
Information that they served a custodial sentence is not enough information without this detail. 
You should still consider other risks that may mean the participant or nominee can’t manage 
their funding. 
Offences punishable by 2 or more years 
Make sure you only consider the length of the sentence as determined by the court, not the 
amount of time served. Time spent on remand can’t be considered if the person wasn’t 
convicted. 
Offences involving fraud or dishonesty 
Fraud and dishonesty offences involve a dishonest act or omission carried out with the 
purpose of deceiving to obtain benefit. Fraud and dishonesty offences include: 
  obtain benefit by deception 
  forgery and counterfeiting, including counterfeiting currency, forging documents, or 
possessing equipment to make false or illegal instruments 
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  deceptive business or government practices, including fraudulent trade practices, 
misrepresentation of professional status, or illegal non-fraudulent trade practices 
  other fraud and deception offences, including dishonest conversion. 
Consider plan utilisation 
A participant, nominee, child representative or plan manager can’t manage funding if it’s not 
likely that the person will spend the funding: 
  only on NDIS supports for the participant, and 
  in line with the participant’s plan. 
Spending funding in line with the participant’s plan means only spending funding on the 
supports included in the plan. To spend in line with the plan, the person needs to: 
  spend the funding in the way we describe. This includes any stated supports, where 
we describe the supports more specifically 
  make sure funding will last for the whole length of the plan 
  if the plan includes funding periods and funding component amounts, make sure the 
funding will last for the length of each funding period. 
The person also needs to make sure they only buy NDIS supports or an agreed replacement 
support that relates to the participant’s disability. 
Review any previous plans to check for issues in the way they’ve been utilised. 
Consider if there are any risks about the way previous plan funding has been spent that would 
mean the person would be unlikely to spend their funding on NDIS supports in line with the 
participant’s plan. 
Note: A funding component amount is the total amount of funding that will be provided for a 
NDIS support, or group of NDIS supports, in a plan. A funding period is a period in which 
funding is available to be used. Funding periods may be specified either for the total funding 
amount, or for funding component amounts in a plan. 
We are currently updating our computer systems. Until these are finished, funding periods will 
be 12 months, and funding components will look the same as the current support categories of 
core, capacity building, capital and recurring. To learn more, go to Our Guideline – Creating 
your plan (external). 
Consider safeguards and supports to reduce risk to the participant 
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If you identify any risks that may impact the choice or intent of the participant, nominee or child 
representative, you'll need to consider safeguards and supports to reduce risk. 
Consider the following: 
  financial capacity building supports, if the participant has a goal to self-manage 
some or all of their funding. To help the participant build their financial capacity, 
include financial management capacity building supports. Go to article Change the 
draft budget. 
  a support coordinator or a registered plan manager to provide financial management 
capacity building support for training in plan and financial management, if the 
participant has a goal to self-manage their plan. 
  other supports and strategies to support the participant to manage their plan how 
they choose. 
Examples include: 
  mainstream and informal supports 
  funding for support coordination 
 regular 
check-ins 
  having a reduced plan duration. 
Go to Our Guideline – Creating your plan (external) for more information about strategies to 
reduce risks. 
Include the safeguards and supports you’ve considered to reduce risk in the Handover Notes 
for a Plan Approval case or Log an activity or internal note for a Plan Change or Participant 
Budget Update. 
Record the fund management request 
If the participant, nominee or child representative's request is to self-manage their funding or 
use a registered plan manager, you'll need to decide whether to approve this request. You'll 
need to factor in any risks and safeguards when making your decision. 
PACE will only display the fund management types you can assign to support categories, 
based on your decision. 
In a Plan Approval, Plan Change or Participant Budget Update case: 
1.  Select the Fund Management tab. 
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2.  Record the fund management choice or intent by selecting the checkbox next to: 
  The participant wants to self-manage some or all of their funding. 
  The participant wants to use a plan manager for some or all of their funding. 
Note: You can select more than one of these options if the participant would like 
more than one fund management type. 
