Practice Guide – Participant Critical Incident

Practice Guide – Participant

Critical Incident

OFFICIAL

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Practice Guide – Participant Critical Incident

Contents

• Purpose ………………………………………………………………………………………………………. 3
• To be used by ………………………………………………………………………………………………. 4
• Scope ………………………………………………………………………………………………………….. 4
• Types of Incidents …………………………………………………………………………………………. 4 4.1 What is a participant critical incident? ……………………………………………………………. 4
• Correct response pathways ………………………………………………………………………….. 11
• NDIA responsibilities when responding to Participant Critical Incidents ……………….. 14 6.1 External Reporting ……………………………………………………………………………………. 15 6.2 Responding to reports of Participant Critical Incidents …………………………………… 24
• Principles for responding to reports of Participant Critical Incidents ……………………. 25
• Participant Critical Incident response process …………………………………………………. 28 8.1 Initial Response ……………………………………………………………………………………….. 28 8.2 Internal Notification to the Participant Incident Team……………………………………… 31 8.3 Follow up Action ………………………………………………………………………………………. 32 8.4 Closure and Reporting ………………………………………………………………………………. 34
• Privacy and Consent ……………………………………………………………………………………. 36
• Supporting material ……………………………………………………………………………………… 37
• Process owner and approver ………………………………………………………………………… 37
• Feedback …………………………………………………………………………………………………… 37
• Version control ……………………………………………………………………………………………. 38

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The contents of this document are OFFICIAL.

1. Purpose

The National Disability Insurance Agency (NDIA) recognises that people with disability can be particularly vulnerable to harm including abuse, neglect and exploitation. While working with participants, their families and carers, NDIA, National Contact Centre (NCC) and Partner (inclusive of ECEI and LAC) staff may encounter circumstances or obtain information about allegations of serious harm or abuse.

This Practice Guide details the roles and responsibilities of NDIA, NCC and Partner staff when they receive information about an alleged participant critical incident.

This Practice Guide supports a Framework that is underpinned by the principles that people with disability have the same right as other members of Australian society to have respect for their worth, privacy and dignity and to live free from abuse, neglect and exploitation. In regard to children and young people with disability, the best interests of the child or young person are paramount, and full consideration should be given to the need to protect the child or young person from harm.

This document is part of and supports the Participant Critical Incident Framework. It considers the interface with broader incident and issues management policies, guidelines and frameworks, however is not within the scope of:

• Security Incidents
• Managing Unreasonable Behaviour
• Issues and Incident Management Framework
• Business Continuity Management Policy
• Work, Health and Safety Incidents
• Risk
• Legal

Some incidents may meet the participant critical incident reporting criteria in addition to another internal process. NDIA, NCC and Partner staff should escalate through both processes.

This guide only applies to situations that meet the definition of a participant critical incident; staff will encounter other situations of risk that require management not covered by this guide including potential risks such as a participant assaulting a staff member. Support in these circumstances may be found in the abovementioned internal documents, alternatively staff can seek advice or support from their line manager or the Participant Incident Team.

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2. To be used by All NDIA, NCC or Partner in the Community staff.

3. Scope

This guide is intended to:

• Define a participant critical incident;
• Outline the role of the NDIA, NCC and Partner staff in responding to reports of participant critical incidents;
• Outline the participant critical incident process;
• Provide the process for an initial response and considerations for follow up action to an incident notification;
• Identify obligations of NDIA, NCC and Partner staff NDIA, NCC and Partner staff to report to third parties including state authorities.

This guide does not address incidents which relate to security, business continuity or work health and safety, including unreasonable behaviour such as abuse, aggression or escalating behaviour toward staff.

4. Types of Incidents

There are a range of incidents NDIS participants may experience or be impacted by, across a number of settings.

This practice guide focusses on the participant critical incident process. The participant critical incident response is complimentary to the broader Issues and Incident Management Framework. There is a ‘no wrong door’ approach to providing feedback, complaints and other matters to the Agency. Notifications that do not meet the participant critical incident categories will be progressed to the appropriate notification pathway. The team who lodged the incident will be educated as to the appropriate notification pathway.

4.1 What is a participant critical incident?

A report of a participant critical incident is any information provided to the NDIA, NCC and Partner staff that alleges that an event occurred involving:

• Unexplained death or death that occurs in connection with the provision of NDIS supports or services.
• Serious injury.
• Abuse or neglect.

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• Unlawful sexual or physical contact with, or assault.
• Sexual misconduct committed against, or in the presence of, the participant, including grooming for sexual activity.
• Unauthorised use of a restrictive practice.
• Threat or attempt of self-harm or suicide.

Note: a participant critical incident allegation may involve any stakeholder including NDIA staff, Partner in the Community staff, informal supports and family or other person.

4.1.1 Participant Critical Incident Examples

Incident Category	Example (not exhaustive)
Unexpected death of a participant that occurs in connection with the provision of NDIS supports or services	Report of a death where its circumstances or cause are medically or legally unexplained. This can occur (but not limited to) in the context of medical care, suicide, neglect or suspected criminal activity.
Serious injury of a participant	Report of a reckless or intentional act which has caused injury to a participant such as a fracture, contusion, wound, burn or concussion. Report of a participant being physically assaulted by a carer, support person, family member or member of the community which causes serious harm or injury. Report of serious injury of a participant whilst receiving NDIS supports
Abuse or neglect of a participant	Report of a family member, carer or support person denying food to a participant as ‘punishment’. Allegation of a participant being subject to use of offensive, abusive, or demeaning language by a support. Observation or notification of a family member, carer or support person threatening harm to a participant. Report of a participant being financially exploited. Abandonment of a Participant.

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Incident Category Example (not exhaustive)

Unlawful sexual or physical contact with, or assault of, a participant

• Observation of inappropriate physical contact between a carer or 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 or family member, or member of the community.

Sexual misconduct committed against, or in the presence of, a participant, including grooming of such a person for sexual activity

• Report of a rape or sexual assault of a participant.
• Observation of sexual conduct in the presence of a participant.
• Report a person developed a relationship with a participant with the intent of facilitating the participant’s involvement in sexual conduct, either with themselves or another adult. 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.

Unauthorised use of a restrictive practice in relation to a participant

• Report of use of restrictive practices (seclusion, chemical, mechanical, physical, environmental, psycho-social) without an authorisation where the relevant State or Territory has an authorisation process.
• Observation of a family member or support secluding or restraining the person with disability.

Participant self-harm or suicide

• Report of participant threatening self-harm or suicide.
• Report a participant has self-harmed or attempted suicide.

This refers to a specific event and does not include progressively escalating behaviours of concern.

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4.1.2 What do I do when there is a critical incident in relation to a non-participant?

In instances where a critical incident report is received that is in relation to a non-NDIS Participant, the Participant Incident Team will advise the notifier of the correct channel in which to report this matter. Participant Incident Team will recommend that the notifier contact the relevant mainstream authorities directly. This may include police and child protection agencies, see links and table below for guidance.

