DOCUMENT 10
Participant Critical Incident Template Guide
This document provides templates for use by Participant Critical Incident (PCI) Officers in: • Documenting actions on Participant Critical Incident (PCI) cases in PACE • Requests for Action from PCI cases to internal stakeholders • Email and verbal communication with internal stakeholders when advising updates or outcomes of PCI cases Templates provide for consistency in documenting actions and written advice, as well as efficiency for staff in having a readily available guide for use.
Participant Critical Incident Template Guide …………………………………………………………………… 1
- Recent updates ………………………………………………………………………………………………… 2
- Internal Notes …………………………………………………………………………………………………… 3 2.1 How to leave an Internal Note ………………………………………………………………………. 4 2.2 Request For Action …………………………………………………………………………………….. 5 2.3 NDIS Quality and Safeguards Commission…………………………………………………….. 7 2.4 Fraud ………………………………………………………………………………………………………… 8 2.5 Technical Advice and Practice Improvement Branch (TAPIB) …………………………… 8 2.6 Alerts ………………………………………………………………………………………………………… 8 2.7 Bereavement ……………………………………………………………………………………………… 8 2.8 PCI Closure ……………………………………………………………………………………………….. 8 2.9 Altering Date received by NDIS date ……………………………………………………………… 9 2.10 PCI officer monitoring PCI for updates …………………………………………………………… 9 2.11 T2 Case Reassigned …………………………………………………………………………………… 9
- Closure Emails ……………………………………………………………………………………………….. 10 3.1 National Delivery, Complaints, and LAC/Partners ………………………………………….. 10 3.2 Fraud ………………………………………………………………………………………………….. 13 3.3 Legal ………………………………………………………………………………………………….. 17 3.4 Cases Referred by the NDIS Quality and Safeguards Commission …………….. 20 3.5 Withdrawn Cases – Various Specific Circumstances …………………………… 22 3.6 Participant Death ……………………………………………………………………………………. 23 3.7 Tier 2, Revoked Participants, and Non Participants …………………………… 26
3.8 Cases referred to the NDIS Quality and Safeguards Commission……………………. 27 3.9 Duplicate PCI CIOSUre ooo… eee cece cece cece eeeeeeeceeececeeeeeeeeeceeceeseesaeeeeseeeeeeeees 29 4. RFA Email Templates 2200.00.00… ccc ccc cece cece cece eeeceecceeceeceeeeeeueeeeceeceeeeeseeeceeeeceeeeseeeeeneeess 31 4.1 NOW RFA Looe ec ecceccccecccceecceeeeceeeseseeeeeseeeeeesueeceseaeesesaeecesaeeceeseecessseeeesseeeessseeeeeseeeeeees 31 4.2 Overdue RFA W000… eeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeseeeeeeseeseeeseeeseeeeeeeeeeeeeeeeees 33 4.3 Inadequate RFA ReSponse ………………..cccc cc ceeeeccc cece eeceeceeeeeecececeeeeeecseeeececeaeeeeeeseaees 35 44 RFA Closed by non PCI Staff… 2… ccccc cece cece ceceeceeeceeeeeeceeeeeeeeeeececeeeeeeeeneeers 38 5. Referral and Notification Email Templates ……………….. 2. cece cccceeeeeceeececceceeeeeeeeeeeeeeeeeeeeees 41 5.1. Technical Advice and Practice Improvement Branch (TAPIB) ……………….:..5 41 5.2 NDIS Quality and Safeguards Commission Referrals ……………………..0cccccceeeeeeeeees 43 S.3 FLAW… see e cece cece cece cece cece cece cece cece cece cece eceeceeeceeeeeeeeeeeeeceeeeeeceeeceeeeeeeeeeeeeeeeseeeeeeeees 45 5.4 Welfare CHECK…………….cc cece cece ccc ceeeceeeceeececeeeeeeeeeeeeeeeceeseeeeeeeseeseceeeeseeeeeeeseeseeeeeeseeees 46 5.5 NSW Ageing and Disability Commission…………………….ccecccceeeceeeeceeeeeeeeeeeeeeeeeeeeees 46 5.6 Red Rated Incident SUMMafy …………. 2… cece cece ceeeeccccceeeeceeccueeesceeceeeeeeeceeeeeseeees 48 5.7 Media Referral………….. 2.2.2… cece cccce cece cece cece cece eee cce cee ceeeeeeeeeeeceeeeeeceeeeeeeeeeeeeeeeeeeeeeeeeees 48 5.8 Escalation of RFA 200… cece ce cece cee ceeeeeeeeeeeeeeeeeeeeceeeeeeeeeeneeeeeeeceeseeeeenneeneeeeeeess 49 5.9 Absconding/Missing Person ………………..ccccceeeeeeeeeeceeceeceeeeeeeeeeeeceececeeeueeeeeeseeeeeeseeees 50 5.10 SCO Assistance Template ……………… 2. cece cccceeceeceecceceeceeeeeeeeceeeceeeesseeeeeeeeeseeeeeeeeeees 52 6. Fe@dDaCK 20. eeeeeeeeeeeeeeeeeeceeeeeeceeeeeeeeeeeeeeeeeeeeeeeeceeeeeceeeeeeeeeeeeeeeeeeeees 53 7. Version Control oe eeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeseeeeseeeeeseeseeseeeseeeeeeeeeees 53
1. Recent updates
| Date | What’s changed | Ref | (Table parsed via structured layout preserving original text) | |—|—|—| | 30th April 2025 | Added new template for SCO assistance request. | | | 10th April 2025 | Clean up of document formatting and accessibility checks. | | | 20th March 2025 | Addition of new template for inadequate RFA response. Removal of Welfare Check email template. | |
2. Internal Notes
Recording internal notes as a Log Activity within the Participant Critical Incident (PCI) case in the NDIS Business System (PACE) is mandatory. It is essential for information gathering, record keeping and a nationally consistent service delivery approach.
Internal Notes in relation to PCI investigations are to be recorded in the PCI Case within PACE only. Internal Notes and updates in relation to a PCI case should not be entered into the participant’s account, this is to protect participant privacy and safety. All emails that are sent from the PCI team centralised email inbox redacted: s47E(d) - certain operations of agencies@ndis.gov.au are copied and pasted into the Internal Notes as well.
