NDIA Accountability Project

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Identify and escalate risks in a plan change request

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Document 15

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The contents of this document are OFFICIAL.

Identify and escalate risks in a plan change request

Guidance in this document is not approved for use unless you view it in PACE.

This article provides guidance for a local area coordinator, early childhood partner, planner delegate, review officer, complaints officer, participant support officer, access delegate, National Contact Centre, liaison officers (HLO/JLO) to:

  • complete the risk matrix in a plan change request
  • escalate the plan change case.

Recent updates

22 April 2024

  • name changed from Complete the risk matrix in a plan change request to Identify and escalate risks in a plan change request
  • new section added to escalate a plan change case when a risk has been identified
  • new guidance on which escalation queue you need to use
  • removed Next Steps as this article is a standalone process.

Before you start

You have:

Complete the risk matrix in a plan change request

You’ll need to complete the risk matrix for all plan change requests. When you discuss the plan change request, you should check for any risks associated with the request which could impact the participant, their nominee, or the Agency.

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  1. In a Plan Change case, select the Request tab.
  2. Navigate to the question Has there been any risks identified that may impact the participant, nominee or the NDIS associated with this complaint?
  3. Select Yes.
  4. Select the risks that most closely matches the risk you’ve identified.
  5. Select Yes for each risk you identify, select No for the risks that aren’t applicable.
  6. Select LOW, MEDIUM, HIGH or EXTREME for each of the risks you select. Select the level that most closely matches the risk you’ve identified.
  7. Once you have completed the form, click Next.

Depending on the risks you’ve selected, PACE may prompt you to add further information about the identified risk.

If there is an emergency situation:

Select date (calendar) for When did the emergency situation first happen?. If the date of the emergency situation is unknown, use the date the emergency was reported to us.

  1. Add details in the Describe the emergency situation free text field. For example, who is at risk, how you found out about the situation and if any actions have been taken such as a welfare check.
  2. Record details that support the request in the free text field.
  3. Select Next.
  4. Add any supporting documents if required using the Documents tab.
    To learn more about adding documents, go to article Add documents to a case.
  5. Check document is linked as evidence to the case in the Evidence tab. Go to article [Add and link evidence to a case](Add%20and%20link%20evidence%20to%20a%20case).
  6. Return to Request tab.
  7. Select Next.

To learn more about risks, go to articles How to identify and report a critical incident and Create a participant critical incident case.

Escalate a plan change case

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If you’ve identified a risk, you’ll need to escalate the plan change case. This is done in an enquiries case.

  1. From the Person Account, select the Cases tab.
  2. Under Open Cases, select New.
  3. Select Enquiry.
  4. Select Next.
  5. At the New Case: Enquiry screen, enter the Parent Case number. This is the case number of the plan change case where you’ve identified the risk.
    Note: When you enter the plan change case number, it will create a link between the two cases.
  6. Select Priority from the Type drop-down list.
  7. Select Supports or High Risk in the Category drop-down list.
  8. Select the appropriate option in the Sub Category drop-down list.
  9. Select Save.

Create the enquiry request

  1. In the Enquiry case, select the Enquiry tab.
  2. Select an option at the Requested by drop-down list.
  3. Select an option at the Case Origin drop-down list.
  4. Select Next.

Enquiry Details

  1. Select New Enquiry.
  2. Review the Parent Case number to make sure it’s the associated plan change case number.
  3. Review the Enquiry Type, Category and Sub Category to make sure they’re the same as when the case was created.

Duplicate Check

This screen will only appear if there’s another open enquiry case on the person account that has similar categorisation. You might need to review the Existing Case Number link to make sure you’re not duplicating an escalation that already exists.

Risk Matrix

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You’ll need to record the same risk you identified in the plan change case.

  1. Select Yes.
  2. Select the risks that you identified in the plan change case.
  3. Select Yes for each risk you identify, select No for the risks that aren’t applicable.
  4. Select LOW, MEDIUM, HIGH or EXTREME for each of the risks you select. Select the level that most closely matches the risk you’ve identified.
  5. Once you’ve completed the form, click Next.

Notes and Next Steps

  1. Enter a short description of why you’re escalating the enquiry case in the free text field.
  2. Select Re-assign this enquiry to another user.
  3. Select Escalation in the Case Re-assignment Reason drop-down list.
  4. Select Queue in the Select User or Queue drop-down list.
  5. Select the correct queue to assign the case from the below list:

Specialised planning streams

  • Participants streamed complex – CSN escalations routing queue
  • Participants with a Justice Liaison Officer alert – CSN Escalations routing queue
  • Participants with a Hospital Liaison Officer alert – HIB Escalations routing queue
  • Participants streamed YPIRAC (Young people in residential aged care) – Aged Care Escalations routing queue
  • Early childhood participants under 9 years of age – EC Escalations routing queue.

Core planning streams

  • Core Planning Vic Escalations queue
  • Core Planning SA Escalations queue
  • Core Planning NSW/ACT Escalations queue
  • Core Planning WA Escalations queue
  • Core Planning QLD Escalations queue
  • Core Planning Tas Escalations queue
  • Core Planning NT Escalations queue
  • Remote Escalations Routing queue.

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  1. Select Next.

Review and Submit

  1. Review the information in the enquiry case. Select Submit.
  2. The enquiry request has been submitted and the case has been routed to the queue you selected.

Article labels – internal use only

PACE user role names

Add: dc_users_complaintsofficer
Delete:
User role name label

Topics

Add:
Topic label
Delete:
Topic label

Case names

Add:
Case name label
Delete:
Case name label

Ownership

Add:
Ownership label
Delete:
Ownership label

Version control

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Knowledge Article

For Internal Use Only

Version Amended by Brief Description of Change Status Date
4.1 DCM308 New draft to include escalations content based on partners and service delivery BiL feedback DRAFT 2024-03-26
4.2 SGH107 Peer Review DRAFT 2024-03-26
4.3 DCM308 Action peer review feedback DRAFT 2024-03-26
4.4 EJW711 EL1 review DRAFT 2024-03-27
4.5 DCM308 Action EL1 feedback DRAFT 2024-03-27
4.6 DCM308 Name of article changed to ‘Identify and escalate risks in a plan change request’ to reflect new sections added to article. DRAFT 2024-03-27
4.7 JS0082 EL2 review DRAFT 2024-03-28
4.8 CW0032 BM review DRAFT 2024-04-01
4.9 DCM308 Action BM feedback
Cleaned for BiL review		 DRAFT 2024-04-02
4.10 SGH107 Transfer domain feedback DRAFT 2024-04-16
4.11 SGH107 Action domain feedback DRAFT 2024-04-16
4.12 EMN960 EL2 review DRAFT 2024-04-17
4.13 SGH107 Action EL2 feedback DRAFT 2024-04-17
5.0 JC0088 Class 3 Approval APPROVED 2024-04-18

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