IDEAL Plan Management will promote the health, safety, welfare and well-being of its clients and meet its professional and legal responsibilities by ensuring any incidents are appropriately:
- identified and recorded
- assessed to determine corrective and / or harm minimisation strategies
- investigated where necessary
- followed up in a timely manner and to ensure satisfactory outcomes are achieved
- considered against legislative / funding body requirements / guidelines (including the NDIS Quality and Safeguards Commission: Incident Management Systems) and acted upon / reported as required
- shared where appropriate to assist with quality improvement.
- Risks will be identified and managed to eliminate or minimise any adverse event
- The impact of any incident will be minimised
- Clients / other stakeholders will be satisfied with the outcome of the management of risks and incidents
- Involved Workers are aware and accepting of the outcome of the management of risks and incidents
- There will be minimal reoccurrence of incidents
- IDEAL’s management team will be aware of risks and incidents and the actions taken to manage these events
Incident event or situation that could have resulted in harm to an individual or to the business. This includes, but is not limited to:
- Injury and / or near-miss to participants
- Injury and / or near-miss to workers
- Acts by a person with disability that did or may have caused serious harm
- Actual or suspected abuse of participant / others
- Breach of privacy / other participant rights
- Breach of statutory obligations
Note: NDIS Definition
“An incident is defined as an act, omission, event or circumstance. It may mean any of the following:
- Acts, omissions, events or circumstances that occur in connection with providing NDIS supports or services to a person with disability and have, or could have, caused harm to the person with disability
- Acts by a person with disability that occur in connection with providing NDIS supports or services to the person with disability and which have caused serious harm, or a risk of serious harm, to another person
- Reportable incidents that have or are alleged to have occurred in connection with providing NDIS supports or services to a person with disability”
NDIS Commission Incident Management Systems: Detailed Guidance for Registered NDIS Providers June 2019, p3
Accident event or situation that actually resulted in harm to an individual or damage to equipment
Risk something that could potentially lead to an incident or accident
For the purpose of this policy, both incidents and accidents will be referred to as “incidents” for ease of reading.
4. Related Policies / Documents
- Feedback and Complaints Policy and Procedures
- Risk Management Policy
- Risk Management Register
- Incidents and Complaints Register
- Incident and Complaint Report Form
- Section 6 if incident relates to suspected abuse
- Feedback and Complaints Policy if the incident is feedback / a complaint)
a. Identifying Incidents
While some incidents are obvious (eg a client fall) it is also important to understand that not all incidents may be so readily identified. Section 3.1 of the NDIS Commission Incident Management Systems: Detailed Guidance for Registered NDIS Providers June 2019 provides guidance to IDEAL and its’ staff to consider potential indicators and signs associated with particular types of incidents. While it is acknowledged that this is not an exhaustive list, staff will be educated to assist them with better identifying incidents or potential incidents.
b. For all Incidents
- Management is to be notified of all incidents
- The incident is recorded in the Incidents and Complaints Register by a senior finance officer, a senior customer service officer or a team leader
- Actions are to include as a minimum:
- Providing support to the affected person/s
- Consideration by Management if the incident is reportable and if police / other agencies should be involved, and actions then taken as appropriate
- When, how and with whom follow-up will occur
- Risk assessment of the incident, including seeking feedback from involved parties e.g. participant, workers
- Evaluation / review at the conclusion of the incident to ensure involved parties are satisfied with the outcome
- Consideration of what people / process / policy changes could be made to improve IDEAL's systems (refer to ' 5d. Outcomes' below).
c. Incident Investigations
- If required, a formal incident investigation will be conducted to explore in more detail why an incident occurred and if any steps are required to prevent it occurring again. As a minimum, incidents requiring investigation include:
Note: If police are involved in the incident, no internal investigation is to commence until the police investigations are complete
- An Incident and Complaint Report form is to be completed to document the incident investigation within 48 hours of the incident. The report must include all necessary factual details, immediate actions that have been taken, any identified / planned follow-up actions, any reports made to other bodies
- Management is to be informed as soon as practicable of any incident investigations and their outcomes
- Outcomes of formal or informal assessments / investigation could include:
- Further training of staff / others involved
- Reviewing and enhancing policies and / or procedures
- Participant (and / or his/her family) and Provider agree to accept the risks inherent in support delivery to achieve goals
e. Follow-Up / Review
- Actions will be monitored by the Director and updates on progress will be added to the register until the incident is satisfactorily concluded
- Incident reports and all related documents are to be kept for 7 years.
f. When a Participant incident / injury occurs
- Respond to immediate needs and re-establish a safe environment. Make sure participant, worker and any others present are safe
- If required, call emergency services to assist, seek medical attention, commence first aid
- Contact the appropriate emergency contact or 'significant other' (eg parent / spouse / son / guardian) as soon as practicable
- Determine what support the participant and / or their family require and how this can be best delivered. This is to include asking them if they want the support of an advocate
- Consult with the participant and / or their family on how to satisfactorily resolve the issue and what could have been done to prevent it occurring
- Keep the participant informed of progress on the incident
- Management will review mandatory reporting requirements and complete the required reporting i.e. Notifiable Incidents (refer to Appendices A & B)
- If the incident could lead to any potential litigation, IDEAL's professional liability insurer must be informed.