If the notifier does not want to report the incident to the relevant authority, NDIA, NCC and Partner staff will seek consent from the notifier to report the incident to the relevant authority on their behalf. If consent is not provided, NDIA, NCC and Partner staff can report the incident to the relevant state authority if it is believed on 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 (s60(2)(e) of the National Disability Insurance Act 2013).

If a notifier and/or any other person(s) are at risk of immediate harm or danger contact 000 for immediate assistance. See emergency response section of this guide for further details about contacting emergency services.

Participant Critical Incident Examples	State or Territory Authority
Incident relating to child safety issues	State or Territory Child Protection Authority and/or Australian Institute of Family Studies
Incident occurring in relation to unlawful conduct or serious harm	Police
	Emergency 000
	Non Emergency 131 444
Incident occurring between a family member and a person with disability	Police
	Emergency 000
	Non Emergency 131 444
Incident relating to a person with disability and a non-NDIS registered provider	State or Territory authority and/or Police
Serious harm to a person with disability in an aged care residence	Aged Care Quality and Safety Commission and/or Police

4.1.3 When an incident fits more than one criteria

There may be times when an incident fits the criteria of both a participant critical incident and another type of incident. Steps should be taken to ensure all streams of incident reporting are

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engaged and linked, for example - contacting the Security Team, Work Health and Safety Team and also notifying the Participant Incident Team.

There are times when it is not easy to decide if an incident is critical, or related to another type of security or work, health and safety matter. The best course of action is for staff to speak to their (a) line manager or the Participant Incident Team to determine the option that best fits the incident circumstances.

Key questions to consider include, but are not limited to:

• Was there a specific event that happened?
• Does the allegation relate to a participant being harmed or at risk of harm from the actions of others?
• Who is alleged to have harmed the participant, is it a provider, informal support or another person?
• Is the participant threatening, abusing or being aggressive toward others?
• What is the nature of the allegation?
• Where and when did the alleged incident occur?
• Is there a threat of self-harm?
• Is there an indication a provider or informal support has neglected a participant?

See examples of participant critical incidents or the table below to assist you to determine appropriate internal notification pathways.

4.1.4 Near Misses

Sometimes a participant may be in an unplanned high risk situation, but an incident has not yet occurred. If the Agency receives report of potential risks, we may implement mitigation strategies to prevent an incident occurring.

The PCI team would follow the same process for a PCI, ensuring appropriate actions are taken to ensure the participants safety and wellbeing.

In this situation the PCI team would categorise this as a Near Miss, noting there may still be risk, but an incident has not yet occurred.

4.1.5 Other Incidents and internal response pathways

When another type of incident is referred to the PCI team that does not meet the PCI criteria, the PCI team would follow the same process for a PCI, ensuring appropriate actions are taken to ensure the participant and others safety and wellbeing.

In this situation the PCI team would withdraw this incident, noting there may still be risk, but it does not meet PCI criteria and is best managed by another team - see below.

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Incident Type	Example	Agency Response Pathway or Further Information
Security	Loss or compromise of information. Unauthorised access, including tailgating. Theft of departmental and personal assets. Verbal or physical abuse. Damage or vandalism to buildings. All Duress Alarm activations (including false activations).	All security incidents should be reported to the NDIA Protective Security Team either by phone or using the NDIA Security Incident Report Form on the Security Incident Reporting page. Refer to the Privacy incident escalation protocol for privacy incidents.

Abuse, aggression or escalating behavior toward staff or Partners | Aggressive acts, verbal abuse, derogatory, racist or defamatory remarks, harassment, intimidation or violence.
Rude, confronting and threatening correspondence or behaviour.
Threats to harm third parties, damage property or stalking. | Managing Unreasonable Behaviour Guidelines.
Security Incident Reporting page.
Report a WHS Incident for any incident relating to the health and safety of staff.

Business Continuity/ Resilience | Loss of access to building(s).
Utility outages.
ICT outages.
Loss of staff. | Issues and Incident Management Framework.
NDIA Business Continuity Management Policy.

Work, Health and Safety | Injury/Illness- slips, trips, falls, spills.
Near Miss.
Equipment/Property Damage.
Comcare Notifiable incidents. | NDIA Staff.
Report an Incident.
Incident Reporting and Investigation Procedure.
Note: Partners to refer to their own organisations’

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Incident Type

Incident Type	Example	Agency Response Pathway or Further Information
Employee Relations Incidents	Any participant critical incident relating to employee behaviour and the Agency code of conduct which is reported to the Employee Relations team, in addition to PCI staff.	policy, speak to your line manager for support and guidance For further see the People and Culture intranet page. Note: Partners to refer to their own organisations’ policy, speak to your line manager for support and guidance, in addition to this step.
Legal	AAT or other notices setting out that legal proceedings are being contemplated or have been lodged. Note: If there is a CRM alert on file Legal are already aware and no need to alert again.	Email Legal Team Where requests for information are received from a court contact, email Information Law team.
Privacy	Privacy complaint by a participant or allegation of a breach of privacy involving a participant. Data breach, unauthorised disclosure or loss of personal information	Email Privacy or see the Privacy incident escalation protocol
Technical Advisory Branch	For significant participant behaviour of concern and/or notice of use of restricted practices (unauthorised and authorised). Note: Unauthorised use of restrictive practices will need to be notified to PCI staff as a	See intranet page, email Technical Advisory Team or contact redacted

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Incident Type	Example	Agency Response Pathway or Further Information
participant Critical Incident. They will also notify TAB.

5. Correct response pathways

Often NDIA, NCC and partner staff are notified of potential risk, an unstable environment, threat to homelessness etc. Unless a specific event/s has occurred, you may need to assess if the situation is indeed a Participant Incident, or if it needs to be referred to the appropriate business area for action.

Key questions to consider include, but are not limited to:

• Was there a specific event that happened?
• Does the allegation relate to a participant being harmed or at risk of harm from the actions of others?
• Who is alleged to have harmed the participant, is it a provider, informal support or other person/s?
• What is the nature of the allegation?
• Where and when did the alleged incident occur?

See examples in the table below to assist you to determine appropriate response pathways.

Notification Type	Example	Agency Response Pathway or Further Information
Child Protection involvement	Notification Child Protection is involved with the family. No Specific incident has been reported. Suspects on reasonable grounds that a child is at risk of significant harm. Education Department has raised concerns regarding Child Protection Involvement.	Unless a specific incident or event has occurred this is not a Participant Critical Incident. Referral to the Participant’s Service Delivery area for investigation into welfare of child, and if any amendments are required to be made to NDIS plan.

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Notification Type	Example	Agency Response Pathway or Further Information
A family member has raised concerns.