For further guidance on creating, updating, and closing a PCI case in PACE, please refer to the relevant Knowledge Articles within PACE for up-to-date guidance and instructions.
Note: a new internal note must be created for every update to a PCI case, to ensure the audit trail reflects the correct time and date of updates made to the PCI case.
| Topic | Context |
|---|---|
| How to leave an Internal Note | How and where to leave an Internal Note in PACE within a PCI case |
| RFA Sent | RFA Sent |
| RFA Follow Up Sent | RFA Follow Up Sent |
| Request For Action Inadequate Response Received | Request For Action Inadequate Response Received |
| Closed by Non PCI Staff — adequate response | Closed by Non PCI Staff — adequate response |
| Closed by Non PCI Staff — inadequate response | Closed by Non PCI Staff — inadequate response |
| NDIS Quality and Safeguards Commission | Referral Sent |
| Fraud | Referral Sent |
| Technical Advice and Practice Improvement Branch (TAPIB) | Referral Sent |
| Alerts | Alert Created |
| Bereavement | Create Enquiry Case |
| PCI Closure | Case Closure Email Sent |
| T2 Case Reassigned | T2 Case Reassigned to Queue for action |
2.1 How to leave an Internal Note
2.1.1 How and where to leave an Internal Note in PACE within a PCI case
You must create a log activity for all actions you take whilst investigating PCI cases. To do this please follow the below steps as listed in the Knowledge Article (KA) ‘Log an activity or internal note’, noting steps 4-6 have been customised here to be specific to PCI cases. Please ensure you are always referencing the KAs in the link above, to ensure you are following the most up to date instructions.
- Navigate to the relevant PCI Case.
- Select the Log Activity tab on the Activity panel on the right of screen.
- Select Create New or Add.
- Select the Activity Type: • Internal Note
- Outcome will automatically load to Not Applicable due to the option Internal Note being selected as the Activity Type
- Select a Subject: • Internal Communication.
- Add Comments that are relevant to the case type. To learn more, refer to relevant articles that relate to the case type.
- Select Save.
2.1.2 Case Triage TAB
Complete this TAB for all your cases. Please note the highlighted ‘Not Applicable’ option is only to be used by the BSOs for incorrectly created/Admin error PCIs
2.2 Request For Action
2.2.1 RFA Sent
<High/Medium/Low> Risk RFA case has been raised on-system and assigned to
2.2.2 RFA Follow Up Sent
<High/Medium/Low> Risk RFA case is overdue.
Original due date - <XX/XX/202X>.
PCI Officer has sent an off-system follow up email to
2.2.2(a) RFA Escalation Sent
<High/Medium/Low> Risk RFA case Escalation
Original due date - XX/XX/2024.
PCI Officer has sent an escalation email to TL on – xx/xx/2024
PCI Officer to monitor RFA response.
2.2.3 Inadequate Response Received
Where an RFA response is not adequate and does not address all the actions requested please follow the below steps
- Within the original RFA case create an Internal Note, that references the new RFA case, using the following template
• RFA response does not cover all actions requested. A new RFA case has been created to follow up. Please refer to RFA case
for additional information - Close the original RFA case
- Create a new RFA case • Treat this new RFA case as a follow-up and apply the same timeframes i.e. 2 days • The risk rating will remain the same as the original RFA case, if you feel the risk rating should be changed please discuss this with a Team Leader
- Within the new RFA case you should make note of any actions taken in the original RFA case and the actions that are still outstanding
- Within the new RFA case create an Internal Note, that references the original RFA case, using the following template
• Additional RFA case created to address actions requested. Please refer to RFA case
for additional information - Assign the new RFA case to the required queue
- Send an off-system email to the Business Area using the Inadequate Response Received email template
2.2.4 Closed by Non PCI Staff – adequate response
Where an RFA case has been closed by a non-PCI staff member and the response is adequate please follow the below steps
- Within the RFA case create an Internal Note using the following template • RFA case has been closed by a non-PCI staff member. RFA response does cover all actions requested and PCI Officer agrees that the RFA case can be closed.
- Send an off-system email to the Business Area using the Closed by Non PCI Staff – adequate response email template
2.2.5 Closed by Non PCI Staff – inadequate response
Where an RFA has been closed by a non-PCI staff member and the response is not adequate and does not address all the actions requested please follow the below steps
- Within the original RFA case create an Internal Note, that references the new RFA case, using the following template
• RFA case has been closed by a non-PCI staff member. RFA response does not cover all actions requested. A new RFA case has been created to follow up. Please refer to RFA case
for additional information - Create a new RFA case • Treat this new RFA case as a follow-up and apply the same timeframes i.e. 2 days • The risk rating will remain the same as the original RFA case, if you feel the risk rating should be changed please discuss this with a Team Leader
- Within the new RFA case you should make note of any actions taken in the original RFA case and the actions that are still outstanding
- Within the new RFA case create an Internal Note, that references the original RFA case, using the following template
• Additional RFA case created to address actions requested. Please refer to RFA case
for additional information - Assign the new RFA case to the required queue
- Send an off-system email to the Business Area using the Closed by Non PCI staff - Inadequate Response email template.
2.3 NDIS Quality and Safeguards Commission
2.3.1 Referral Sent
PCI Officer has sent an off-system referral to the NDIS Quality & Safeguards Commission on XX/XX/202X - document has been uploaded into the Documents tab.
2.4 Fraud
2.4.1 Referral Sent
PCI Officer has sent a referral to fraud via NDIA Fraud reporting form on XX/XX/202X - Ref: XXXXXX.
2.5 Technical Advice and Practice Improvement Branch (TAPIB)
2.5.1 Referral Sent
PCI Officer has sent an off-system referral to redacted: s47E(d) - certain operations of agencies@ndis.gov.au on XX/XX/202X -document has been uploaded into the Documents tab.
2.6 Alerts
2.6.1 Alert Created
Add a note outlining the type of alert and providing the reason why the alert has been added.
