Principles for responding to participant critical incidents

FOI 24/25-1367 - DISCLOSURE LOG DOCUMENT 29

Principles for responding to

participant critical incidents

SGP KP Publishing

Exported on 2025-04-28 02:53:17

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1 Recent updates …………………………………………………………………………………………………….. 4 2 Before you start …………………………………………………………………………………………………….. 5 3 Principles for responding to participant critical incident reports…………………………….. 6 4 Next steps …………………………………………………………………………………………………………….. 9

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

principles for responding to participant critical incident reports.

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1 Recent updates

October 2023

Current guidance.

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2 Before you start

You have read and understood:

article Understand participant critical incidents.

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3 Principles for responding to participant critical incident reports

Apply these principles when responding to reports or allegations of a participant critical incident (PCI). These principles help determine the most appropriate response and escalation pathway. They’re a guide. You should consult your line manager or the PCI team if you need advice or support.

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

As part of the initial response to a PCI notification, you should consider if there are reasonable grounds to believe:

that someone is in imminent danger
there is a serious threat to a person’s life, health or safety.

Where you have identified an imminent danger or risk you should contact the appropriate emergency service on 000. Seek the support of your line manager.

Principle 2 – Understand the responsibilities of the National Disability Insurance Agency (NDIA) in relation to participant incidents

The NDIA investigates PCIs related to a range of people, including an NDIA staff member, a local area coordinator or an early childhood partner.

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.

As part of the response actions by the NDIA, consider the following:

reporting and connection to third parties
existing or potential engagements with state or other government services.

To learn more about the NDIA’s responsibilities when responding to PCIs read article [Understand mandatory and external reporting for participant critical incidents](Understand mandatory and external reporting for participant critical incidents).

Principle 3 – Participants should be involved in matters affecting them

Thoroughly investigate PCI reports made by third parties. 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
could compromise investigations by Child Protection, the Police, or other State Authorities.

You will need to seek consent to disclose information to third parties who may be able to provide support:

Discuss that the NDIA will undertake an assessment of the participant’s funded supports.
Consider how best to communicate the allegation if a nominee, family member or other informal support is the alleged perpetrator of an incident. This might include working alongside a third party with consent to support the participant and make sure they are safe.

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

You can encourage people notifying the NDIA of a PCI allegation 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 must report these incidents to the NDIS Quality and Safeguards Commission.

Make sure the person making the notification is aware of NDIA responsibilities related to PCIs. This is important when the person wants the incident allegation investigated.

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

When responding to PCI notifications, and considering the release of information you must comply with the:

‘protected information’ provisions in the NDIS Act 2013
‘personal information’ and ‘sensitive information’ provisions of the Privacy Act 1988.

The Privacy incident escalation protocol provides further information. You should think about these requirements before you consider any state or territory laws, policies or working arrangements.

You can find more information in:

Our Guideline – Your privacy and information (external)
the Agency’s Privacy Policy (external).

You can also contact the Legal support team at redacted: s47E(d) - certain operations of agencies@ndis.gov.au.

Local area coordinators and early childhood partners have professional and organisational responsibilities to consider. Before disclosing information in non-emergency situations, seek support from your line manager or the legal support team. In particular, when a legal firm, court or other state authority has requested information.

When you contact third parties, make sure the relevant person has provided consent and authority to share information. Indicate if the sharing of this information is necessary to prevent or 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

Knowing how to deal with a PCI allegation is challenging, particularly when you have several pieces of unclear or contradictory information.

You should notify your line manager as early as possible of each PCI allegation. This will support shared decision making and help you respond appropriately to the matter.

You can consult with internal stakeholders, such as the PCI Team, for support and advice regarding PCIs and pathways.

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

Assess the participant’s plan. Make sure it contains appropriate supports and safeguards to reduce any further risk to the participant. This assessment is in addition to any work undertaken as part of the initial response. You can assess whether:

to maintain existing supports
additional supports like support coordination or specific capacity-building supports are reasonable and necessary.

Principle 8 – Document details and decision making

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You should keep concise, factual file notes about:

reports of PCIs
decisions made
actions taken by the NDIA.

You should create a PCI case for each relevant incident when undertaking the initial response and internal notification. To create a PCI case, go to article Create a participant critical incident case.

Principle 9 – Debrief and seek support

Managing PCIs can be difficult and unsettling. It is important that NDIA staff are supported and have access to:

informal and peer support networks
their agency’s Employee Assistance Program (EAP).

NDIA staff can seek support from Benestar (TELUS Health). Contact 1300 360 364 or visit the Benestar (TELUS) webpage (external).

Contract staff can contact their labour hire firm for specific details of their EAP arrangements.

Local area coordinators and early childhood partners should contact their line manager for details of the relevant EAP support.

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4 Next steps

To respond to a PCI, go to article Respond to participant critical incidents.
You must report a PCI internally within 24 hours of the report being received by the Agency. To do this, go to article Create a participant critical incident case.

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