Child Protection involvement Notification Child Protection is involved with the family. Child Protection are involved due to a specific incident occurring. Suspects on reasonable grounds that a child is at risk of significant harm due to incident occurring. | If an incident has occurred to prompt a referral to Child protection, please fill out an incident form and sent to Participant Incidents Team.

Restrictive Practice Notification Participant is not allowed to access tools that may cause harm (for example: scissors, sharps, knifes, lighters, matches etc). Notification there has been consent and approval for a seatbelt on a wheelchair to prevent falls. | Restrictive practice means any practice or intervention that has the effect of restricting the rights or freedom of movement of a person with disability. Under the National Disability Insurance Scheme (Restrictive Practices and Behaviour Support) Rules 2018, certain restrictive practices are subject to regulation and are not an incident. These include seclusion, chemical restraint, mechanical restraint, physical restraint and environmental restraint. An implementing provider who uses regulated restrictive practices needs to

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Notification Type

Notification Type	Example	Agency Response Pathway or Further Information
Restrictive Practice	A Participant has been locked in a room, unable to be let out.	provide monthly reports to the NDIS Commission.
	A Participant is given additional medication above recommended dose to sedate them.	If an incident has occurred to prompt a referral, please fill out an incident form and sent to Participant Incidents Team.
	A Participant physically restrained against their will.
Death	A palliative care participant has passed away.	The National Disability Insurance Scheme Act 2013 (NDIS Act) does not require the National Disability Insurance Agency (NDIA) to notify another Australian government department of the participant’s death. However, in some instances state and territory legislation may require the NDIA to report the death to the Coroner if:
	A participant has passed away due to natural causes.
		• the death has not already been reported to the Coroner by someone else.
		• the death is a ‘reportable death’ in the relevant jurisdiction.

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Notification Type	Example	Agency Response
Unexplained death	A participant passes away unexpectedly and causes are unexplained.
Death in connection with the provision of NDIS supports.	Please fill out an incident form and sent to Participant Incidents Team.

Unmanageable Behaviours | Aggressive acts, verbal abuse, derogatory, racist or defamatory remarks, harassment, intimidation or violence. Rude, confronting and threatening correspondence or behaviour. Threats to harm third parties, damage property or stalking. | Managing Unreasonable Behaviour Guidelines. Security Incident Reporting page. Report a WHS Incident for any incident relating to the health and safety of staff.

6. NDIA responsibilities when responding to Participant Critical Incidents

The NDIA is responsible for delivering the National Disability Insurance Scheme (NDIS). The NDIS is designed to enhance the quality of life and increase economic and social participation for people with disability.

The NDIA’s responsibilities when receiving notification of a participant critical incident may include:

• Reporting to responsible state authorities, where incident circumstances indicates disclosure may be necessary to prevent or lessen a serious threat to an individual’s life, health or safety (s60(2)(e) of the NDIS Act 2013);
• Notifying the NDIS Quality and Safeguards Commission for further involvement (please note- all referrals must be through agreed channels outlined within the complaints handling and reportable incidents protocol.); and
• Considering any implications for the participant’s NDIS plan (having regard to the scope of the NDIS legislation and the obligations of other service systems as agreed by Governments).

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6.1 External Reporting

When NDIA, NCC and Partner staff are notified of a participant critical incident they should always consider what external reporting is required before it is notified to the National Participant Incidents Team. When considering the release of information to external agencies, NDIA, NCC and Partner staff are required to comply with the provisions in the NDIS Act 2013 that relates to ‘protected agency information’ and the provisions of the Privacy Act 1988 which relates to ‘personal information’ and ‘sensitive information’. Further information can be found in the Agency’s Information Handling Operational Guideline, the Privacy Policy or by contacting the Privacy team or Information Law team.

All NDIA, NCC and Partner staff have a responsibility for reporting risk of harm of any person to relevant state authorities if it is believed on reasonable grounds that disclosure or use of the information, is necessary to prevent or lessen a serious threat to an individual’s life, health or safety (S60 (2) (e) of the NDIS Act 2013).

Mandatory reporting is a legislative requirement for a selected group of people including some Partner in the Community staff. Mandatory reporters are often people who directly deliver services. The NDIA is a funding body and not a provider of services, therefore NDIA employees are not considered mandatory reporters, however there are some exceptions.

6.1.1 Participant Critical Incidents relating to Children and Young People

If a child is in immediate danger or a life-threatening situation, call O00 immediately and ask for police. If it is not an emergency and allegations are of a criminal nature, staff should seek support from their (a) line manager and call police on 131 444 or contact their local police station (see emergency and non-emergency response section of this guide for further information).

NDIA and Partners should report any concerns relating to children and young people to state child protection authorities if it is believed on reasonable grounds that disclosure or use of the information, is necessary to prevent or lessen a serious threat to a child or young person’s life, health or safety (S60 (2) (e) of the NDIA Act 2013).

There are mandatory reporting requirements in all jurisdictions for certain incidents involving children and young people. If staff are unsure if an incident in regards to a child or young person should be reported, they should discuss with their (a) line manager and contact their state child protection agency for support and advice at any of the below mentioned numbers.

Jurisdiction	State of Mind	How to report and webpage details
ACT	Belief on reasonable grounds	General public line (available 24 hours): 1300 556 729

Reporting Obligations - Child Protection

Jurisdiction	State of Mind	How to report and webpage details
		Mandated reporters line (available 24 hours): 1300 556 728 Online: Child concern report Email: cyf@act.gov.au Further information for all staff including mandatory reporters can be found on their webpage.
NSW	Suspects on reasonable grounds that a child is at risk of significant harm	Child Protection Helpline (available 24 hours):132 111 Mandatory Reporters can view the Mandatory Reporting Guide for further support on deciding whether a child or young person is suspected to be at Risk of Significant Harm (ROSH). Other staff can see their webpage for further information.
NT	Belief on reasonable grounds	Child abuse hotline: 1800 700 250 Crime Stoppers: 1800 333 000 Online: Online Reporting Form NDIA, NCC and Partner staff can visit their webpage for further information.
QLD	Has a reasonable suspicion	Child safety service centre Enquiries line (business hours): 1800 811 810 [they

Reporting Requirements by Jurisdiction

Jurisdiction	State of Mind	How to report and webpage details
SA	Suspects on reasonable grounds	will transfer staff to the [regional intake service]. Online: Online Reporting form Child Safety After House Service Centre: 1800 177 135 Further information for all staff including mandatory reporters can be found in the child protection guide or on their webpage. Child Abuse Report Line (CARL) (24 hours): 131 478 Mandatory Reporters can view the Mandatory Reporting Guide for further support on whether something should be reported. Other staff can visit their webpage for further information.
TAS	Believes, or suspects, on reasonable grounds, or knows	Advice and Referral Line (24 hours): 1800 000 123 Online: Online Contact Form For further information for all staff including mandatory reporters visit their webpage.
VIC	Belief on reasonable grounds	North Division Intake: 1300 664 977 South Division Intake: 1300 655 795

