NDIS Incident Management and Reportable Incidents Procedure

1.   Introduction

As a registered National Disability Insurance Scheme (NDIS) provider, Glide Products (the Company) is required to notify the NDIS Commission of all reportable incidents (including alleged reportable incidents) that occur (or are alleged to have occurred) in connection with the provision of NDIS support or services we deliver, even where we recorded and responded within our incident management system. It is a condition of our registration that we comply with the NDIS Quality and Safeguards Rules about notification of reportable incidents.

2.   Purpose

The purpose of this procedure is to outline the process for identifying, assessing, recording, managing, resolving and reporting incidents that occur while providing support or services to people with a disability and covers:

·       Acts, omissions, events or circumstances that occur in connection with providing NDIS support 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 occur in connection with providing NDIS support or services to the person with disability and which have caused serious harm, or a risk of serious harm, to another person; and

·       Reportable incidents that have or are alleged to have occurred in connection with providing NDIS support or services to a person with disability.

3.   Objectives

·       Maintain compliance with NDIS service provider obligations

·       Ensuring management of an incident is respectful, responsive and supports the person’s safety and wellbeing;

·       Seeks to minimise incidents from re-occurring; and

·       Facilitates the process of continual improvement

4.   Scope

The procedure applies to all workers and those undertaking work on the Company’s behalf.

5.   Responsibilities

All Workers have a responsibility to ensure that details of any incident are recorded and reported to their immediate Manager, Supervisor or Company Director (as appropriate).

In addition, the following specific responsibilities are assigned to the key personnel of the company:

5.1 Directors

·       Consult on this procedure

·       Approval of this Procedure and any subsequent revisions

·       Provides and assigns adequate resources to ensure compliance

·       Makes available (where applicable and requested) any significant and relevant NDIS reportable incidents related reports and statistics to Board Members and or Shareholders where it may impact the performance of the Company

·       Notification and recording of the reportable incident to the NDIS Commission

5.2        General Manager

·       Ensures this Procedure is implemented within the business and requirements are complied with

·       Ensures that Direct reports and workers understand the requirements of this Procedure

·       Stores this procedure in locations accessible to workers

·       Audits, monitors, reviews and provides analysis and reporting on this procedure

·       Notification and recording of the reportable incident to the NDIS Commission

·       Report any NDIS related incident to the Director

·       Participates in NDIS incident investigations

5.3        Production Manager

·       Implement and ensure awareness and education of this procedure to Supervisors and direct reports

·       Notification and recording of the reportable incident to the NDIS Commission

·       Report any NDIS related incident to their immediate Manager

·       Participates in NDIS incident investigations

5.4        Supervisors

·       Assists with providing information to workers in regard to this Procedure

·       Seeks further assistance from Production Manager with clarification of this procedure where required

·       Complies with this procedure

·       Report any NDIS related incident to their immediate Manager

·       May be required to participate in NDIS incident investigations

5.5        Human Resources Manager

·       Creates, reviews and makes changes to this procedure

·       Reviews,       implements  and communicates       changes       to this procedure where required

·       Provides general advice on this procedure to Directors, General Manager, Production Manager, Supervisors and Workers

·       Record, stores and reports on matters raised under this procedure

·       Notification and recording of the reportable incident to the NDIS Commission

·       Report any NDIS related incident to their immediate Manager

·       Participates in NDIS incident investigations

5.6        Workers

·       Comply with the requirements of this procedure

·       Report any NDIS related incident to their immediate Manager or Supervisor

·       May be required to participate in NDIS incident investigations

6.   Procedure

6.1        Reportable Incidents or alleged Incidents

The NDIS Quality and Safeguards Commission is the regulatory body established to oversee the registration of NDIS providers and monitor compliance, respond to complaints and reportable incidents, monitor behaviour support and restrictive practices, and undertake investigation and enforcement.

