FOI 24/25-1367 - DISCLOSURE LOG
DOCUMENT 18
Participant Critical Incidents (PCI) for Service Officers KA
Feb 21, 2025 02:52
General
- What is a Participant Critical Incident (PCI)?
- NCC roles and responsibilities
- Handling a PCI call
- Tier 2 customer
- Assessing PCI enquiries
- Handling anonymous or non-participant PCI enquiries
- Participant Critical Incident examples
- National incident referral points
- Further information
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Procedure
- How to manage PCI enquiries in PACE
- Person reports a PCI and then retracts it
- Call content implies a PCI but the caller does not report it
- Person reports a PCI that involves a provider
- Scripting examples
- Checking on the safety of the caller
- Providing the caller with lifeline or other crisis support services
- Enquiry note template
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To be used by NCC.
This article assists Service Officers to identify and appropriately respond to participant critical incidents (PCI).
Fraud Reporting and Scams Helpline NCC Service Officers from the Fraud Reporting and Scams Helpline must follow the Participant Critical Incidents (PCI) for Team Leader KA when a PCI has occurred on a call where a tipoff is being reported. A PCI should be raised in addition to completing the NDIA Fraud Reporting and Scams Helpline Form if risk or harm to the participant has been identified.
To report a tip off refer to the Fraud Reporting and Scams Helpline Phone Enquiry KA.
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What is a Participant Critical Incident (PCI)?
A Participant Critical Incident (PCI) is a situation where a participant has attempted self harm or experienced serious harm, such as abuse, neglect, exploitation, injury, or unauthorised restrictive practice. The NDIA is committed to protecting the rights and safety of people with a disability and responding to PCIs promptly and appropriately.
NDIA staff, including partners and the National Contact Centre (NCC), may encounter circumstances or obtain information about allegations of serious harm occurring to a participant (or Tier 2 customer) which is a PCI. This can happen while working with potential participants, participants, families, and carers.
The NCC Service Officer must report any allegations or indications of PCIs to an NCC Team Leader immediately and comply with the NDIS Act and the Privacy Act regarding the use and disclosure of protected Agency information, personal information, and sensitive information.
The following are some examples of what would be considered a PCI and must be actioned by the NCC:
- unexplained death of a participant connected with NDIS supports or services
- serious injury of a participant
- abuse or neglect of a participant
- unlawful sexual or physical contact with, or assault of, a participant
- sexual misconduct committed against, or in the presence of, the participant, including grooming for sexual activity
- unauthorised restrictive practice
- threat or attempt of self-harm or suicide.
- A PCI allegation may involve any stakeholder including NDIS providers, NDIA staff, informal supports, family or other person/s.
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Incidents that are not Participant Critical Incidents (PCI)
Not all priority enquiries are PCIs. It is important that NCC Service Officers correctly identify a PCI. If the incident does not qualify, follow the Priority Enquiry KA process. Incidents that are not PCIs include:
- Security incidents.
- Incidents where the participant is the perpetrator of an incident.
- Incidents which occurred to a person who is not a participant or Tier 2 Customer.
- Enquiries relating to a potential risk to the participant, but no incident has occurred.
NCC roles and responsibilities
NCC Service Officers need to advise the caller that wellbeing and safety is important to the NDIA, any mention of self-harm or reports of immediate danger are taken seriously.
- Identify possible risk to the person or other person.
- Alert a NCC Team leader immediately to drop into the call remotely.
- Respond to the caller by displaying empathy and respect.
- Collect as much information as possible from the caller. See Gathering Information.
- Log activity in PACE. Refer to How to log activity for PCI
- Report what occurred on the call to an NCC Team Leader, provide as much information as possible. NCC Team Leaders are responsible for taking over the call where a PCI is identified.
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- Debrief about the call with a NCC Team Leader and take the time to discuss.
NCC Team leaders are responsible for taking over the call, collating the details provided to them by the NCC Service Officer and submitting a PCI case in PACE.
Handling a PCI call
When the caller is reporting a PCI, it can be a difficult call to handle.
NCC Service Officers must always take the threat seriously and do not aggravate the situation by responding in an authoritative way or by appearing unsympathetic.
When dealing with reports of PCIs, self-harm or abuse it is important that NCC Service Officers use positive and sensitive language, carefully listen and respond appropriately. This is particularly important when there is a caller who is discussing harming themselves or advises that they intend to follow through with their threat of harming themselves. For further guidance, refer to Archived Handling Challenging Calls NCC KA.