2.7 Bereavement
2.7.1 Create Enquiry Case
Work Instructions for Bereavement Enquiry Case available on the PCI Intranet Work Instruction - Bereavement Support Enquiry in PACE.docx.
Leave internal note as follows: The Participant Incidents Team has received notification from XXBusiness AreaXX that the participant has passed away. Enquiry case Number XX01234XX has been created and assigned to the ‘Leaving The NDIS Routing Queue’ for action.
2.8 PCI Closure
2.8.1 Case Resolution tab
In the Resolution TAB on PACE, please disregard the new options and continue using the ‘Desired action completed’ option for closing all PCI cases.
2.8.2 Case Closure Email Sent
PCI case closed. An off-system email has been sent to reporting party on XX/XX/202X to provide an update and advise closure of PCI case - document has been uploaded into the Documents tab.
2.9 Altering Date received by NDIS date
2.9.1 Date received amended
Date and time incident reported to NDIA amended to match date incident received by PCI team.
2.10 PCI officer monitoring PCI for updates
2.10.1 Monitoring for updates
Actions already in progress to address risks identified in this PCI. PCI officer to continue to monitor. <outline actions pending e.g. LAC attempting ongoing contact, new plan being built>. Follow up date xx/xx/20xx
2.11 T2 Case Reassigned
2.11.1 T2 Case Reassigned to Queue for action
Tier 2 case reassigned to PCI queue by BSO on xx/xx/xx for further action
3. Closure Emails
An email advising the closure of a PCI must be sent to the staff member who created the PCI. This is issued to advise the PCI has been closed, and to detail the actions taken to ensure the participant’s safety and wellbeing.
Please ensure you select the correct closure template based on the business area of the staff member who created the PCI. Templates have been created for each business area to ensure the information provided to them meets their individual requirements.
| Topic | Context |
|---|---|
| National Delivery, Complaints, and LAC/Partners | Accepted as PCI Not Accepted as PCI |
| Fraud | Accepted as PCI Not Accepted as PCI |
| Legal | Accepted as PCI Not Accepted as PCI |
| Cases referred by NDIS Quality and Safeguards Commission | Accepted as PCI Not Accepted as PCI |
| Withdrawn Cases — Various Specific Circumstances | Behaviours of Concern Homelessness Fraud Reporting — not a misuse of funding Absconding |
| Participant Death | Accepted as PCI Not Accepted as PCI |
| Tier 2 and Non Participants | Closed Case |
| Cases referred to NDIS Quality and Safeguards Commission | Case referred to the Commission |
| Duplicate PCI Closure | Duplicate PCI received |
3.1 National Delivery, Complaints, and LAC/Partners
3.1.1 Accepted as PCI
PACE Subject line: Closed PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Closed PCI PACE Case ID 01XXXXXX - Jane Doe 431000000
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on XX/XX/202X regarding <NAMEx 43xxxxxx>.
The Participant Incidents Team has reviewed your referral and determined that it is a PCI.
As a critical incident has occurred, we acknowledge there may be significant risks to be assessed to ensure the safety of the participant.
Participant’s risks are: (detail the risks) • xxxxx • xxxxx • Xxxxx
Actions undertaken: • Xxxxx • Xxxxx • Xxxxx
We are satisfied that the actions already undertaken and commitments made are providing the participant with the necessary supports to ensure their welfare following the incident. There is no further action for the Participant Incidents Team to address at this time. Please be advised we have lodged and closed the PCI.
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant • sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
3.1.2 Not Accepted as PCI/Tier 2 Withdrawal
Reminder: Withdrawn NCC PCIs must be added to the NCC Feedback Tracker
PACE Subject line: Withdrawn PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Withdrawn PCI PACE Case ID 01XXXXXX - Jane Doe 431000000
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on XX/XX/202X regarding <NAMEx 43xxxxxx>.
The Participant Incidents Team has reviewed your referral and determined that this is not a PCI.
The report does not meet the criteria to be documented as a PCI because: • Xxxxx • Xxxxx • Xxxxx
I acknowledge there are significant risk factors in this case, and the following actions have been undertaken. • Xxxxx • Xxxxx • Xxxxx
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant
• abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant • sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
3.2 Fraud
Please note that Fraud closure emails are to be sent to the Fraud team only, as these closure emails advise the Fraud team to refer their cases through to the NDIS Quality and Safeguards Commission, which is not appropriate for any other business area.
3.2.1 Accepted as PCI
PACE Subject line: Closed PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Closed PCI PACE Case ID <01XXXXXX - Jane Doe 431000000>
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on XX/XX/202X regarding <NAMEx 43xxxxxx>.
The Participant Incidents Team has reviewed your referral and determined that this is a PCI.
As a critical incident has occurred, the Participant Incidents Team acknowledge there may be significant risks to be assessed to ensure the safety of the participant.
Participant’s risks are:
Actions undertaken: • Xxxxx • Xxxxx • Xxxxx
PLEASE NOTE; a referral to the NDIS Quality and Safeguards Commission is required if the concerns are substantiated in relation to misconduct involving a Provider.
We are satisfied that the actions already undertaken and commitments made are appropriate following the incident. There is no further action for the Participant Incidents Team to address at this time. Please be advised we have lodged and closed the PCI.
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant • sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
3.2.2 Not Accepted as PCI
Even if it’s not a PCI and there are potential risks - we will need to refer on to SD to action as appropriate, but we can close the record
PACE Subject line: Withdrawn PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Withdrawn PCI PACE Case ID <01XXXXXX - Jane Doe 431000000>
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on XX/XX/202X regarding <NAMEx 43xxxxxx>.
The Participant Incidents Team has reviewed your referral and determined that is not a PCI.
The report does not meet the criteria to be documented as a PCI because: • Xxxxx • Xxxxx • Xxxxx
I acknowledge there are significant risk factors in this case, and the following actions have been undertaken. • Xxxxx • Xxxxx • Xxxxx
PLEASE NOTE; a referral to the NDIS Quality and Safeguards Commission is required if the concerns are substantiated in relation to misconduct involving a Provider.