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Jurisdiction, State of Mind, and How to Report

Jurisdiction	State of Mind	How to report and webpage details
		East Division Intake: 1300 360 391
		West Division Intake (Rural and Regional Only): 1800 075 599
		West Division Intake (Metropolitan Only): 1300 664 977
		See [Child Protection Contacts](link not provided) for further information.
		After Hours Child Protection Emergency Service: 13 12 78
		Further information for Mandatory Reporters can be found on the [Mandatory Reporter webpage](link not provided).
		All other staff can find further information on their webpage.
WA	Belief on reasonable grounds	Non-Mandatory Reporters: Central Intake Team: 1800 273 889
Email: cpoduty@cpfs.wa.gov.au
Further information can be found on their webpage.
		Mandatory Reporters:
• Can lodge a written mandatory report using the [Mandatory Reporting Web System (MRWeb)](link not provided).
• Can contact:

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Jurisdiction	State of Mind	How to report and webpage details
e District Office (country area only):	Contact List
e Central Intake Team (Metropolitan Only):	1800 273 889 or coduty@cpfs.wa.gov.au
Further information for mandatory reporters can be found on their webpage.

For information about children living in voluntary care outside of the family home or children at risk of requiring accommodation outside the family home see the practice guides on the NDIA intranet page for further information.

6.1.1.1 Responding to a child or young person who disclose abuse or neglect

If NDIA, NCC or Partner staff are told by a child or young person that they have been abused or neglected it is a clear message they want the abuse to stop. It is important the allegations are taken seriously.

Staff should remain calm and professional and reassure and support the child or young person without trying to counsel them. Avoid specific questioning. Seeking information from children about abuse and neglect is the role of the Police and State Child Protection Authority. Instead, broadly invite the child to talk about how they are going, is anything bothering them or how are they feeling.

Consent should always be sought from a child or young person’s parent, caregiver or guardian if they are present to have the conversation. If the parent, caregiver or guardian do not consent to having the conversation a report should be made to the relevant state child protection authority. If the NDIA or Partners believe on reasonable grounds that the disclosure is necessary to prevent or lessen a serious threat to the child or young person’s life, health or safety (s 60(2) (e)) or consistent with mandatory reporter obligations (applicable to some partner in the community staff).

What to do:

• Listen carefully to what the child is saying.
• Control your verbal and facial expressions.
• Tell them you believe them.
• Reassure them that they have done the right thing by telling you.

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• Acknowledge it is hard to talk sometimes.
• Reassure them that they are not to blame.
• Tell them what you will do next – let them know you want to protect them and will need to tell someone else who will be able to help.
• If you cannot answer a question they have, tell them you do not know but will talk with the right people to get them help.
• Make written notes about what the child or young person told you, speak to your (a) line manager and contact your state Child Protection Authority.
• Do not store any information about the participant critical incident on CRM.

What not to do

• Express anger about the alleged abuser – they may be an adult the child loves.
• Confront the alleged abuser.
• Make promises you cannot keep – such as promising you will not tell anyone.
• Pressure the child for information or quiz them for details beyond what they freely want to say.

Receiving a report of child abuse or neglect can be difficult and, at times, unsettling. NDIA, NCC and Partner staff should always debrief and seek support.

6.1.2 NDIS Quality and Safeguards Commission

Registered NDIS providers in all States and Territories, are required to notify reportable incidents that relate to services and provisions provided by a registered provider, to the NDIS Quality and Safeguards Commission, under s73Z of the National Disability Insurance Scheme Act 2013 (NDIS Act) and Part 3 of the NDIS (Incident Management & Reportable Incidents) Rules 2018. For further information about participant critical incidents which are notifiable to the NDIS Quality and Safeguards Commission, visit the [NDIS Quality and Safeguards Commission webpage](https://www.ndisqualityand safeguardscommission.gov.au/).

The Participant Incident team, on behalf of NDIA and Partners, will refer all notifiable participant critical incidents to the NDIS Quality and Safeguards Commission to allow them to seek a notification from the registered NDIS Provider. NDIA, NCC and Partner staff should not make direct referrals to the NDIS Quality and Safeguards Commission in regard to any participant critical incidents.

NDIA, NCC and Partner staff in all states should continue to support a participant to go directly to the NDIS Quality and Safeguards Commission regarding provider behaviour outside of the participant critical incident framework. The NDIS Quality and Safeguards Commission can be contacted on:

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1800 035 544 between 9:00am to 4:30pm in the NT and 9:00am to 5:00pm in the ACT, NSW, QLD, SA, TAS, WA and VIC. Monday to Friday, excluding public holidays.

For further information about registered provider requirements please visit the NDIS Quality and Safeguards Commission webpage.

The NDIS Commission can only accept notifications of reportable incidents from Registered NDIS Providers. Participant Incidents involving unregistered providers can be referred to the NDIS Commission to be dealt with as complaints about the provider.

6.1.3 Health Services

When a notification of participant critical incident relates to health services and there is immediate danger or a life-threatening situation, NDIA, NCC and Partner staff must call 000 immediately and ask for police. If it is not an emergency, staff should seek support from their (a) line manager and call police on 131 444 or their local police station (see emergency and non-emergency response section of this guide for further information).

If a participant critical incident relates to provision of services provided by a hospital, facility or service (Public or Private) the participant or notifier should be supported in making a formal complaint directly to the hospital, facility or service. The hospital, facility or service’s webpage will provide information about how to lodge a complaint directly.

If the participant or notifier has lodged a complaint with a public or private health service and it has not been resolved to their satisfaction, they should escalate to their relevant state ombudsman/authority as outlined below.

State	Contact Details
Queensland State Office of Health	Phone: 133 646 Email: Complaints@oho.qid.gov.au Online: Health Service Complaint Form Webpage: https://www.oho.qld.gov.au/
NSW Health Care Complaints Commission	Phone: 02 9219 7444 Online: Lodge a complaint online Email: hccc@hccc.nsw.gov.au Webpage: https://ecomplaints.hccc.nsw.gov.au/
Victoria Health Complaints Commissioner	Phone: 1300 582 113 (Business Hours) Online: Online Form

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State Contact Details

In Person: Level 26, 570 Bourke Street, Melbourne.