The Company must notify the NDIS Quality and Safeguards Commission of all reportable incidents. For an incident to become a reportable incident it must satisfy the following two requirements:

The incident must be defined as a reportable incident in section 73Z(4) of the Act and section 16 of the NDIS (Incident Management and Reportable Incidents) Rules 2018

The incident must have occurred or be alleged to have occurred in connection with the provision of supports or services you’re providing

Subsection 73Z(4) of the NDIS Act states that reportable incident means:

the death of a person with disability; or

serious injury of a person with disability; or

abuse or neglect of a person with disability; or

unlawful sexual or physical contact with, or assault of, a person with disability; or

sexual misconduct committed against, or in the presence of, a person with disability, including grooming of the person for sexual activity; or

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.

6.2        How to Report Incidents

Internal Reporting of an Incident

Workers are fully supported and encouraged by the Company to report any incident or raise or make a complaint on behalf of a person with disability to the registered NDIS provider or to the NDIS Commission. All workers must comply with the incident management     system        and    be aware      of     their   roles  and responsibilities in identifying, managing and resolving incidents and in preventing incidents from reoccurring.

All Workers should report incidents to their immediate Supervisor, Manager or Company Director (as appropriate).

6.2.1 NDIS Reporting of an Incident

The Company will report all reportable incidents through the NDIS Commission’s website:

Incident management and reportable incidents (NDIS providers) | NDIS Quality and Safeguards Commission (ndiscommission.gov.au)

6.3        Timeframes for Reporting an Incident.

When a reportable incident occurs or is alleged to have occurred in connection with the NDIS supports or services we deliver, we must notify the NDIS Commission within the required timeframes (set out below). The timeframes are calculated from when we as a registered NDIS provider became aware that the incident occurred or was alleged to have occurred.

Most reportable incidents must be notified to the NDIS Commission within 24 hours of a provider’s key personnel being made aware of the incident. A more detailed report about the incident and actions taken in response to it is required within 5 working days.

The NDIS Commission must be notified of the use of unauthorised restrictive practices within five business days of a provider’s key personnel being made aware of the incident. If there is a harm to the participant, it must be reported within 24hours as the relevant reportable incident category, such as serious injury or abuse. A final report may also be required within 60 days of submitting the five-day report.

The NDIS Commission will advise providers if a final report is required.

Reportable incident

Required timeframe

death of a person with disability

24 hours

serious injury of a person with disability

24 hours

abuse or neglect of a person with disability

24 hours

unlawful sexual or physical contact with, or assault of, a person with disability

24 hours

sexual misconduct committed against, or in the presence of, a person with disability, including grooming of the person for sexual activity

24 hours

the use of a restrictive practice in relation to a person with disability if the use is not in accordance with a required state or territory

Five business days

6.4        Recording Reportable Incidents

6.4.1   Internal Recording of an Incident

All reportable incidents will be initially captured on the Company’s NDIS Accident and Incident Report and Investigation Form and recorded in the NDIS Accident and Incident Register.

6.4.2   NDIS Recording of an Incident

Managers are responsible for notification and recording of the reportable incident to the NDIS Commission.

To notify the NDIS Commission of a reportable incident:

Notify us about a reportable incident | NDIS Quality and Safeguards Commission (ndiscommission.gov.au)

Submit a detailed report. A more detailed report about the incident an action taken in response to it should be completed within five business days.

Submit a final report. If required, a final report within 60 business days of submitting the five-day report may be required as advised by the NDIS Commission.

6.5        Supporting and Assisting the Impacted Person of an Incident

The Company will provide support and assistance to the impacted person of an incident (including information about access to advocates and support), to ensure their health, safety and wellbeing.

When an incident occurs irrespective of whether it is reportable or not, the Company will take action to ensure the safety and wellbeing of people involved in the incident (including people with disability, and workers and other people where the incident involves an act by a person with disability).

Where it is alleged or suspected that a criminal offence has occurred, or where there is ongoing danger, the Company will contact the Police and other relevant emergency services. To ensure safety immediately after an alleged or suspected criminal conduct toward a person with disability, or where there is ongoing danger we will:

·       Ensure the impacted person is safe from harm

·       Contact Police if there is a risk of immediate harm which requires their assistance

·       Contact the ambulance if someone is injured

·       Notify key personnel, and the NDIS Commission if required

·       An impacted person may decide not to participate in a victim interview or provide a witness statement regarding the alleged offence, and we will respect the impacted person’s decisions.