There is no further action for the Participant Incidents Team to address at this time. Please be advised we have lodged and withdrawn the PCI.
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant • sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14
• Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
3.3 Legal
3.3.1 Accepted as PCI
PACE Subject line: Closed PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Closed PCI PACE Case ID <01XXXXXX - Jane Doe 431000000>
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on XX/XX/202X regarding <NAMEx 43xxxxxx>.
The Participant Incidents Team has reviewed your referral and determined that it is a PCI.
We will take carriage of this PCI and ensure appropriate actions are initiated in the relevant business areas within the Agency.
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant • sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
3.3.2 Not Accepted as PCI
PACE Subject line: Withdrawn PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Withdrawn PCI PACE Case ID <01XXXXXX - Jane Doe 431000000>
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on XX/XX/202X regarding <NAMEx 43xxxxxx>.
The Participant Incidents Team has reviewed your referral and determined that is not a PCI.
The report does not meet the criteria to be documented as a PCI because: • Xxxxx • Xxxxx • Xxxxx
I acknowledge there are significant risk factors in this case, and the following actions have been undertaken. • Xxxxx • Xxxxx • Xxxxx
There is no further action for the Participant Incidents Team to address at this time. Please be advised we have lodged and withdrawn the PCI.
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant • sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
3.4 Cases Referred by the NDIS Quality and Safeguards Commission
Please note that all closure emails that are sent to the NDIS Quality and Safeguards Commission must be cleared by the PCI BSO APS6.
3.4.1 Accepted as PCI
Subject line: Closed PCI - <NQSC # - Name NDIS Number> e.g. Closed PCI - <4-HA75NAK8 - Jane Doe 431000000>
Dear
Thank you for your report of a potential Participant Critical Incident (PCI) on <XX/XX/202X> for <NAMEx 43xxxxxx>.
NDIS Quality and Safeguards Commission Complaint ID #
The Participant Incidents Team has reviewed your referral and determined that it is a PCI.
The Participant Incidents Team acknowledge there may be significant risks to be assessed to ensure the safety of the participant.
Participant’s risks are: • Xxxxx • Xxxxx
Requested Actions: (if applicable) • Xxxxx • Xxxxx
Actions undertaken • Xxxxx • Xxxxx • Xxxxx
Next Steps: (if applicable) • Xxxxx • Xxxxx
We are satisfied that the actions already undertaken and commitments made are providing the participant with the necessary supports to ensure their welfare following the incident. There is no further action for the Participant Incidents Team to address at this time. Please be advised we have lodged and closed the PCI.
This information has been disclosed in this instance in accordance with s60(2)(e) of the NDIS Act as it is believed to be necessary to prevent or lessen a serious threat to an individual’s life, health or safety.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
3.4.2 Not Accepted as PCI
Subject line: Withdrawn PCI - <NQSC # - Name NDIS Number> e.g. Withdrawn PCI - <4-HA75NAK8 - Jane Doe 431000000>
Dear
Thank you for your report of a potential Participant Critical Incident (PCI) on <XX/XX/202X> for <NAMEx 43xxxxxx>.
NDIS Quality and Safeguards Commission Complaint ID #
The Participant Incidents Team has reviewed your referral and determined that this is not a PCI.
The report does not meet the criteria to be documented as a PCI because: • Xxxxx • Xxxxx • Xxxxx
The Participant Incidents Team acknowledge there may be significant risks to be assessed to ensure the safety of the participant and the following actions have been undertaken. • Xxxxx • Xxxxx
There is no further action for the Participant Incidents team to address at this time. We have lodged and withdrawn the PCI.
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant
• sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
This information has been disclosed in this instance in accordance with s60(2)(e) of the NDIS Act as it is believed to be necessary to prevent or lessen a serious threat to an individual’s life, health or safety.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
3.5 Withdrawn Cases – Various Specific Circumstances
The below section details responses for closure emails relating to specific common circumstances which do not meet the PCI criteria. These are to be included in the relevant closure email for the referring business area.
3.5.1 Behaviours of Concern
I acknowledge the details in your report demonstrate behaviours of concern and these will need to be managed at your service delivery level. This may include contacting the participant, family or support coordinator to ensure appropriate supports are in place to minimise future risk.
If there have been threats to NDIA/partner staff, a referral to security must be made through Speak Up - Report an Incident (ndia.gov.au).
3.5.2 Homelessness
I acknowledge the participant is currently homeless/there is a risk of homelessness evident in your report, and this will need to be managed at your service delivery level. This may include contacting the participant, family or support coordinator to ensure appropriate supports are in place to ensure safe accommodation is explored/sourced.
3.5.3 Fraud Reporting – not a misuse of funding
Whilst there has been over utilisation of the plan’s budget, this was utilised to access additional supports for the participant, therefore not meeting the criteria of financial abuse.
3.5.4 Absconding
The participant has absconded at their own will and this incident was not a case of neglect or abuse on the behalf of a third party.
3.6 Participant Death
3.6.1 Accepted as PCI
PACE Subject line: Closed PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Closed PCI PACE Case ID <01XXXXXX - Jane Doe 431000000>
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on XX/XX/202X regarding <NAMEx 43xxxxxx>.
The Participant Incidents Team has reviewed your referral and determined that this is a PCI.
We are satisfied that the actions already undertaken and commitments made are appropriate following the incident. There is no further action for the Participant Incidents Team to address at this time. Please be advised we have lodged and closed the PCI.
Actions undertaken: • PACE status has been updated as deceased. • Deceased alert has been placed on file. • Xxxxx
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant • sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
3.6.2 Not Accepted as PCI
PACE Subject line: Withdrawn PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Withdrawn PCI PACE Case ID <01XXXXXX - Jane Doe 431000000>
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on XX/XX/202X regarding <NAMEx 43xxxxxx>.
The Participant Incidents Team has reviewed your referral and determined that this Participant death does not meet the criteria to be documented as a PCI.
This death of this Participant does not meet the criteria to be documented as a critical incident due to
There is no further action for the Participant Incidents Team to address at this time. Please be advised we have lodged and withdrawn the PCI.