Webpage: https://hcc.vic.gov.au/

Health Complaints Commission Tasmania

Phone: 1800 001 170 (business hours)

Online: Online Complaint Form

Email: health.complaints@ombudsmand.tas.gov.au

Webpage: https://www.healthcomplaints.tas.gov.au

SA Health and Community Services Complaints Commissioner (HCSCC)

Phone: (08) 8226 8666 or 1800 232 007 (Business Hours)

Fax: (08) 8226 8620

Email: info@hscc.sa.gov.au

Webpage: https://www.hcscc.sa.gov.au

WA Health and Disability Services Complaints Office (HaDSCO)

Complaints and enquiries line: (08) 6551 7600 or 1800 813 583

Phone: (08) 6551 7620 (Administration)

Email: mail@hadsco.wa.gov.au

Webpage: www.hadsco.wa.gov.au

NT Health and Community Services Complaint Commission

Phone: 1800 004 474 or (08) 8999 1969

Fax: (08) 8999 6067

Email: hcscc@nt.gov.au

Online: Complaint Online

Webpage: https://www.hcscc.nt.gov.au/

Participants or notifiers should always be encouraged to make a complaint themselves however if a participant does not want to make a complaint NDIA, NCC and Partner staff can report the incident to the appropriate authority with consent of the participant. If it is believed on reasonable grounds that disclosure or use of the information, is necessary to prevent or lessen a serious threat to an individual’s life, health or safety (S60 (2) (e) of the NDIA Act 2013).

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6.1.4 Aged Care Quality and Safety Commission

When a notification of participant critical incident relates to an Aged Care resident and there is immediate danger or a life-threatening situation, NDIA, NCC and Partner staff must call 000 immediately and ask for police. If it is not an emergency and allegations are of a criminal nature, staff should seek support from their (a) line manager and call police on 131 444 or contact their local police station (see emergency and non-emergency response section of this guide for further information).

If a participant critical incident relates to supports and provisions by an approved aged care provider (including both residential and home care packages), the notifier should be encouraged to lodge a complaint directly to the Aged Care Quality and Safety Commission. NDIA, NCC and Partner staff can report participant critical incidents relating to participants receiving residential aged care services or home care packages to the Aged Care Quality and Safeguards Commission with consent of the participant. If it is believed on reasonable grounds that disclosure or use of the information is necessary to prevent or lessen a serious threat to a participant’s life, health or safety (s60(2)(e) of the NDIS Act 2013). This can be done by:

Telephone: 1800 951 822 (Business Hours) OR

Online: Online Complaints Form

Further information about how to make a complaint can be found on the Aged Care Quality and Safeguards Commission webpage.

Approved providers of residential aged care services are required to report a suspicion or allegation of a reportable assault or a missing resident to the Aged Care Quality and Safeguards Commission directly.

If NDIA, NCC or Partners are notified of a reportable assault or a absconding participant receiving services by an approved residential aged care service, they should ensure all reporting obligations to the Aged Care Quality and Safeguards Commission have been met by the approved provider. Information about how approved provider staff can report the incident can be found on the Aged Care Quality and Safeguards Commission webpage.

6.1.5 NSW Ageing and Disability Commission

If a participant critical incident occurs in NSW and relates to a participant’s family, informal support, or community members known to a participant, the notifier should be encouraged to lodge a complaint directly to the NSW Ageing and Disability Commission. This can be done by:

Telephone: 1800 628 221 (Business Hours) OR

Email: nswadc@adc.nsw.gov.au

NDIA, NCC and Partner staff can report participant critical incidents that occur in NSW and relate to a participant’s family, informal support, or community members known to a

participant to the NSW Ageing and Disability Commission with consent of the participant. If it is believed on reasonable grounds that disclosure or use of the information, is necessary to prevent or lessen a serious threat to a participant’s life, health or safety (s60(2)(e) of the NDIS Act 2013). The Participant Incident Team will report these incidents directly to the NSW Ageing and Disability Commission for NDIA and Partner in the Community staff. Staff should record details of the allegations in the participant critical incident form and send to the Participant Incidents Team mailbox. The participant critical incident form should note the referral to the NSW Ageing and Disability and along with a summary of the reasoning for the referral. The NSW Disability and Ageing Commission does not investigate the conduct of paid service providers for older people or adults with disability. Instead, the focus is on the conduct of the person’s family and other informal supports, or members known to them from the community. The Commissioner will step in where no other complaint or investigative body can in NSW, by looking into and investigating cases of abuse, neglect and exploitation of older people and adults with disability. The Commissioner has the power to request further information from a person or body, or apply for and execute search warrants to collect evidence as part of an investigation.

6.2 Responding to reports of Participant Critical Incidents

Whenever NDIA, NCC and Partner staff obtain information, which indicates a participant critical incident, the staff member must take appropriate action to report the incident. A participant critical incident must receive an initial response and be reported internally within 24 hours of the report being received by the Agency. NDIA, NCC and Partner staff must:

• apply the process in this document, in conjunction with the standard operating procedure/s.
• apply the principles and approaches suggested in this document when responding to reports or allegations, noting these principles are a guide only; and
• consult their (a) line manager or the Participant Incident Team, for assistance to determine the most appropriate frontline response and escalation pathway.
• ensure conversations consider a person’s vulnerability and take appropriate steps to take account of that vulnerability in any dealings, making decisions and developing relationships.

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7. Principles for responding to reports of Participant Critical Incidents

NDIA, NCC and Partner staff should apply the below principles suggested in this practice guide when responding to reports or allegations of a critical incident; these are a guide and staff should consult their (a) line manager and/or the Participant Incident Team. For assistance to determine the most appropriate frontline response and escalation pathway; noting the value of shared decision making in difficult situations.

Principle 1 – Involve the relevant emergency service if there is a risk of immediate harm.

As part of the initial response to a participant critical incident notification, staff should consider if there are reasonable grounds to believe that someone is in imminent danger, or there is a serious threat to a person’s life, health or safety.

Where this is the case and with the support of their (a) line manager, staff should contact the appropriate emergency services (such as the police or ambulance services), identifying the imminent danger or risk.

Principle 2 – Understanding the responsibilities of the NDIA in relation to participant incidents.

The NDIA investigates participant critical incidents that involve an NDIA or Partner in the Community staff.

It may be necessary to consider adjustment of nominees where the allegations relate to people who are responsible for decision making or care for the person with disability, such as family members or informal supports.

Reporting and connection to third parties, existing or potential engagements with state or other government services, should be considered as part of the response actions undertaken by the Agency throughout the participant incident response process.

Consider the details in the NDIA responsibilities related to participant critical incidents section of this document.

Principle 3 – Participants should be involved in matters affecting them.

Reports about participants from third parties should be thoroughly investigated and where appropriate involve the participant or their nominee, unless the NDIA reasonably believes that doing so will increase the risk of harm to the participant or could potentially compromise investigations by Child Protection, the Police, or other State Authorities.

1. Seek consent to disclose information to third parties who may be able to provide support;
2. Discuss that an assessment of the person’s funded supports will be undertake; and

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3. Where a nominee, family member or other informal support is the alleged perpetrator of an incident, consideration should be given to the best pathway to communicate the allegations. This might include working alongside a third party with consent, to support the participant and ensure their safety.

Principle 4 – Support people with concerns to contact relevant authorities directly.

People notifying the NDIA of a participant critical incident allegation should be encouraged to report directly to the relevant authority. This might include emergency services, state or federal government authorities or the NDIS Quality and Safeguards Commission.