6.6        Incident Investigation

The Company is vigilant in ensuring all accident and incidences including near misses are recorded and investigated and investigated. Thorough investigations will be undertaken with actions assigned, recommendations for improvement tabled and analysis of root cause identified. Where applicable further training and learnings will be rolled out to assist in the prevention of any re-occurrence.

The purpose of an investigation is to establish the causes of a particular incident, its effect on the impacted person, and any operational issues that may have contributed to the incident occurring.

When it is identified or disclosed that an allegation or incident has occurred, we will take steps to ensure the safety of people with disability and undertake an assessment to determine:

·       Why the incident occurred

·       Whether the incident could have been prevented

·       How well the incident was managed and resolved

·       What, if any, regulatory action needs to be undertaken to prevent further similar incidents from occurring, or to minimise their impact

·       Whether other people or bodies need to be notified of the incident

If we are unable to establish the root cause of an incident, do not have the required expertise within our organisation, or there is a conflict-of-interest present and in the case of reportable incidents, we may choose to engage an external party to undertake an investigation.

The appointed investigator will be impartial and objective and maintain independence throughout the investigation and will have appropriate decision-making authority and overall responsibility for coordinating and directing the investigation.

The investigator will be appropriately trained and have the experience required for conducting incident investigations. They will be responsible for overseeing the investigation process and gathering the relevant evidence and facts to ensure that there is an in-depth understanding of the incident. The investigator may recommend seeking internal or external experts to advice on matters relating to the investigation.

The appointed investigator could be:

·       Someone from a different part of your organisation

·       Someone from another registered NDIS provider

·       An external party with the skills and experience to conduct the investigation

To ensure that investigations are fair, we will manage any actual or perceived conflict of interest in relation to the incident investigation.

A conflict of interest refers to a situation where the personal or professional interests of an investigator could influence the performance of official duties or responsibilities in the investigation.

A conflict of interest can be actual or perceived. An actual conflict of interest relates to any personal, professional or financial interest that may compromise the investigator’s objectivity and impartiality. A perceived conflict of interest occurs where it could reasonably be perceived or appears that a competing interest could influence the investigator’s decisions.

6.7        Learnings from Incidents and Corrective Actions

Incidents provide an opportunity to review practices and procedures and identify where improvements in service quality and safety can be made.

The Company will take corrective actions where

·       Where an incident may have been prevented (or the severity lessened) by some action (or inaction) by our workers

·       Where there is an ongoing risk to people with disability

·       Where action by us may prevent or minimise the risk of a reoccurrence

Our assessment process will be taken into consideration:

·       The views of people with disabilities impacted by the incident

·       What we have learnt and could improve on

Corrective actions aimed at reducing the likelihood of the same type of incident occurring in the future may include:

·       Training and education of workers

·       Modification of the environment

·       Development or amendment of a policy or procedure

·       Changes in the way in which support or services are provided

·       Other practice improvements

·       Disciplinary action for the worker involved in the incident including ongoing performance reviews, imposing a probationary period, or termination of employment

Restorative actions that aim to repair the relationship with the person with the disability may include:

·       Providing ongoing support to the person with disability impacted by the incident

·       Giving an apology to the person with disability involved in the incident

In addition, our assessment and investigation may result in us determining that no further action is necessary.

Our incident management process includes periodic review of our system and the identification and resolution of systemic issues in relation to incidents with the aim of improving the overall quality of the support and services delivered to NDIS people with disability and preventing the likelihood of incidents occurring again.

7     Records Management and Document Control

All relevant information obtained and generated throughout this procedure will be saved in the Company records management system and will ensure appropriate controls are maintained in relation to the privacy and confidentiality of information, particularly where it relates to people with disability receiving NDIS supports and services. This includes ensuring that personal and sensitive information, including incident reports, are securely stored and when transmitted (either within their organisation, to other parties such as Police, or in the case of reportable incidents, to the NDIS Commission), so that privacy and confidentiality is maintained.

The Company recognises failure to do so could prejudice any subsequent investigation and legal processes and could cause unnecessary trauma to people with disability the impacted person or the subject of an allegation.

All amendments to the Procedure will be recorded in the Company Documented Information Register.