Actions undertaken: • PACE status has been updated as deceased. • Deceased alert has been placed on file. • Xxxxx
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant • sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers
• All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
3.7 Tier 2, Revoked Participants, and Non Participants
3.7.1 Closed Case
PACE Subject line: Closed PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Closed PCI PACE Case ID <01XXXXXX - Jane Doe 431000000>
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on XX/XX/202X regarding <NAMEx 43xxxxxx>.
The Participant Incidents Team has reviewed your referral and determined that it is a PCI.
As a critical incident has occurred, we acknowledge there may be significant risks to be assessed to ensure the safety of the customer.
Customer’s risks are: (detail the risks) • xxxxx • xxxxx • Xxxxx
Actions undertaken: • Xxxxx • Xxxxx • Xxxxx
We are satisfied that the actions already undertaken and commitments made are providing the <Tier 2 Customer Name> with the necessary supports to ensure their welfare following the incident. There is no further action for the Participant Incidents Team to address at this time. Please be advised we have lodged and closed the PCI.
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant
• sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
3.8 Cases referred to the NDIS Quality and Safeguards Commission
3.8.1 Case referred to the Commission
PACE Subject line: Closed PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Closed PCI PACE Case ID <01XXXXXX - Jane Doe 431000000>
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on XX/XX/202X regarding <NAMEx 43xxxxxx>.
It is mandatory to refer all PCIs that are in connection with the provision of supports and services by registered NDIS providers to the NDIS Quality and Safeguards Commission (external). We have reported this to the relevant authorities on <XX/XX/2023>.
As a critical incident has occurred, the Participant Incidents Team acknowledge there may be significant risks to be assessed to ensure the safety of the participant.
A PCI is any information provided to the NDIA, NCC or its Partners in the Community that alleges:
• the unexplained death or death associated with NDIS services of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant • sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • unauthorised use of a restrictive practice in relation to an NDIS participant. • an NDIS participant threatening or attempting self-harm
Participant’s risks are:
Actions undertaken: • Xxxxx • Xxxxx • Xxxxx
We are satisfied that the actions already undertaken and commitments made are appropriate following the incident. There is no further action for the Participant Incidents Team to address at this time. Please be advised we have lodged and closed the PCI.
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
3.9 Duplicate PCI Closure
3.9.1 Duplicate PCI received
PACE Subject line: Duplicate PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Duplicate PCI PACE Case ID 01XXXXXX - Jane Doe 431000000
Dear
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Thank you for your report of a potential Participant Critical Incident (PCI) PACE Case ID <01XXXXXX> on <XX/XX/202X> regarding <NAMEx 43xxxxx>.
Please know that we did receive this report from <Referring Team Name (DO NOT use staff names)> on <XX/XX/202X> under PACE Case ID <01XXXXXX>.
We are satisfied that the actions already undertaken at initial receipt and commitments made are appropriate following the incident. There is no further action for the Participant Incidents Team to address at this time. Please be advised we have lodged and withdrawn/closed this PCI.
Actions undertaken:
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
4. RFA Email Templates
Manual RFA forms are only to be used when a business area does not have a queue in PACE for managing RFAs and Escalations. An email to alert a business area that an RFA has been placed in their queue is only required when that team has requested it and it’s an agreed process.
| Topic | Context |
|---|---|
| New RFA | On System RFA when a notification email has been requested Off System Manual RFA |
| Overdue RFA | On System Overdue RFA Off System Overdue RFA |
| Inadequate RFA Response | Inadequate Response Received Feedback provided to Partners/Service Delivery for Inadequate RFA response |
| RFA Closed by non PCI Staff | Closed by non PCI staff – adequate response Closed by non PCI staff – inadequate response |
4.1 New RFA
4.1.1 On System RFA when a notification email has been requested
Please Note: This email must only be sent when the Business Area has requested an email be sent, as recorded in the Complaints and PCI RFA Contact List available on the Intranet
Subject line:
Dear Team,
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
RFA case <01xxxxx> regarding <NAMEx 43xxxxxx> has assigned to the
Risk rating:
Due XX/XX/202X by XX:XX or COB.
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
4.1.2 Off System Manual RFA
Please Note: This must only be used when the Business Area does not have a queue in PACE for RFAs to be assigned to, as recorded in the Complaints and PCI RFA Contact List available on the Intranet.
Subject line:
Dear Team,
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Please see attached Request for Action (RFA) to assist us in actioning a Participant Critical Incident referral received on XX/XX/202X regarding <NAMEx 43xxxxx>.
Please note there is no Participant Critical Incident referral form attached as this incident was lodged in PACE.
Risk rating:
Due XX/XX/202X by XX:XX or COB.
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
4.2 Overdue RFA
4.2.1 On System Overdue RFA
Subject line: Overdue RFA -
Dear Team,
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
We understand that you are working through a high volume of work and appreciate the effort being put in with the resources available.
This is a reminder that RFA case <01xxxxx> regarding <NAMEx 43xxxxx> is now overdue.
Risk rating:
The Request for Action case was due xx/xx/202X.
Please provide a response within the RFA case by xx/xx/202X.
If an extension is required for this RFA, please respond to the email by NOON today xx/xx/202X.
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
4.2.2 Off System Overdue RFA
Subject line: Overdue RFA -
Dear Team,
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
We understand that you are working through a high volume of work and appreciate the effort being put in with the resources available.
This is a reminder that the Request for Action (RFA) regarding <NAMEx 43xxxxx> is now overdue.
Risk rating:
The attached Request for Action was due xx/xx/202X.
Please provide a response to redacted: s47E(d) - certain operations of agencies@ndis.gov.au by xx/xx/202X.
If an extension is required for this RFA, please respond to the email by NOON today xx/xx/202X.
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
4.3 Inadequate RFA Response
4.3.1 Inadequate Response Received
Please Note: internal note must be added to the PCI case as well as this email being sent. Internal Note template is found in the Internal Notes section, Inadequate Response Received.