Registered NDIS providers in all states and territories except WA, are required to report these incidents to the NDIS Quality and Safeguards Commission. WA Disability Service Provider Panel (DSPP) registered NDIS providers are required to report serious incidents according to the Department of Communities, Disability Services Serious Incident Reporting Guidelines.

Ensure that the person making the notification is aware of NDIA responsibilities related to participant incidents relating to participant critical incidents. This is particularly important when the person wants the incident allegation investigated.

Principle 5 – Be aware of NDIS legislative requirements and respect people’s privacy.

In responding to participant critical incident notifications and when considering the release of information, staff must comply with the provisions in the NDIS Act 2013, that deals with ‘protected information’ and the provisions of the Privacy Act 1988 which deal with ‘personal information’ and ‘sensitive information’. Further information can be found on the Privacy incident escalation protocol.

Staff should give consideration to these requirements, before considering any state or territory laws, policies or working arrangements. Further information can be found in the Agency’s Information Handling Operational Guideline, the Privacy Policy or by contacting the Legal support team.

Partners have professional and organisational responsibilities to consider. Staff should always seek support from their (a) line manager and/or the legal support team before disclosing information (non-emergency situations), particularly when being requested to provide information from a legal firm, court or other state authority.

Ensure consent and authority to share information has been provided where third parties are being contacted; or indicate if the sharing of this information is necessary to prevent of lessen a serious threat to an individual’s life, health or safety (s 60(2) (e) of the NDIS Act 2013).

Principle 6 – Speak with a manager and relevant internal stakeholders for advice.

It can be challenging to know how to deal with a participant critical incident allegation, particularly where there several pieces of information which are unclear or contradictory.

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Staff should notify their (a) line manager regarding the participant critical incident allegation on each occasion and as early in the process as possible. This will support shared decision making and support staff to respond appropriately to the matter.

Internal stakeholders, such as the Participant Incident Team can be consulted to provide support and advice regarding participant critical incident allegations and pathways.

Principle 7 – Consider any changes needed to the participant’s plan or other supports.

In addition to any work undertaken as part of the initial response, an assessment of the participant’s plan is required to ensure appropriate supports and safeguards are in the participant’s plan to reduce any further risk to the participant.

This assessment should consider whether existing supports need to be maintained; Whether additional supports such as support coordination or specific capacity-building supports are reasonable and necessary.

Principle 8 – Document details and decision making.

Keep concise, factual file notes about reports of participant critical incidents, decisions made and action taken by the NDIA.

Complete the Participant Critical Incident Form when undertaking the initial response and internal notification.

Information and details about the incident should not be recorded in CRM. The Participant Incident Team will store details of the incident and the form in their shared drive and document relevant follow up actions on their off system tracker.

Principle 9 – Debrief and seek support.

Managing participant critical incidents can be difficult and, at times, unsettling. It is important that staff are supported and able to access informal support networks, peer support, or contacting their Agency’s EAP (Employee Assistance Program).

NDIA Staff can contact 1300 360 364 or visit Employee Assistance Program for further information, contract staff can contact their labour hire firm for specific details of their EAP arrangements.

Partners should contact their (a) line manager for details on their relevant EAP support details.

NDIA staff may also wish to discuss participant critical incidents related to the workplace with their Human Resource Business Partner.

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8. Participant Critical Incident response process

The Participant Critical Incident Process broadly includes four key stages:

1. Initial Response
2. Internal Notification
3. Follow up Action
4. Closure and Reporting

8.1 Initial Response

The first stage of the participant critical incident process relates to receipt of the incident allegation, gathering and documenting available information and undertaking any necessary emergency response.

1. Assess the information to determine whether there is any immediate risk of harm.
2. Where there is an immediate threat or risk of harm, contact the appropriate emergency services via ‘000’ (while staff may wish to consult their (a) line manager or seek advice from legal, this is not a prerequisite).
3. NDIA, NCC and Partner staff should encourage the notifier to contact any authorities directly themselves.
4. The incident report should be recorded by the staff member who receives the report of the incident immediately, and be detailed and factual, without judgement or drawing conclusions. Where possible the Participant Critical Incident Form should be used.
5. Staff should consult with a line manager as required at this stage of the incident process.

8.1.1 Gathering Information

In all instances it is essential staff record detailed, accurate and factual details about the information provided or observed. It is important to actively listen and be empathetic to the person’s concerns and seek to understand the outcome they are seeking:

• Listen without judgement or making assumptions.
• Give the person time to fully express without accidentally counselling them.
• Remind them of the responsibilities of the NDIA.
• Encourage them to report the incident directly to relevant state authorities, where appropriate.

Detailed notes should include the relevant information for the fields on the Participant Critical Incident Form.

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When summarising the incident and any actions that have been undertaken, this should include:

• What is alleged to have occurred, including locations dates and times,
• The impact on, or harm caused to the participant;
• The actions that have been undertaken to date; and
• Any further actions that will be undertaken.

8.1.2 Retrospective Incident reporting

If the report is about a past or serious but a non-emergency incident connected or potentially connected to criminal offences, discuss with a line manager (APS6 or above) and/or the Participant Incident Team. Consider whether the incident needs to be referred to the non-emergency police support line, by calling 131 444 (see contacting 131 444 of this guide for more information). Refer the incident in this way if there is a belief, on reasonable grounds, that doing so is necessary to prevent or lessen a serious threat to an individual’s life, health or safety.

8.1.2.1 Non-emergency response where the person would like the incident investigated

If the person making the report, including where this is the participant, would like the matter investigated, encourage them to make contact with the relevant authority directly.

• Explain it is best for the relevant authority to hear the information directly (rather than via the NDIA).
• Give the person contact details for the relevant authority (refer to external reporting and Key Contacts).

If the person does not wish to raise the matter with the relevant authority directly, explain that the NDIA will not generally do so on their behalf unless:

• The NDIA has contacted the participant/representative and they would also like the matter investigated and for a report to be made by the NDIA on their behalf, or
• The NDIA reasonably believes that there is a serious threat to the life, health or safety of a person and that report to an appropriate authority will lessen the threat (60(2) (e) of the NDIS Act 2013).

After explaining the above matters:

Advise the person that the Agency will consult further with the participant/representative, if required, and a manager regarding the appropriateness of the NDIA making referral in this situation.

8.1.2.2 If report is by registered provider staff

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Registered NDIS providers in all states and territories, except WA, are required to notify participant critical incidents that relate to services and provisions provided by a registered provider, to the NDIS Quality and Safeguards Commission, under s73Z of the NDIS Act 2013 and Part 3 of the NDIS (Incident Management & Reportable Incidents) Rules 2018. For further information about registered provider requirements for reporting incidents, please visit the NDIS Quality and Safeguards Commission webpage. NDIA, NCC and Partner staff should remind registered provider staff of their legislative obligations to report directly to the NDIS Quality and Safeguards Commission. The NDIS Quality and Safeguards Commission can be contacted on: 1800 035 544 between 9:00am to 4:30pm in the NT and 9:00am to 5:00pm in the ACT, NSW, QLD, SA, WA, TAS and VIC. Monday to Friday, excluding public holidays.