Do not inform the reporter that the PCI team may contact them.
- Remain calm and speak in a calm tone. This may help the participant/caller gain perspective on the situation.
- Remind the participant/caller that they are being listened to.
- Clarify and confirm what has been said to ensure you understand and can alert a NCC Team Leader immediately.
- Allow the caller time to explain the situation. This information will help a NCC Team Leader make the right decision on what action is necessary to ensure the safety of the participant/caller.
- Use gentle, positive and sensitive language. This will help the caller to feel heard and to reduce emotional triggers for the caller.
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- Avoid using the word threat in conversation. The word threat is an emotive word and may trigger a further escalation in the caller’s response.
Tier 2 customer
What is a Tier 2 Customer?
A Tier 2 customer is a person with a disability who is engaged with a Partner Organisation. They primarily receive support through information sharing, referral services, or access pathway support.
Critical Incidents for Tier 2 Customers will now be recorded in PACE the same way we record Participant Critical Incidents (PCIs) for participants. For more information, refer to the Participant Critical Incidents intranet page.
Managing Tier 2 PCIs in PACE
As an NCC service officer, if you receive information relating to a critical incident where a Tier 2 Customer is the subject or the victim, you must:
- follow the process outlined in the How to manage PCI enquiries in PACE section below.
- If someone reports a PCI who does not already have a person account in PACE or is not in the access pathways:
- You will not complete the PCI or Create a person record in PACE.
- Follow the process outlined in the Handling anonymous or non-participant PCI enquiries section below.
- Do not inform the reporter that the PCI team may contact them.
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How to Check if an Individual is a Tier 2 Customer:
A person is a Tier 2 customer if they:
- have a PACE record, and
- have the Tier role Person with Disability in PACE, and
- do not have an access decision on record.
NOTE: A person with Access Not Met decision is not considered a Tier 2 customer.
Assessing PCI enquiries
IMPORTANT
- If the call involves a participant critical incident, address it first by following the participant critical incident process.
- If the call also involves a priority enquiry, address it next by following the priority enquiry process, refer to Priority Enquiry KA for more information.
- For non-emergency police support available for matters that are not an emergency or life threatening, you can provide 131 444 or the National Disability Abuse and Neglect Hotline 1800 880 052.
When the incident is outside the categories of a PCI
- For incidents that do not fit into any of the categories for a PCI, refer to the Priority Enquiry KA for more information on how to handle the incident.
- However, if the participant is currently in danger, at risk of being in danger, or has been in danger, treat the incident as a critical incident, even if it doesn’t meet the PCI criteria. Follow the steps in the Handling anonymous or non-participant PCI enquiries section below.
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Past or serious non-emergency incidents
- If the incident has already occurred, is not an emergency and the allegation is serious (relates to a potential criminal offence/s, threat to life, health or safety):
- Notify the NCC Team Leader who will refer the matter to the non-emergency Police Support Line, by calling 131 444.
- Where there is a past non-emergency that may be a priority enquiry, refer to the Priority Enquiry KA.
When the incident includes a complaint
- It is important to know that there could be more than one type of incident within a call, and it may also include a complaint.
- Understanding the differences as quickly as possible will allow the most efficient and effective response to an incident for the participant.
- To understand the different incidents and complaints please read through this article as well as the Priority Enquiry KA and Feedback and Complaints Knowledge Article.
Handling anonymous or non-participant PCI enquiries
Just as with a participant incident, if a notifier or any other person is at risk of immediate harm or danger, advise them to call 000 for immediate assistance. You must also take any other necessary actions to safeguard the person.
If a caller prefers to remain anonymous, does not want to provide any contact details, or does not have a person account in PACE, follow these steps:
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- Advise the caller to call 000 immediately if they are in an emergency situation or need urgent assistance.
- Ask the caller to report the incident to the police or relevant authority. Refer to the National incident referral points section of this KA for the list of authorities.
- For police support for matters that are not an emergency or life threatening, you can provide the non-emergency number, 131 444.
- If the caller doesn’t want to report the incident themselves, ask for consent to report the incident on their behalf.