Subject line: RFA case Additional Actions Required - New RFA case Number -
Dear Team
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
We have created a new RFA case to follow up the outstanding actions. RFA case
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
4.3.2 Feedback provided to Partners/Service Delivery for Inadequate RFA response
REMINDER: All RFA feedback emails must be Cleared your Team Leader – who will forward it to the Delegate’s TL
Subject line: RFA case Actions requested not completed - New RFA case Number -
Dear Team
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
My name is XXX and I am a Senior/Complaints Officer within the Participant Critical Incidents (PCI) Team. We have received some feedback from a PCI officer in relation to one of your staff members (enter staff members name & login ID) for a RFA they recently actioned.
PCI Case: RFA Case: Risk Level: Participant name/NDIS ID:
RFA ID **** for this participant was recently actioned but unfortunately, the RFA response has not addressed all actions requested by the PCI Team.
RFA ID **** requested actions were: • Xxx • Xxx • Xxx
The following requested actions were not completed: • Xxx • Xxx • Xxx
We have created a new RFA case to follow up the outstanding actions. RFA case
Please review and action accordingly. Should you require any further information, please do not hesitate to reach out to me.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
4.4 RFA Closed by non PCI Staff
4.4.1 Closed by non PCI staff – adequate response
Please Note: internal note must be added to the PCI case as well as this email being sent. Internal Note template is found in the Internal Notes section, Inadequate Response Received.
Subject line: RFA case incorrectly closed - <RFA case Number - Name NDIS Number> e.g. RFA case incorrectly closed - RFA case xxx - Jane Doe 431000000
Dear Team
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Please note that PCI RFA cases must only be closed by PCI staff. Once the staff member completing the RFA response clicks ‘Done’ within the Request for Action Response screen the RFA case will automatically route back to the PCI Team for action.
The PCI Team are satisfied with the RFA response however wanted to provide feedback and request that staff do not close PCI RFA cases.
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
4.4.2 Closed by non PCI staff – inadequate response
Please Note: internal note must be added to the PCI case as well as this email being sent. Internal Note template is found in the Internal Notes section, Inadequate Response Received.
Subject line: RFA case Additional Actions Required - <New RFA case Number - Name NDIS Number> e.g. RFA case Additional Actions Required - RFA case xxx - Jane Doe 431000000
Dear Team
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
We have created a new RFA case to follow up the outstanding actions. RFA case
Please note that PCI RFA cases must only be closed by PCI staff. Once the staff member completing the RFA response clicks ‘Done’ within the Request for Action Response screen the RFA case will automatically route back to the PCI Team for action.
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support: • Emergency services - 000 • Lifeline - 13 11 14 • Suicide Call Back Service - 1300 659 467 • EAP (APS employees) - 1300 360 364 • EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers • All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
5. Referral and Notification Email Templates
Below templates are to be used when referring information or incidents through to other business areas or external stakeholders.
| Topic | Context |
|---|---|
| Technical Advice and Practice Improvement Branch (TAPIB) | Unauthorised Restrictive Practice referral |
| NDIS Quality and Safeguards Commission Referrals | Unauthorised Restrictive Practice referral Incident Referral |
| Fraud | Fraud referral |
| Welfare Check | Welfare check instructions |
| NSW Ageing and Disability Commission | Referral to NSW Ageing and Disability Commission |
| Red Rated Incident Summary | Summary of Red Rated Incident |
| Media Referral | Media Referral |
| RFA Escalation | RFA Escalation |
| Absconding | Absconding/Missing Person referral |
| Assistance Template | SCO Assistance Request |
5.1 Technical Advice and Practice Improvement Branch (TAPIB)
5.1.1 Unauthorised Restrictive Practice referral
Email is sent to National Delivery for a response and Cc TAPIB for oversight. This is in case ND need to work with TAPIB around technical advice Please attach a copy of the PCI to the referral to provide context on the URP.
Subject line: Restrictive Practice PCI Case ID
e.g. Restrictive Practice PCI Case ID
Dear Team,
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
TAPIB - we have cc’d you in on this email as an FYI should National Delivery require further advice in relation to this participant.
On <XX/XX/202X> we received Participant Critical Incident case ID <01XXXXXX> relating to the unauthorised use of a Restrictive Practice in relation to
- Can you please confirm if there has been prior authorisation and/or if you require further advice from TAPIB to ensure there is a positive behaviour support plan in place, noting it is mandatory that advice was sought prior to plan approval where restrictive practice may be in use. Information about seeking TAPIB advice is available here: TAPIB - Requesting Advice
- Should you require further advice regarding this participant, please continue to use this email trail to allow the Participant Incident Team and TAPIB oversight of any progress.
It is mandatory to refer all PCIs that are in connection with the provision of supports and services by registered NDIS providers to the NDIS Quality and Safeguards Commission (external). We have reported this to the relevant authorities on <XX/XX/202X. (remove paragraph if not related to a provider)>
Further detail on Participant Critical Incidents can be found at: https://intranet.ndiastaff.ndia.gov.au/service-delivery/Pages/Participant-Critical-Incidents.aspx.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support:
- Emergency services - 000
- Lifeline - 13 11 14
- Suicide Call Back Service - 1300 659 467
- EAP (APS employees) - 1300 360 364
- EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers
- All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
5.2 NDIS Quality and Safeguards Commission Referrals
NQSC Form Template must be completed (no blank fields) and attached to the email along with the PCI form. Form can be located on the intranet NQSC PCI Reporting Form.docx.
5.2.1 Unauthorised Restrictive Practice referral
Please make sure PACE, TAPIB and ND have been consulted to make sure the Agency has not received any authorisation for the restrictive practice.
Subject line: NQSC URP -
Dear NDIS Commission,
Please refer to the below reportable incident information relating to provider, xx insert provider name xx, received by the NDIA Participant Critical Incidents Team on XX/XX/2024.
This is being referred under the Complaint Handling and Reportable Incidents Arrangement protocol as a notifiable restrictive practice.
Participant Name: NDIS Number: Provider Name: Provider NDIS Number:
Summary of Incident:
- Please include a summary of the incident. Do not copy and paste from the PCI.