3.  Then: 
  make a self-management decision, if you need to. 
  make a registered plan manager decision, if you need to. 
Note: If the participant, nominee or child representative has not made a choice who they 
want to manage their funding or their choice is to have agency-managed funds, you 
don’t need to select either of the checkboxes. Select Save and Assign and continue 
reading from section Assign fund management to support categories in this article. 
Make a self-management decision 
In a Plan Approval, Plan Change or Participant Budget Update case: 
1.  Select the Fund Management tab. 
2.  Review the self-management Recommendation and Recommendation Detail for the 
participant. You need to consider the recommendation, however you do not need to 
agree with the recommendation. This recommendation doesn't apply for nominees or 
child representatives. 
Note: This recommendation is based on risks identified during information gathering. 
3.  Select the Decision from the drop-down list. 
4.  Do you need to make a decision that a nominee or child representative can self-
manage? 
  Yes, go to step 5 
  No, go to step 9 to make a decision for the participant to self-manage. 
5.  When the participant is under 18 years of age, they must have a child representative 
recorded. The only exception is where the participant is approved to self-represent, this 
will be recorded on the Relationships tab of the Person Account. More than one child 
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representative can be recorded for the participant. However, only one person can be 
assigned as their payment nominee. 
6.  If any authorised representative (nominee or child representative) is listed, PACE will 
display the name of the person. You need to check for their bank account details at the 
plan meeting or during your plan change conversation. Learn more in article, View bank 
account details. 
Note: If an authorised representative is not listed, you should confirm this is correct at 
the plan meeting or during your plan variation conversation. If an authorised 
representative is required, you'll need to complete the nominee process. Go to article 
Record a child representative request or Confirm and record the nominee request. 
7.  Select the Justification from the drop-down list. 
8.  Provide Justification of your Decision using one of the below templates: 
  Eligible for self-management without support I have approved your request to 
self-manage funding. 
  Eligible for self-management with support I have approved your request to self-
manage funding and included additional support in your plan to help you do this. 
  Not recommended for self-management I have not approved your request to self-
manage funding. This is because I identified an unreasonable risk to you that cannot 
be reduced with capacity building supports or safeguards. 
  Ineligible for self-management I have not approved your request to self-manage 
funding. This is because you or your nominee or child representative are bankrupt or 
insolvent under administration. 
  Ineligible for self-management I have not approved your request to self-manage 
funding. This is because you or your nominee has been convicted of an offence 
punishable by 2 or more years, or that involves fraud or dishonesty. 
9.  If you're using evidence to support your justification, select the Evidence Type from the 
drop-down list: 
  If you select Document, go to step 10 
  If you select Other, go to step 11. 
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10.  Enter the Evidence Link. To bring up a list of evidence that's linked to the case, press 
the spacebar. Select the correct evidence document to link to the decision. You can 
view linked evidence on the Evidence tab of the case. To learn more about linking 
evidence, Go to article Add and link evidence to a case. 
11.  Enter the Evidence Explanation into the free text field. 
12.  If you need to add more evidence to support your justification, select Add and repeat 
from step 9. 
13.  If required, make a registered plan manager decision. Otherwise, select Save and 
Assign. 
Make a registered plan manager decision 
In a Plan Approval, Plan Change or Participant Budget Update case: 
1.  Select the Fund Management tab. 
2.  Select the Decision from the drop-down list. 
3.  Select the Justification from the drop-down list. 
4.  Provide Justification of your Decision using one of the below templates: 
  Approved for using a registered plan manager without support I have approved 
your request to use a registered plan manager. 
  Approved for using a registered plan manager with support I have approved 
your request to use a registered plan manager and included additional support in 
your plan to help you do this. 
  Not recommended for using a registered plan manager I have not approved your 
request to use a registered plan manager. This is because I identified an 
unreasonable risk to you that cannot be reduced with capacity building supports or 
safeguards. 
