Guide – Safeguarding the participant’s interests – Context and background
SGP KP Publishing
Exported on 2025-04-28 03:57:13
Table of Contents
1 Recent updates …………………………………………………………………………………………………….. 4 2 Before you start …………………………………………………………………………………………………….. 5 3 Context in the Broader Framework ………………………………………………………………………… 6 4 NDIA Context and Background………………………………………………………………………………. 7 5 Critical incidents in the home or community ………………………………………………………….. 9 6 Next steps …………………………………………………………………………………………………………… 11
This article provides guidance for a local area coordinator, early childhood partner and all NDIA staff (planner delegate, payments officer, internal review delegate, complaints officer, participant support officer, access delegate, technical advisors, National Contact Centre, liaison officers (HLO/JLO), complex support needs (CSN) planner, national reassessment delegate) to understand safeguarding the participant’s interests in the context of: • the broader framework • the NDIA • critical incidents in the home or community.
Note: For information about safeguarding in the planning process, go to article Guide – Safeguarding the participant’s interests.
1 Recent updates
September 2023
This guidance comes from the Practice Guide – Safeguarding the participant’s interests (sections 4, 5 and 6). We’ve made minor updates to change any NDIS Business System language to PACE language. We’ll make improvements to this guidance in the future.
2 Before you start
You have read: • Participant safeguarding policy (external)
3 Context in the Broader Framework
Quality and Safeguarding Framework
The NDIS Quality and Safeguarding Framework (external) was developed by the Department of Social Services to support providers and the community. This framework provides a national approach to empower the participant to exercise choice and control, with appropriate safeguards in place. The framework also establishes expectations for providers to deliver high quality services. The framework supports the NDIS Quality and Safeguards Commission (external).
The NDIS Quality and Safeguards Commission (external) is responsible for receiving and investigating allegations of reportable incidents. Reportable incidents are serious incidents or allegations which result in harm to an NDIS participant and happen in connection with NDIS supports and services. Refer to Critical incidents in the home or community for more information about the participant critical incident process.
If the participant is a younger person in residential aged care, you may also need to report to the Department of Health and Aged Care – Aged care (external). This is communicated to the participant by the NDIA.
National Disability Services Zero Tolerance Framework
The National Disability Services Zero Tolerance Framework (external) helps providers understand actions they can take to prevent and respond to abuse, neglect and violence of people with a disability. This includes resources for provider staff to understand their responsibilities in preventing and responding to abuse and to reinforce the human rights of people using disability services.
The National Disability Abuse and Neglect Hotline
The National Disability Abuse and Neglect Hotline (external) (the Hotline) is an independent and confidential service for reporting abuse and neglect of people with disability. The Hotline works to promote fair and just treatment of people with disability to achieve social justice, equality and the same rights, responsibilities, opportunities, access and participation as other people in Australian society.
For critical incidents in the home or community setting, escalation and reporting via the Hotline is recommended. The Hotline can provide referral and connections to the most appropriate agency to investigate and address the report.
The Hotline is closely aligned with the Complaints Resolution and Referral Service (CRRS).
Complaints Resolution and Referral Service
Complaints to the CRRS (external) can be made by clients of services funded by the Department of Social Services (DSS) under the Disability Services Act (1986). These services include: • Disability Employment Services (DES) • Australian Disability Enterprises (ADEs) • Advocacy Services (funded by DSS).
4 NDIA Context and Background
NDIA Incident Management Frameworks
The NDIA Issues and Incident Management Framework creates a documented, streamlined approach and is aligned to the NDIA risk management cycle.
The Issues and Incident Management Framework details the requirements for managing issues in a consistent, methodical, risk-based approach. For more information, go to the Risk Advisory Branch intranet page.
The Participant Critical Incident Framework helps NDIA staff and partners to determine the necessary and appropriate actions required to respond to a participant critical incident.
A report of a participant critical incident is any information provided to the NDIA that alleges: • the death of an NDIS participant • serious injury of an NDIS participant • abuse or neglect of an NDIS participant • unlawful sexual or physical contact with, or assault of, an NDIS participant • sexual misconduct committed against, or in the presence of, an NDIS participant, including grooming of the NDIS participant for sexual activity • the unauthorised use of a restrictive practice in relation to an NDIS participant • an NDIS participant threatening or attempting self-harm.
A participant critical incident allegation may involve any stakeholder including NDIS registered providers, NDIA staff, informal supports, family or other person/s.
Participant critical incidents relating to unreasonable behaviour of the participant, or other third party, should be managed by NDIA staff and partners consistent with the NDIA Managing Unreasonable Behaviour policy and guidelines. This includes information, advice, reporting and escalation protocols where the health, safety or security of staff, partners or others is at risk.
Reportable incidents
The NDIS Quality and Safeguards Commission (NDIS Commission) is responsible for receiving and investigating allegations of reportable incidents. Reportable incidents are serious incidents or allegations which result in harm to an NDIS participant while they are receiving NDIS supports or services.