8.1.3 Participant Critical Incidents involving allegations of a NDIA or Partner in the

 Community Staff

There may be situations where allegations are made regarding incidents involving NDIA staff or Partners. All APS employees are required to comply with the APS Code of Conduct, including to at all times behave in a way that upholds the APS Values and Employment Principles. Staff have a duty to report inappropriate behaviour and/or suspected misconduct. When receiving allegations against NDIA or Partner in the Community staff, staff must ensure the name of the staff are not recorded in CRM. Any participant critical incident relating to employee behaviour and the Agency code of conduct must be reported to the Employee Relations team, in addition to the Participant Incident Team.

8.1.3.1 Partners

Where there is a participant critical incident reported that may indicate a staff member of a NDIA or Partners involvement, such as those delivering ECEI services or LAC services, these incidents are to be notified immediately to Participant Incident Team and the National Partner Performance Team. The National Partner Performance Team triage these reports and forward them to the relevant state partner performance team for action from a HR perspective with the applicable Partner executives. Staff are to document clearly all information and be careful not to compromise any investigation by the NDIA, Police or external agencies.

8.1.3.2 NDIA Staff

Whenever a NDIA staff member receives a notification of a participant critical incident that may indicate NDIA staff member involvement, the staff member is to report this information immediately to the Participant Incident Team and the People & Culture Team. Staff are to document clearly all information and be careful not to compromise any investigation by the NDIA, police or external agencies.

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8.2 Internal Notification to the Participant Incident Team

This stage includes the completion, submission and assessment of the Participant Critical Incident Form; this must be completed within 24 hours after any immediate responses are completed.

Send the complete Participant Critical Incident Form via email to Participant Incidents Team with the subject line: Participant Critical Incident Report .

The Participant Incident Team is responsible for creating a ‘my request’ tile in CRM and will acknowledge the referral with the team who has provided the information. This acknowledgment will include the CRM reference so the referring team can monitor the progress of the incident. Staff should not create a new my request tile and should not record any information or details about the incident in CRM. If the Participant record is mastered in PACE, please see the Just In Time resources for instructions for a PCI Case in PACE.

Key documents:

• Standard Operating Procedure - Internal notification of a participant critical incident.
• Participant Critical Incident Form.

The Participant Critical Incident Form should be completed with as much detail as possible.

Note: The Participant Incident Team cannot forward any information outside of the Participant Critical Incident Form to the NDIS Quality and Safeguards Commission. For this reason it is important to complete a brief description of the alleged incident and any follow up actions on the form.

Use the information in the Participant Critical Incident Framework, the SOPs and this Practice Guide to support your decision making relation to the incident type.

Do not save the Participant Critical Incident Form on the shared drive or attach the form to CRM.

Send the completed form (word version) to the Participant Incident Team inbox.

The referring team should not enter information about the incident on CRM.

Note: If the incident report or allegation is reported by service delivery, it is likely that the internal notification and follow up actions may be concurrent. It is important that reporting staff ensure that all actions to date - along with any planned, proposed actions are included on the Participant Critical Incident Form.

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8.3 Follow up Action

The Participant Incident Team is responsible for engaging with internal stakeholders to ensure follow up actions are completed as part of this stage.

This may include the Participant Incident Team connecting with service delivery or enabling business areas and recommending that they:

• refer the incident to relevant state reporting authorities i.e. child protection or police.
• complete a participant health and wellbeing check.
• examine and adjust the NDIS plan and funded supports.

The Participant Incident Team will complete all referrals in relation to notifiable participant critical incidents to the NDIS Quality and Safeguards Commission.

Key documents:

• Standard Operating Procedure - Undertaking follow up action for a Participant Critical Incident.
• Request for Action Form.

Service delivery or enabling areas may receive a request for action via email that contains the context to date, including the CRM reference number and other relevant information. This should be acknowledged within 48 hours.

The Participant Incident Team will ensure that any updates are included in the CRM my requests tile.

See Practice Guide 11.1.3 - for monitoring participants plans for further information.

8.3.1 Impacts on planning

Participant critical incidents can sometimes highlight a participant’s supports may be inadequate or that changes are needed to the care they are receiving. To ensure the participant is adequately supported and appropriate safeguards are in place, considerations may involve:

• restreaming the participant based on risk indicators and workflow;
• the appointment of or engagement with a support coordinator;
• appointment of a nominee;
• plan management arrangements;
• a review of their current supports to ensure they are appropriate to their current needs;
• a review of current utilisation to ensure they are accessing supports as intended;

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• the provision of limited supports to address the immediate needs while a longer term solution is developed or the inclusion of capacity building supports.

A plan review may be actioned in certain circumstances to support the participant to review and adjust their NDIS supports accordingly. The Participant Incident Team may facilitate a request for a review as part of follow up actions. Staff can view the Practice Guide - Unscheduled Plan Reviews for further support about the process.

8.3.2 Escalation pathways and referrals in addition to critical incident reporting

Escalation and referral pathways may be suitably engaged based on the individual circumstances of the incident and participant involved. The staff member and their manager should consider any requirements to report, refer or notify, based on the staff member or organisations requirements, noting Partners may have varied requirements to the Agency.

Staff should always be aware of and consider if there is any known and current involvement with mainstream services and notify these existing stakeholders, if and where it is considered appropriate (with the consent of the participant, or ensuring the participant’s right to privacy is not breached). Each State and Territory Government will have different services relevant to the participant and incident. Where there is no current involvement with mainstream services, the appropriateness of any referrals and disclosure should be carefully considered in conjunction with relevant legislation and reporting requirements.

The Agency considers that referral and support at the local level is the preferred pathway for engagement of mainstream services. Each State and Territory, together with the NDIA and DSS, have signed a Critical Services Issues Response (CSIR) agreement to manage the escalation of critical issues that impact on an individual (primarily a NDIS participant).

The types of matters include issues which relate to NDIS and mainstream services such as,

• Health services
• Mental health services
• Early childhood education
• Child Protection and Family Support
• School education
• Vocational Education and Training
• Social housing
• Public Transport
• Justice including Corrective Services.

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8.3.3 Participant Health and Wellbeing Check

A participant health and wellbeing check is completed by phone or in person by service delivery, Partners and enabling staff as part of follow up actions recommended by the Participant Incident Team. Consistent with NDIA principles, ‘nothing about me without me’ reports about participants from third parties should be discussed with the participant or their nominee as part of the Agency’s follow up actions. Enabling staff will contact the participant or plan nominee to discuss the allegations raised and any concerns they may have with their plan.