5.  If you're using evidence to support your justification, select the Evidence Type from the 
drop-down list: 
  If you select Document, go to step 6 
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  If you select Other, go to step 7. 
6.  Enter the Evidence Link. To bring up a list of evidence that's linked to the case, press 
the spacebar. Select the correct evidence document to link to the decision. You can 
view linked evidence on the Evidence tab of the case. To learn more about linking 
evidence, Go to article Add and link evidence to a case. 
7.  Enter the Evidence Explanation into the free text field. 
8.  If you need to add more evidence to support your justification, select Add and repeat 
step 5. 
9.  If you approved the use of a registered plan manager, Add handover notes for a plan 
approval case or Log an activity or internal note for a Plan Change or Participant 
Budget Update. 
10.  Ask the participant if they know the registered plan manager they want to use. 
Note: If they do, record the provider details using article Add or cancel a relationship. 
11.  Select Save and Assign. 
Note: When using a registered plan manager, PACE will automatically add the Choice 
and Control support category with a $0 budget. You'll need to add registered plan 
manager funding to the draft budget. 
Assign fund management to support categories 
Once you have decided the fund management type or types, you'll need to assign fund 
management to each support in the draft budget. 
1.  On the Support Category Fund Management Settings screen, the list of support 
categories in the draft budget will appear. 
2.  Select the Fund Management Type for each support category in the list. 
The available options will be based on the fund management decision: 
  Agency for agency-managed. This is the default fund management type and will 
be available without recording a decision. 
  Plan for plan-managed. This will be available if you have made a registered plan 
manager decision. 
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  Self for self-managed. This will be available if you have made a self-management 
decision. 
Note: Choice and Control can only be selected as Plan. This support category is for 
registered plan manager set-up fees and ongoing costs. This will result in the Choice 
and Control budget displaying in the provider portal. 
3.  Once all supports have a Fund Management Type, select Next. 
Record justifications 
1.  On the Justifications screen, you'll need to provide a Justification and Additional 
Justification Detail for each fund management type that was assigned to a support 
category. 
For example, if you assigned supports to Plan and Agency, you'll need to record a 
Justification and Additional Justification Detail for plan-managed and for Agency-
managed. 
2.  In Additional Justification Detail, provide the reason that the associated support 
categories were assigned to this fund management type. 
For example, support 1 and support 2 will be self-managed by the participant because 
they live in a remote area and would like to choose a provider that best supports their 
needs. 
Review and submit 
1.  Review the fund management decision. If you need to change this, select the Fund 
Management Settings step. 
2.  Review the Support Category Fund Management. If you need to change this, select 
the Support Category Fund Management Settings step. 
3.  Review your Justifications. If you need to change this, select the Justifications step. 
4.  Select Submit. 
5.  If any support categories are plan-managed, continue reading from section Calculate 
registered plan manager funding in this article. Otherwise, go to Next Steps in this 
article. 
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Calculate registered plan manager funding 
When using a registered plan manager, PACE will automatically add the Choice and Control 
support category with a $0 budget. 
You'll need to update this with the: 
  Plan management set up costs. This is a once-off (per plan) fee for setting up the 
financial management arrangements. 
  Plan management monthly fee. This is a monthly fee for the ongoing maintenance of 
the financial management arrangements. 
For a Plan Approval case, you'll need to use the Plan Conversation Support Tool (PCST) to 
calculate the funded amount for the Choice and Control support category. You must use the 
PCST for all new plans and plan reassessments. Go to section Add registered plan manager 
funding in article Understand and update the plan conversation support tool. 
For a Plan Change or Participant Budget Update case, you'll need to look up the following 
support items in the NDIS Pricing Arrangements and Price Limits (external): 
  Plan Management – Set Up Costs 14_033_0127_8_3 
  Plan Management – Monthly Fee 14_034_0127_8_3 
1.  Where the fund management type is changing to plan-managed for the first time, you'll 
need to include the Plan Management – Set Up Costs. To calculate this amount, 
divide the total amount by the remaining duration of the plan. For example, if the 
remaining plan duration is 1 year 6 months, divide the total amount by 18. 