6. Mandatory reporting of suspected incidents of risk of harm to a participant / client
Group A - All NDIS Participants
NDIS Commission require to be reported:
“Reportable incidents are serious incidents or alleged incidents which result in harm to an NDIS participant and occur in connection with NDIS supports and services. Specific types of reportable incidents include:
- The death of a person with disability.
- Serious injury of a person with disability.
- Abuse or neglect of a person with disability.
- Unlawful sexual or physical contact with, or assault of, a person with disability (excluding, in the case of unlawful physical assault, contact with, and impact on, the person that is negligible).
- Sexual misconduct committed against, or in the presence of, a person with disability, including grooming of the person for sexual activity.
- The use of a restrictive practice in relation to a person with disability, other than where the use is in accordance with an authorisation (however described) of a State or Territory in relation to the person or a behaviour support plan for the person.”
NDIS Commission Incident Management Systems: Detailed Guidance for Registered NDIS Providers June 2019, p4
The procedures for NDIS Incident Management are outlined in Appendix A. Also refer to Group C below as these resources are also useful for NDIS participants eg for access to advocacy services. If it is a child you also need to report as per Group B below.
Group B - All children aged from birth to 18 years
Specific requirements for children
- If there are concerns the child's health, safety or life is at imminent risk, contact the police by calling 000.
- If the matter concerns the suspicion that a child is being abused, neglected or at risk of abuse or neglect but there is no imminent risk submit a report by phone to ACT Child and Youth Protection Services on 1300 556 729.
Also note, if a worker is harmed reporting to WorkSafe ACT may be required.
7. Training Workers on Incident Management
All staff will receive initial and refresher training on Incident Management, including mandatory reporting. Refer to Annual Training Plan.
8. Appendix A: NDIS Processes for Reporting Incidents
In the box below is an extract from the NDIS Quality and Safeguards Commission. It outlines the reporting requirements to the NDIS including timeframes and required forms.
“How to notify the NDIS Commission of a Reportable Incident from 1 July 2019
There are key steps for registered NDIS providers to notify the NDIS Commission about reportable incidents. These are outlined below.
From 1 July 2019 registered NDIS Providers in ACT, SA, NSW, NT, QLD, TAS and VIC should use the NDIS Commission Portal ‘My Reportable Incidents’ page to notify and manage all reportable incidents.
- The Immediate Notification Form must be submitted via the NDIS Commission Portal within 24 hours of key personnel becoming aware of a reportable incident or allegation.
- The Immediate Notification Form includes a number of sections and questions, concerning details of the reportable incident, actions taken in response to the incident and the individuals involved in the incident.
- An exception to this rule is notifying the NDIS Commission of the use of a restrictive practice that is unauthorised or not in accordance with a behaviour support plan. In these instances, the provider must notify the NDIS Commission within five business days of being made aware of the incident. If however, the incident has resulted in harm to a person with disability, it must be reported within 24 hours.
- To notify the NDIS Commission of an incident the authorised ‘Notifier’ or ‘Approver’ needs to login to the NDIS Commission Portal and select ‘My Reportable Incidents’ tile at the top of the screen. From here, you will be able to complete an Immediate Notification Form.
- The NDIS Commission suggests the ‘Authorised Reportable Incidents Approver’ is the person you want to have the authority to review and be responsible for submission to the NDIS Commission. This could be the person specified in your incident management system who is responsible for reporting incidents to the NDIS Commission. The authorised ‘Approver’ will have the ability to submit new Reportable Incidents and view previous Reportable Incidents submitted by their organisation.
- The NDIS Commission suggests the ‘Authorised Reportable Incidents Notifier’ is a supporting team member who can assist the ‘Authorised Reportable Incidents Approver’ to collate and report the required information. The authorised ‘Notifier’ will have the ability to create new Reportable Incident notifications to be saved as a draft for review and submission by the authorised ‘Approver’. The authorised ‘Notifier’ will need to inform the authorised ‘Approver’ that the Incident is awaiting their review and submission. The ‘Notifier’ can also view past Reportable Incidents they have created through the page.
- The 5 Day form must be submitted via the ‘My Reportable Incidents’ portal within five business days of key personnel becoming aware of a reportable Incident. This provides additional information and actions taken by the NDIS registered provider.
- The five-day form is also to be used for incidents involving the unauthorised use of a restrictive practice, other than those resulting in immediate harm of a person with disability.
- You may be required to provide a final report. When this is the case, the NDIS Commission will notify you via email and tell you the date this is due.
- If you are required to submit a final report, you will have access to the final report fields on the NDIS Commission Portal for that incident.
There are key considerations for registered NDIS providers. In all cases, providers must assess:
- The impact on the NDIS participant.
- Whether the incident could have been prevented.
- How the incident was managed and resolved.
- What, if any, changes will prevent further similar events occurring.
- Whether other persons or bodies need to be notified.
Where appropriate, the NDIS Commission may require a provider to take remedial measures. The NDIS Commission may work with the provider to implement these measures, and monitor progress. Remedial measures may include, but are not limited to, additional staff training and development or improved services to support NDIS participants and updating policies and procedures.
For further information including hints and tips, please refer to the Reportable Incidents Frequently Asked Questions.”
If you are unable to login to make a report, got to website referred to at the top of this box and follow the outlined steps.