Where a plan nominee, family member or other informal support is the alleged perpetrator of an incident, consideration should be given to the best pathway to communicate the allegations. This might include working alongside a third party with consent, to support the participant and ensure their safety.

In these circumstances, a general participant health and wellbeing check can be performed with a support coordinator, social worker or carer (not exclusive) however details of the allegations should not be disclosed (consistent with the Privacy Act 1988 and NDIS Act 2013).

NDIA, NCC and Partner staff should document:

• Who performed the participant health and wellbeing check
• Who was the participant health and wellbeing check with
• Date, time and method (phone, in person etc.)
• Summary of what was discussed
• Summary of any concerns or further allegations raised

A summary of the conversation should be sent by email to the Participant Incident Team inbox.

Do not record any information about the incident or participant health and wellbeing check on CRM.

8.4 Closure and Reporting

This stage ensures that all follow up actions have been progressed and, where possible, finalised.

Each of the teams involved will ensure their actions are clearly and appropriately documented in an email to Participant Incident Team. This included return of any requests for action received by other business areas.

Line managers and staff who have been supporting or involved in the incident should be encouraged to undertake self-care and debriefing.

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The Participant Incident Team will update and close the CRM my request tile once the matter is considered finalised.

The Participant Incident Team will undertake reporting to applicable Senior Executives. Key documents: Standard Operating Procedure - Closure and Reporting of a Participant Critical Incident.

Both email and CRM can be used to ensure a detailed and summary overview of the final incident is provided to a range of internal stakeholders, respectively. The Service Delivery or enabling team should email the Participant Incident Team with a high level summary of actions and outcomes - enough to demonstrate the actions that have been undertaken and provide clarity on who is the best contact point for follow up. The email should also include relevant details to describe how and why decisions and actions were undertaken, along with any sensitive context to consider. Usual practices and notes should be used where a plan review, nominee appointment or other practices have been undertaken, but should not make reference to the incident.

The Participant Incident Team will update the CRM my request tile with this information and close the record. The Participant Incident Team will notify the enabling area of the closure of the My Request tile by email.

8.4.1 Self Care and Debriefing

Some interactions can be difficult or unsettling. If staff receive a report of a participant critical incident, the best time to deal with the impact of what staff have heard is immediately after it happens. Staff should talk with their (a) line manager or a colleague about:

• What happened
• What they found most difficult
• Elements of the interaction they felt they handled well
• What they might do differently if they were handling a similar situation in the future, and
• Whether it would help to speak with someone else about how they are feeling, and who they might talk to.

For privacy reasons, if staff are talking with someone other than their (a) line manager, take care not to disclose information that would identify the participant, persons involved in the alleged incident, or the person who made the report.

Staff should also know how to access confidential and professional counselling (and related services) to assist them in dealing with reports of a traumatic nature that arise during the course of their work. NDIA staff can access the Employee Assistance Program (EAP), Partners and contractor staff should consult with their (a) line manager regarding available supports and services, relevant to their circumstances.

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9. Privacy and Consent

In responding to participant critical incidents and when considering the release of information, every NDIA, NCC and Partner staff member is required to comply with the provisions in the NDIS Act 2013 that deals with ‘protected information’ and the provisions of the Privacy Act 1988 which deals with ‘personal information’ and ‘sensitive information’. Further information can be found in the Agency’s Information Handling Operational Guideline, the Privacy Policy, the Privacy Intranet page or by contacting the Legal support team.

Staff should discuss the situation with their (a) line manager in the first instance.

Ensure consent and authority to share information has been provided where third parties are being contacted; or indicate if the sharing of this information is a protected disclosure of information necessary to prevent or lessen a serious threat to an individual’s life, health or safety (section 60(2)(e) of the NDIS Act 2013), or refer to paragraph 8.3 of the Operational Guideline – Information Handling (external).

Questions to consider regarding privacy, consent and disclosure:

• Was the original request raised by the participant or their legal or direct representative?
• Do we have recorded consent in CRM in the form of written consent signed by the participant, a guardianship order, court order or completed nominee process?
• If the request or report was raised by a third party or representative, is their written consent available in CRM? Has verbal consent been provided and documented in CRM?
• When sharing information, is the disclosure necessary to prevent or lessen a serious threat to an individual’s life, health or safety, as described in the NDIS Act 2013?

Staff should give paramount consideration to these requirements, before considering any State or Territory laws, policies or working arrangements.

Partners have professional and organisational responsibilities that should also be considered and they must comply with the relevant State, Territory or Commonwealth incident management protocols or instruction; and in accordance with their relevant Contract or Grant Agreement with the NDIA. When the Partner is notified of a participant critical incident, the Partner must notify the NDIA using the process, procedures and guidance identified in this framework.

If NDIA or Partners receive a request to provide information or attend legal proceedings from a legal firm, court or other state authority, they must consult with their (a) line manager and contact the Legal support team. The most up to date contact details for the legal support team are available on the legal intranet page.

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10. Supporting material

• NDIS Act 2013 (refer to Part 2 in page 59 and Part 3 in page 64) • Participant Critical Incident Framework. • Standard Operating Procedure – Initial response to a Participant Incident Notification • Standard Operating Procedure - Internal notification of a Participant Critical Incident • Standard Operating Procedure – Undertaking follow up action for a Participant Critical Incident • Standard Operating Procedure – Closure and Reporting of a Participant Critical Incident • Reportable Incidents Detailed Guidance for Registered NDIS Providers • National Disability Insurance Scheme (Incident Management and Reportable Incidents) Rules 2018

11. Process owner and approver

Branch Manager, Internal Reviews and Complaints Branch.

12. Feedback

If you have any feedback about this Practice Guide, please email Participant Incidents Team. In your email remember to include the title of the product you are referring to and describe your suggestion or issue concisely.

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13. Version control

Version No	Amended by	Brief Description of Change	Status	Date
0.1	KHP942	Created practice guide in line with new and proposed Cl/RI process.	DRAFT	2019-07-30
0.2	NGC832	Updated PG in line with framework and sent to NDIA teams for content input.	DRAFT	2019-12-10
0.3	NGC832	Incorporated Feedback from NDIA teams.	DRAFT	2019-12-22
0.4	EGS121	Sent out PG for further input from NDIA teams.	DRAFT	2019-01-03
0.5	EGS121	Collated input from stakeholders.	DRAFT	2020-03-01
0.6	EGS121	Finalised input and feedback content.	DRAFT	2020-03-05
0.7	THZ224	Updated Team names and instructions regarding NDIS Quality and Safeguards Commission.	DRAFT	2021-06-30
0.8	MWN756	Move to new template and check accessibility.	DRAFT	2021-07-08
1.0	SGN258	Reviewed by HSP875.	APPROVED	2021-08-19
			BGW312
2.0	HSP875	Reviewed by HSP875 to amend following audit recommendations	APPROVED	2022-08-08
			Y40
2.1	TEM907	Check accessibility, updated links and terminology		2023-05-23

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