- If you don’t receive consent, you can still report the incident if you believe there are reasonable grounds that the disclosure of the information is necessary to prevent or lessen a serious threat to an individual’s life, health or safety.
- Create a general enquiry case in PACE and refer to Enquiry Cases and Log Activity in PACE KA.
- Do not include any sensitive or triggering information or any details about the PCI.
- Close the enquiry after completing the required steps.
- Notify your team leader and provide the enquiry case number.
Gathering information
It is important that NCC Service Officers gather sufficient information before reporting the PCI to a Team Leader. This ensures that both NCC Team Leaders and the PCI team have sufficient information to understand the incident and respond accordingly.
- Does the reporter wish to remain anonymous? If no, record the name, relationship and contact details of the reporter.
- Is the allegation in relation to a provision of services and supports? This includes supports and services provided by NDIA staff and partners.
- Incident details, including what occurred, the date of the incident and the location of the incident.
- Is the participant currently safe/safe in their accommodation?
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NCC Service Officers should relay as much of the above information as they can to the Team Leader as a part of the takeover process.
Participant Critical Incident examples
| Incident category | Example (not exhaustive) |
|---|---|
| Reports, observations or allegations of acts, such as: * A family member/carer/support person denying food as punishment to a participant. * Allegation of a participant being subject to use of offensive, abusive, or demeaning language by a support person. * A family member/carer/support person threatening harm to a participant. * A participant being financially exploited. * Financial abuse is the improper or illegal use of: * Money (including NDIS funds where they are managed by the individual person with disability). * Property. * Resources or assets of a person with disability. * Including improperly withholding finances from that person, and coercing or misleading the person with disability as to how the funds or property will be used. * Abandonment of a participant. |
|
| This refers to a specific event and does not include progressively escalating behaviours of concern, for example: * A participant threatening self-harm, even if retracted. * A participant has self-harmed or attempted suicide. NOTE: There are situations where a participant harms themselves but it is not a PCI for example |
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| Incident category | Example (not exhaustive) |
|---|---|
| A participant is experiencing a symptom of their disability such as involuntarily hitting themselves, unless this behaviour results in hospitalisation or serious injury this will not be considered a PCI. * Participant’s making what is perceived as poor life decisions such as refusing medical treatment or illegal drug use. |
|
| A report of: * An act which has caused injury to a participant such as a fracture, contusion, wound, burn or concussion. * A participant being physically assaulted by a carer, support person, family member or member of the community which causes serious harm or injury. * A serious injury of a participant whilst receiving NDIS supports. |
|
| * A report of rape or sexual assault of a participant. * Observation of sexual conduct in the presence of a participant. * Report a person having established a relationship with a participant, with the intent of facilitating the participant’s involvement in sexual conduct, either with themselves or another adult. NOTE: This does not necessarily involve any sexual activity or even discussion of sexual activity and may only involve establishing a relationship for the purpose of facilitating sexual activity at a later time. |
|
| Examples of restrictive practices that could be a PCI: * The participant has been locked in a room, unable to be let out. * The participant is given additional medication above recommended dose to sedate them. * The participant is physically restrained against their will. NOTE: Some restrictive practices can be used by approved persons but are subject to regulation. Participants with Positive Behavioural Support Plans may have approved restrictive practices. In these situations only Unauthorised Restrictive Practices (URP) would be considered a PCI. |
|
| Observation of inappropriate physical contact between a carer/a support person and person with disability. * Report of sexual assault of a participant. * Report of a participant being physically assaulted by a carer/support person/family member/member of the community. |
|
| If there is an unexplained death of a participant a PCI case will need to be created. Examples of unexplained deaths include: * A participant passes away unexpectedly and the cause is unexplained. |
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| Incident category | Example (not exhaustive) |
|---|---|
| * Death in connection with the provision of NDIS supports and services. These support and services could have been provided by providers or NDIA staff and partners. * Death where it is alleged the NDIA may be to blame due to insufficient funding, delays in plan reassessment, decisions to decline specific supports etc. NOTE: Not all deaths are considered a PCI. Examples of a death that is not a PCI includes a participant who has passed away due to natural causes, or death due to terminal illness. |
Info If the participant has died, refer to the Notification Applicant or Participant has Died Email Enquiry KA for guidance.
National incident referral points
This table identifies a range of emergency and non-emergency contacts. NCC may need to notify other authorities of an incident depending on the circumstances of the allegations and/or the person making the report and the local quality and safeguarding arrangements.