Registered NDIS providers in all states and territories, except Western Australia, must notify participant critical incidents that relate to services and provisions provided by a registered provider. Notification must be made 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 more information about notifiable participant critical incidents, go to NDIS Quality and Safeguards Commission (external).
Critical Services Issues Response
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 an NDIS participant.
The CSIR is a process for coordinating the escalation of complicated and intractable matters that impact an NDIS participant that can’t be resolved at the local level. Matters include issues related to mainstream services, including but not limited to the following: • health and mental services • early childhood education • child protection and family support • school education
• vocational education and training • social housing • public transport • justice, including corrective services.
5 Critical incidents in the home or community
People with disability are among some of the most vulnerable people in society and have the right to freedom, respect, equality and dignity. They have the right to live to their full potential, to have control over their own life and to live free from abuse or neglect.
Violence can be physical, sexual, intimidating or forceful. People with a disability may experience violence from a carer or family member. This can happen at home or in a community setting. Abuse is when actions violate another person’s human rights and can be physical, mental, psychological, sexual or financial.
Neglect is the failure by a service provider or person caring for a person living with a disability to provide adequate care.
Escalation and reporting to the National Disability Abuse and Neglect Hotline (external) is recommended for critical incidents in the home or community setting. Referral and connections may be provided to the most appropriate agency to investigate or address the report. The principles in the Participant Critical Incident Framework should be followed to make contact with the Hotline and escalate to a line manager before any report is made. After escalation and full consideration, it may also be necessary to make a police report.
Note: The Hotline is not a crisis service. Life-threatening situations should be reported immediately to emergency services by calling 000.
There may be situations where allegations are made about critical incidents involving NDIA or partner staff. All Australian Public Service (APS) employees must comply with the APS Code of Conduct and APS Values and Employment Principles. Go to the Australian Public Service Commission (external) for more information.
There is a duty to report inappropriate behaviour and suspected misconduct. Perceived inappropriate behaviours or allegations received about a staff member should be discussed with or reported to a senior manager. The matter can also be discussed with People and Culture.
Partner staff are expected to share the NDIA values, however are not direct APS employees. Partners are independent organisations with their own employment guidelines, policies and processes. As a partner, there is a contractual obligation to report serious complaints regarding staff, breaches or incidents. Under the NDIA Issues and Incident Management Framework, this information is reported and investigated by the NDIA.
NDIA Participant Critical Incidents Framework
The Participant Critical Incident Framework details your roles and responsibilities when you suspect or receive information about an alleged critical incident including abuse, neglect or exploitation. Anyone can report a critical incident to the NDIA, including partner staff.
The framework helps you determine what to do when you suspect or obtain information, indicating a critical incident or concern for a person with disability who may be subject to abuse, neglect or exploitation.
This framework complements the broader NDIA Issues and Incident Management Framework, which uses a risk-based approach to provide overarching guidance to managing issues and incidents in a consistent and methodical manner.
When responding to reports of critical incidents, the NDIA and partners may disclose information to relevant authorities such as police or child protection services if: • the consent of the individual is obtained (s60(2)(d)(iii) of the NDIS Act 2013) • staff have reasonable grounds to believe that the disclosure is necessary to prevent or lessen a serious threat to the individual’s life, health or safety (s60(2)(e) of the NDIS Act 2013).
For more information, go to articles: • Identify participant risk factors and vulnerabilities • Understand system generated risk flags
Exceptionally Complex Support Needs Program
The Exceptionally Complex Support Needs Program (ECSNP) is designed to contribute to growing market and community capacity to support participants with exceptionally complex support needs.
The ECSNP enables the NDIA to respond to participant crisis situations that can’t be supported by regular NDIA functions, including the CSIR and Complex Support Needs Pathway.
The ECSNP has 3 functions:
Sector and community development and delivery activities
This includes workshops, training sessions and individual engagement with mainstream and community services (such as health services and justice services). The aim of these activities is to support the growth and capability of people working with participants with complex support needs. This work will also build capabilities, knowledge and skills of NDIS providers who work directly with participants with complex support needs.
Subject matter expertise activities
This includes providing guidance and advice to services for specific issues related to providing support for people with exceptionally complex support needs. The program providers will also provide skilled support coordinators to support a participant if required.
Crisis referral activities
This is for approved referrers (key emergency service responders) and will only accept referrals for participants over 18 years.
Approved referrers to ECSNP include: • Key emergency services organisations – state police services, state ambulance services, hospitals (public and private) • Acute state mental health services • Australian Federal Police • State justice officers.
6 Next steps
Related knowledge articles: • Guide – Safeguarding the participant’s interests for information specific to planning processes
Related internal guidance: • Participant Critical Incident Framework
Related external guidance: • Our Guideline – Your privacy and information (external) • NDIS Safeguards (external) • What principles do we follow to create your plan? (external) • When do we make priority eligibility decisions? in Our Guideline – Applying to the NDIS (external) • Our Guideline – Your plan (external) • Our Guideline – Justice system (external)