Actions Taken by the NDIA:
- Describe what we have done in relation to this incident. If no specific actions have been taken by PCI, look in CRM notes for information showing what actions may have been taken by others/what we have asked for in an RFA etc
Actions Requested to be Undertaken by the Commission:
- No specific outcome requested – this is a notification of provider misconduct with potential to cause harm to the Participant.
Key Concerns:
- List any key concerns that you may have that may be useful to the Commission
We have consulted our Technical Advice and Practice Improvement Branch (TAPIB) and the NDIA National Delivery team and there is no record of authorisation for the attached restrictive practice.
This information has been disclosed in this instance in accordance with s60(2)(e) of the NDIS Act as it is believed to be necessary to prevent or lessen a serious threat to an individual’s life, health or safety.
5.2.2 Incident Referral
Use this template for both Registered and Unregistered Providers
Subject line: NQSC Incident - Name NDIS Number
Dear NDIS Commission,
Please refer to the below reportable incident information relating to provider, xx insert provider name xx, received by the NDIA Participant Critical Incidents Team on XX/XX/2024.
This is being referred under the Complaint Handling and Reportable Incidents Arrangement protocol as a notifiable incident.
Participant Name: NDIS Number: Provider Name: Provider NDIS Number:
Summary of Incident:
- Please include a summary of the incident. Do not copy and paste from the PCI.
Actions Taken by the NDIA:
- Describe what we have done in relation to this incident. If no specific actions have been taken by PCI, look in CRM notes for information showing what actions may have been taken by others/what we have asked for in an RFA etc
Actions Requested to be Undertaken by the Commission:
- No specific outcome requested – this is a notification of provider misconduct with potential to cause harm to the Participant.
Key Concerns:
- List any key concerns that you may have that may be useful to the Commission
This information has been disclosed in this instance in accordance with s60(2)(e) of the NDIS Act as it is believed to be necessary to prevent or lessen a serious threat to an individual’s life, health or safety.
Please contact redacted: s47E(d) - certain operations of agencies @ndis.gov.au if you require any further information about this notifiable participant critical incident.
5.3 Fraud
5.3.1 Fraud Referral
Please ensure you are logging a Fraud Report via the:
NDIS Fraud reporting form - NDIA Fraud Reporting Form | NDIS
Please note: If you need to send this to the Fraud Reporting Team – Please use the below template:
PACE Subject line: Fraud Report PCI PACE Case ID <01XXXXXX - Name NDIS Number> e.g. Fraud Report PCI PACE Case ID 01XXXXXX - Jane Doe 431000000
Dear Team,
Due to sensitivities and privacy requirements, please do not upload these documents into PACE.
Please find the below referral in relation to a Participant Critical Incident PACE Case ID <01XXXXXX>.
Participant:
Detail: <provide your own details relevant to the PCI - examples below>
- Explanation on how the funding has been used
- Who has been responsible for the expenditure of funding?
- Suspicious items used with funds that may not be R&N
- Has contact been attempted with the participant or their plan nominee?
- Has this occurred in previous plans?
- Any other concerns you may have
PLEASE NOTE; a referral to the NDIS Quality and Safeguards Commission is required if the concerns are substantiated in relation to misconduct involving a Provider.
If you and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance.
We acknowledge a lot of PCI content can be triggering, please ensure you seek support following the receipt of an incident report. Further information re support can be found here: My Wellbeing
If you or someone in your workplace is in crisis and immediate action is needed, contact the following for support:
- Emergency services - 000
- Lifeline - 13 11 14
- Suicide Call Back Service - 1300 659 467
- EAP (APS employees) - 1300 360 364
- EAP (Labour Hire Workers) - EAP providers for Labour Hire Workers
- All Work Health and Safety incidents, hazards and near misses must be reported through Speak Up.
5.4 Welfare Check
If an urgent welfare check is required, please make contact with your Team Leader / Assistant Director for the next appropriate steps.
5.5 NSW Ageing and Disability Commission
An email should be sent to NSW Ageing and Disability Commission to advise of information that may indicate an investigation is required into the circumstances for the person named in the PCI. Contact details are in the PCI Contact List. Please seek clearance from EL1 prior to completing a referral.
5.5.1 Referral to NSW Ageing and Disability Commission
Subject Line: NSW Ageing and Disability referral from the NDIA -
Dear ADC Investigations Team,
Sharing of information regarding Mr/s
On
Pursuant to section 60(2)(e) of the National Disability Insurance Scheme Act 2013 (NDIS Act) and in line with the MOU between our agencies, I write to provide information to the NSW Ageing and Disability Commission and to seek advice to inform our assessment of the matter.
Summary: <enter brief background details of participant (name, age, disability and living circs), concerns identified including who reported if consent has been provided and what we have done to date about the issues raised (ie. plan review, engagement with relevant authority>
Information for your investigation:
- Participant details
| Participant contact information |
|---|
| Capacity to be involved: |
| Address: |
| Phone: |
| Email: |
| Communication preference/requirements: |
- NDIS Plan Nominee.
| Name: |
|---|
| Phone: |
| Email: |
| Communication preference/requirements |
- Providers currently or recently involved with <Mr/s Xxxx> and the nature of their supports.
| Provider |
|---|
| Organisation: |
| Contact person: |
| Phone: |
| Email: |
- Contact details of any medical professionals <Mr/s Xxxx> may be known to.
| Provider |
|---|
| Organisation: |
| Contact person: |
| Phone: |
| Email: |
- Actions taken or planned by the NDIA relevant to this referral. < Response text. >
We would appreciate an update in 10 business days about the steps planned or taken in relation to this matter.
I hope my response assists with your investigation. Should you have any further questions please contact me via redacted: s47E(d) - certain operations of agencies @ndis.gov.au.
Kind regards
5.6 Red Rated Incident Summary
In order to mitigate risk to Participants, all PCIs are assessed against a Risk and Escalation Matrix.
There are certain criteria that determine if a PCI is a Red Rated Incident (RRI), and reports must be made to the Chief Risk Officer in relation to these incidents. Team Leaders will assist/support PCI Officers who have been assigned a Red Rated Incident.