If NCC are unsure, seek guidance and support from a NCC Team Leader.
Key contact points
| Contact | Role | Contact details |
|---|---|---|
| Reporting child abuse and neglect | * Report allegations of abuse or neglect to the State or Territory reporting authority. | Further information for service providers and practitioners working in the child, family and community welfare sector on how to report suspected child abuse and neglect are on the Australian Institute of Family Studies website. |
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| Contact | Role | Contact details |
|---|---|---|
| * The Department of Health and local Police are required to be notified of all allegations of: * Unlawful sexual contact. * Unreasonable use of force. * An assault that constitutes an offence against a law of the Commonwealth or a State or Territory, that is inflicted on a person receiving residential aged care. |
Website: Australian Government Department of Health and Aged Care Email: enquiries@health.gov.au Phone number: 1800 020 103 National Relay Service phone: 1300 555 727 |
|
| The National Disability Abuse and Neglect Hotline is an independent and confidential service for reporting mistreatment of people with a disability. | * The National Disability Abuse and Neglect Hotline is an independent and confidential service for reporting mistreatment of people with a disability. | Website: [National Disability Abuse and Neglect Hotline |
| NDIA and partner staff should not make direct referrals to the NDIS Quality and Safeguards Commission. | * NDIA and partner staff should not make direct referrals to the NDIS Quality and Safeguards Commission. * The Commission will investigate incidents from anyone about: * NDIS services or supports that were not provided in a safe and respectful way or not delivered to an appropriate standard. * How a NDIS provider managed a complaint about services or supports provided to an NDIS participant. |
Website: [Homepage |
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Procedure
To complete the PACE Steps:
- Navigate to the relevant account for historical information and activities to assist with the enquiry.
- Follow the PACE steps below to complete the enquiry.
- If further guidance is required to resolve the enquiry, refer to the relevant NCC guidance resources.
How to manage PCI enquiries in PACE
NCC Team leaders are responsible collating the details provided to them by the NCC Service Officer and creating a PCI case in PACE.
PCI enquiries are requests for assistance or information from people who are experiencing or have witnessed a PCI.
NCC Service officers need to complete the following steps when handling a PCI enquiry:
- Listen to the caller and acknowledge their situation.
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- Provide the caller with relevant resources or referrals, such as emergency services, crisis support, or counselling.
- Create enquiry case and document the key information, making sure to exclude any PCI-related details.
- Notify Team Leader of PCI.
- It is important to note that PCI team does not contact the participant. Therefore, avoid providing such advice to the person on the call.
- Create an activity log that they have advised the TL of a PCI
- provide the key information about the call, making sure to exclude any PCI-related details.
- include Participant number
- document any related enquiry case details.
- The Team Leader will complete the PCI case and include the PCI-related details.
How to log activity for PCI
- If the PCI relates to a case, log activity on the related case using the Enquiry note template below.
- If no related case exists, log activity on account.
- Do not create a new case for a PCI
- Document key information about the call only, do not include any information from the PCI
- For guidance on how to use Log Activity, refer to the Enquiry Cases and Log Activity in PACE KA.
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Person reports a PCI and then retracts it
A PCI will need to be created for the PCI team to determine if the incident is valid or not.
If a participant retracts a report of self-harm or a threat, a PCI should still always be submitted. The PCI Team will investigate to determine if it is valid.
- Listen to the caller and acknowledge their situation.
- Advise the caller that wellbeing and safety is important to the NDIA, so any mention of self-harm or reports of immediate danger is taken seriously.
- If you suspect that there was a PCI, but the caller is afraid or reluctant to admit it, try to reassure them that you are there to help and that their information will be treated confidentially.
- Provide the caller with relevant resources or referrals, such as emergency services, crisis support, or counselling. Refer to External Referral Points for Enquiries QRG.
- Log activity for the enquiry and document key information only, do not include any information about the PCI.
- Provide information about the call to the NCC Team Leader and also include:
- Participants number.
- Enquiry case number.
Call content implies a PCI but the caller does not report it
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It can be difficult for a participant to directly tell an NCC Service Officer that an incident has occurred. However, the participant may give hints throughout the call. In other circumstances, the caller may disclose directly that an incident has occurred and needs to be reported.