2.  Add the amount for Plan Management – Set Up Costs calculated in step 2 to the Plan 
Management – Monthly Fee amount listed in the NDIS Pricing Arrangements and Price 
Limits (external). This will be the total monthly amount that you'll need add to the Choice 
and Control support category. 
Add registered plan manager funding 
1.  In a Plan Approval case, select the Draft Budget tab or In a Plan Change or 
Participant Budget Update case, select the Budget Update tab. 
2.  Select the Choice and Control support category from under the Stated Supports 
heading. 
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3.  Check the Budget Type is Stated. 
4.  Check the Instalment Type is Regular. 
5.  Enter the amount that was calculated into the Amount field. 
6.  Select TSP Variance Reason from drop-down list. 
7.  Under the Justifications heading, select the checkbox to confirm this support meets all 
of the NDIS funding criteria. 
Note: This support relates to participants’ choice and managing the funding for supports 
under participants' plans, as stated in the NDIS Act 2013. Until there is a PACE update, 
you'll need to complete the checkbox. 
8.  The Justification will automatically populate for this support. You can edit the 
justification to make it specific to the participant's support needs. For more information 
about recording justifications, go to article Add budget justifications. 
Note: This field has a limit of 3000 characters. Certain special characters in this field 
may cause an error, this is generally caused when copying justifications from SAP CRM 
into PACE. If you see the characters |%, you'll need to change these before you can 
select Save. 
9.  If you're using evidence to support your justification, select the Evidence Used 
checkbox. 
10.  Select the Evidence Type from the drop-down list: 
  If you select Document, go to step 11. 
  If you select Other, go to step 12. 
11.  Enter the Evidence Link. To bring up a list of evidence that's linked to the case, press 
the spacebar. Select the correct evidence document to link to the decision. You can 
view linked evidence on the Evidence tab of the case. To learn more about linking 
evidence, go to article Add and link evidence to a case. 
12.  Enter the Evidence Explanation into the free text field. 
13.  If you need to add more evidence to support your justification, select the checkbox Add 
further evidence links and repeat from step 10. 
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14.  Select Next. 
Select support items and check plan comments 
Plan comments will print on the participant's plan. You'll need to select which support items 
you're funding under each support category. 
1.  Check the plan comment for the Plan Management support item in the Choice and 
Control support category. 
2.  Select Next. 
Review and submit 
1.  On the Review and Submit screen, you'll be able to view the Base Description and 
the Plan Comments for the Choice and Control support category. 
Note: The support category Base Description and Plan Comments will print to the 
participant's plan. The Base Description cannot be edited. 
2.  Review the support category plan comment: 
  Keep the text short, simple and in plain conversational English. 
  Check your spelling and grammar. 
 Avoid 
jargon. 
  Avoid the use of special characters, such as < > or % as this will cause an error or 
the comment to appear blank. 
3.  Once you've confirmed the base description and plan comments are correct, select the 
acknowledgement checkbox to confirm this. 
4.  Select Submit. 
Next steps 
For a: 
  Plan Approval case, you'll need to check if the draft budget needs to be referred to 
a High Decision Delegate. Go to article Understand and action High Decision 
Delegate (HDD) referrals. 
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  Plan Change or Participant Budget Update, if you are ready to approve the 
budget update, go to article Finalise and approve a budget update. 
Article labels 
PACE user role names 
No change. 
Topics 
No change. 
Case names 
No change. 
Ownership 
No change. 
Version control 
Amended 
Version 
Brief Description of Change 
Status 
Date 
by 
Class 2 BM approval 
Guidance updated to mention 
11.0 JC0088 
APPROVED 2024-08-06 
PCST must be used for all plans 
and plan reassessments. 
Class 2 approval. 
Interim guidance on considering 
12.0 JC0088 criminal history and plan utilisation  APPROVED 2024-10-02 
when making fund management 
decision. 
 
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