5.6.1 Initial Summary of Red Rated Incident
Please use the link below for current Red Rated Template to be completed and sent to TL who will send on to EL1
Subject line: Red Rated Summary -
Red-rated incident escalation template
5.7 Media Referral
REMINDER! Ensure you cc your Team Leader for oversight
Subject line: Media Referral PCI PACE Case ID 01XXXXXX - Name NDIS Number e.g. Media Referral PCI PACE Case ID 01XXXXXX - Jane Doe 431000000
Dear Media,
TRIGGER WARNING - Please note this referral includes an incident involving XXXXXXX (Remove if not applicable)
We are flagging this participant’s situation as a FYI. Please review reportable incident below relating to xx insert participant name and NDIS no xx, received by the NDIA Participant Critical Incidents Team on XX/XX/2024.
Participant: Age: NDIS Number: Streaming: Primary Disability:
Summary of Incident:
- Please summarise PCI.
Actions taken by the NDIA:
- Please summarise actions taken to mitigate risk.
Media concerns:
- Please summarise specific media concerns/reason for referral.
Please reach out to redacted: s47E(d) - certain operations of agencies @ndis.gov.au if further information is required regarding this matter.
5.8 Escalation of RFA
REMINDER: All Escalation RFA/follow up email MUST Be Cleared by a Team Leader – who will forward to EL1
Escalation RFA request is for genuine High/Extreme Risk RFAs, not because a RFA is overdue.
Subject line:
Escalation Request: PCI: Name NDIS Number e.g. Escalation Request: PCI: Jane Doe 431000000
Dear XX
I am writing to request escalation of an RFA issued by the Participant Critical Incident Team for Ms/Mr xxxxxx xxxxxx.
This escalation request is in line with the Complaints and Feedback Risk Escalation Matrix and I have deemed the risk to be rated as High/Extreme.
Reason for Escalation: insert a couple of dot points as to why this is considered high risk or extreme risk.
- xxxx
- xxxx
Details of the RFA are below:
Name: NDIS Number: PACE Number: RFA Case Number: Date RFA Sent: Date RFA Due: RFA Currently Assigned to:
- Have you checked CRM/PACE for any updates (the RFA may be actioned but we haven’t been advised):
Please include Snip of RFA Summary
Please include Snip of Actions required for RFA (Any other information to be included where needed)
Please note, as per the RFA Contact list the escalation points for this RFA are listed below: Please include a Snip from Contact List to be included.
5.9 Absconding/Missing person
REMINDER: To be sent directly to EL1
Incident Summary
Participant: NDIS Number:
Overview
- Please summarise PCI
Other information
- Insert any other relevant information
Provider Details (SC details if available)
Property Address and Type (SIL, SDA etc)
5.10 SCO Assistance Template
Template to be used when Complaints Officer requires technical support regarding how to action a PCI.
| PCI ID | 12345678 |
|---|---|
| PCI Category | Abuse or Neglect |
| Brief Description of Case | Example of information Required: Participant has got into a yelling match with his mother and provider as he was upset that he wasn’t allowed to use his ipad, he had initially absconded however was found down the street and driven home |
| Investigation/ what resources (SOPs/KAs/intranet, etc) have you reviewed? | Example of information Required: Researched PACE file and enquiry cases (12345678) and (87654321) |
| What actions do you think should be taken? | Example of information Required: I think an RFA should be logged to find out if this is a restrictive practice having his ipad removed or have his time with the device restricted and did his mother/provider abuse or yell at him? |
| Would you like a call or message? | Call please |
| Urgency (immediate, within the hour, non urgent) | Urgent |
6. Feedback
If you have any feedback about this Standard Operating Procedure, please email Participant Critical Incident Team. In your email remember to include the title of the product you are referring to and describe your suggestion or issue concisely.
7. Version control
| Version | Amended by | Brief Description of Change | Status | Date |
|---|---|---|---|---|
| 0.1 | TEMS907 | Initial Version | DRAFT | 2024-09-11 |
| 1.0 | BJ0011 | Initial version approved – EL1 PCI Team | APPROVED | 2024-09-11 |
| 1.1 | TEM907 BJ0011 |
Updates to templates as requested by BJ0011 EL1 PCI Team | APPROVED BJ0011 |
2024-09-25 |
| 1.2 | TEM907 BJ0011 |
Minor formatting changes as requested by BJ0011 EL1 PCI Team | APPROVED BJ0011 |
2024-10-10 |
| 1.3 | TEM907 BJ0011 |
Addition of reminder to cc in Partner Performance in section 3.7 as requested by SCO RGG336 | APPROVED BJ0011 |
2024-10-15 |
| 1.4 | TEM907 | Minor updates removing reference to RFA tracker as requested by APS6 TL JIROO3 BJ0011 Approved by BJ0011 EL1 PCI Team |
APPROVED | 2024-12-11 |
| 1.5 | TEM907 | Minor updates to add links to NQSC reporting form and enquiry work instructions Approved by BJ0011 EL1 PCI Team |
APPROVED BJ0011 |
2025-01-28 |
| 1.6 | TEM907 | Addition of new templates to align with inclusion of Tier 2 incidents Approved by BJ0011 EL1 PCI Team |
APPROVED BJ0011 |
2025-02-18 |
| 1.7 | TEM907 | Addition of new template for inadequate RFA response. Removal of Welfare Check email template. Approved by BJ0011 EL1 PCI Team |
APPROVED BJ0011 |
2025-03-20 |
| 1.8 | TEM907 | Addition of new instructions for the Case Triage and Case Resolution tabs. Rename of the template for Tier 2, Revoked, and Non-Participants. Approved by BJ0011 EL1 PCI Team |
APPROVED BJ0011 |
2025-04-04 |
| Version | Amended by | Brief Description of Change | Status | Date |
|---|---|---|---|---|
| 1.9 | TEM907 | Clean up of document formatting and accessibility checks. As requested by EL1 JG0030 PCI Team |
APPROVED JG0030 |
2025-04-10 |
| 1.10 | TEM907 | Added new template for SCO assistance request. Approved by BJ0011 EL1 PCI Team | APPROVED BJ0011 |
2025-04-30 |