If no incident is occurring or has occurred this is not a PCI, continue to resolve the enquiry following the applicable process.
If NCC Service Officers suspects that an incident has occurred, the NCC Service Officer should:
- Gently ask the caller if they are ok or have been harmed.
- Advise the caller that the NDIA takes the wellbeing and safety of callers seriously and NCC wants to ensure that the participant/caller is safe and not at risk of harm.
- Gather information to identify if the caller is experiencing or has witnessed a critical incident.
- If the caller confirms that an incident is occurring or has occurred:
- Alert a NCC Team Leader immediately who will remotely drop into the call.
- Proceed to follow the How to manage PCI enquiries in PACE process above.
Person reports a PCI that involves a provider
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The NDIS Code of Conduct applies to all NDIS providers, registered and unregistered, and all persons employed or otherwise engaged by a NDIS provider. Any person can raise a complaint with the NDIS Quality and Safeguards Commission about providers or workers who are believed to have breached the NDIS Code of Conduct.
When the incident reported alleges that the provider is causing harm:
- Confirm with the caller details of the provider.
- The location of the provider, where does the provider provide services from.
- Refer the participant/caller to the NDIS Quality and Safeguards Commission website to submit the concern and report the incident.
- For further information on how to notify the NDIS Commission about participant incidents refer to How to notify the NDIS Commission about a reportable incident on the NDIS Commission website.
- If the caller is unable to report the incident to the commission themselves, assist the caller by warm transferring the call to the commission on 1800 035 544 between 9:00am to 5:00pm weekdays (excluding public holidays) for all States except Northern Territory where the commission is available 9:00am to 4:30pm weekdays (excluding public holidays).
- Reports of providers causing harm are considered a PCI and required action as noted above. Additionally, the incident of a provider causing the harm will need to be reported to the NDIS Quality and Safeguards Commission via a NCC Team Leader.
- Log activity in PACE and document key information only, do not include any information about the PCI.
- Provide the key information about the call to the team leader and also include:
- Participants number.
- Any related enquiry case number.
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Scripting examples
If a caller states that they are going to self-harm or makes a threat to site or staff during your call, always follow the priority process for the type of incident.
Suggested scripting
Transferring the call to your NCC Team Leader
Your safety is our priority, and we want to make sure you have the support that you need. My Team Leader can talk you through what we can do to help.
I want to make sure you are okay; I am going to connect you with my Team Leader who can listen and provide you with the support you need.
I want to make sure that you are okay, so I am going to have my Team Leader talk with you to see how we can help you.
Checking on the safety of the caller
Are you at home? Is there anyone with you at the moment?
Is there anyone with you that you can speak to?
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Providing the caller with lifeline or other crisis support services
It can be very difficult to know what to do and how to cope, but help is available. I have some phone numbers of people who can help, can I give them to you?
Further information
Please refer to:
- Participant Critical Incidents (PCI) for Team Leader KA.
- Fraud Reporting and Scams Helpline Phone Enquiry KA.
- Priority Enquiry KA.
- Feedback and Complaints KA.
- NDIS Quality and Safeguards Commission website.
- How to notify the NDIS Commission about a reportable incident on the NDIS Commission website.
- Notification Applicant or Participant has Died Email Enquiry KA.
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Enquiry note template
REMINDER: Any sensitive/triggering information about the incident not to be included in the enquiry note.
Critical Incident Reported
Description: Incident reported
Date of enquiry: <DD/MM/YYYY>
Person making enquiry: <Include name and relationship to Participant (if not Participant)>
Details of the enquiry: Details are not to be recorded in PACE.
Call taken over by NCC Team Leader — Yes/No
Contact number: <include phone number of participant / person that reported incident>
Action taken:
Name:
Log on ID:
Service Officer
National Contact Centre
Document owner and approver
Director, Support and Communications, Contact Centre Branch.
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Feedback
If you have any feedback about this procedure, please refer to your NCC Team Leader.
- NCC Service Officers (NCC SOs) please send your feedback to your NCC Team Leader. Your Team Leader may have an answer to your question or have information to share with you to resolve your questions and feedback.
- NCC Team Leaders (NCC TLs) please review the feedback from NCC SOs and provide advice, information and resolve questions where possible. NCC TLs can request new or updated NCC Guidance Resources and assistance using the relevant form on the National Contact Centre Service Desk on the intranet.
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