Introduction

Within the National Disability Insurance Scheme (NDIS), the safety and wellbeing of participants is a critical concern for providers. Registered NDIS providers must establish robust incident management systems to address and investigate serious occurrences, referred to as “reportable incidents.” These incidents, ranging from serious injury to abuse or neglect, require prompt attention to mitigate risks and ensure compliance with the NDIS Commission’s standards.

This article aims to provide a comprehensive overview of how NDIS providers can effectively conduct investigations into reportable incidents. It also covers post-investigation requirements and highlights situations where external investigators are necessary.

What are Reportable Incidents?

A reportable incident involves any serious occurrence that happens during the provision of NDIS supports or services. These incidents often result in or could cause harm to participants. NDIS providers must investigate these incidents thoroughly, document their findings, and report them to the NDIS Quality and Safeguards Commission within specified timeframes. The six key categories of reportable incidents are:

1. Death of a person with a disability – Any death that occurs in connection with the services provided must be reported, regardless of cause or location.

2. Serious injury of a person with a disability – This includes severe injuries such as fractures, significant cuts, burns, or any injury requiring hospitalisation.

3. Abuse or neglect – Instances of physical, psychological, or financial abuse, as well as neglect that leads to harm, must be reported.

4. Unlawful physical or sexual contact – Any unlawful physical or sexual contact, whether an assault or another form of unlawful contact, constitutes a reportable incident.

5. Sexual misconduct – This includes sexual harassment, inappropriate behaviour, and grooming for sexual activity in connection with NDIS service provision.

6. Unauthorised use of restrictive practices – This refers to the use of any restrictive practices, such as physical restraint, that are not part of a behaviour support plan or are not authorised.

Why Effective Incident Management Matters

NDIS providers are legally required to establish an effective incident management system that aligns with their organisation’s size and scope of services. These systems must be designed to quickly identify incidents, report them, and take appropriate action to protect participants and prevent future occurrences. The investigation process should prioritise the participant’s safety and wellbeing while aiming to uncover the root causes of incidents.

A well-designed incident management system provides several key benefits:

• Transparency and accountability: Providers must be accountable for how incidents are managed and ensure that their actions can be audited by the NDIS Commission if necessary.

• Continuous improvement: Every incident provides an opportunity for the provider to learn and make systemic improvements to prevent similar incidents in the future.

• Participant safety: Most importantly, effective incident management ensures that the people receiving NDIS supports are protected from further harm, and necessary steps are taken to safeguard their rights.

Stages of the Investigation Process

Once a reportable incident occurs, NDIS providers must follow a structured process to manage and investigate it. This process involves three key stages: identification and notification, investigation and action, and reporting the findings.

1. Identification and Notification

The first step in handling a reportable incident is recognising its occurrence and notifying the NDIS Commission. For most reportable incidents, providers must notify the Commission within 24 hours of becoming aware of the event. In cases involving the unauthorised use of restrictive practices without injury, the notification deadline extends to five business days. The initial notification must include essential information such as the time, date, and location of the incident, the persons involved, and any immediate actions taken to address the issue.

Providers must ensure that all workers understand the process for identifying and reporting incidents. In smaller organisations, it may be necessary to assign specific personnel to handle these responsibilities.

2. Investigation and Action

Once an incident is reported, the next step is to investigate it thoroughly. The scope of the investigation will depend on the severity of the incident. For example, a serious injury caused by an unsafe environment may require a more comprehensive investigation than a minor incident involving low-level staff misconduct.

The investigation process should include:

• Collecting information: This involves interviewing staff, witnesses, and participants involved in the incident. Providers should gather documentation such as medical reports, staff training records, and any relevant emails or communications.

• Determining the root cause: Understanding why the incident occurred is essential for preventing future incidents. If a staff member’s lack of training contributed to the event, the investigation should identify this gap and recommend corrective measures.

• Ensuring participant support: During the investigation, providers must continue to support the participants affected by the incident. This might involve arranging counselling services or ensuring the person’s medical needs are addressed.

• Legal compliance: For incidents involving criminal conduct, such as unlawful physical or sexual contact, providers may need to coordinate with law enforcement. Providers must also comply with all applicable laws, including those governing mandatory reporting of criminal activity.

3. Final Report and Continuous Improvement

After the investigation, NDIS providers must compile their findings into a final report for submission to the NDIS Commission. The report should outline the details of the incident, the steps taken to investigate it, and any corrective actions taken. It should also include recommendations for preventing similar incidents in the future. This final report is crucial for demonstrating the provider’s compliance with the NDIS Commission’s standards.

NDIS providers are encouraged to view each investigation as an opportunity for continuous improvement. By analysing incidents and implementing lessons learned, providers can reduce the likelihood of repeat occurrences and improve the overall quality of their services.

When Should an External Investigator Be Used?

There are certain situations where it may be more appropriate to engage an external investigator to handle the investigation. External investigators bring an impartial perspective and additional expertise that can be particularly useful in complex or sensitive cases. Examples of when to consider using an external investigator include:

• Conflicts of interest: If the incident involves senior staff members or individuals close to those managing the investigation, an external investigator can ensure impartiality.

• Complex incidents: For incidents involving multiple parties, unclear circumstances, or serious legal implications, an external investigator with specialised skills may be better equipped to handle the case.

• Criminal conduct: If the incident involves potential criminal activity, such as sexual misconduct or physical assault, engaging an external investigator can help ensure the investigation is handled appropriately and that any evidence is preserved for legal proceedings.

External investigators can also provide a level of transparency that may be critical in rebuilding trust with participants and their families following a serious incident.

What Happens After an Investigation?

Following an investigation, NDIS providers must implement any recommended corrective actions to address the underlying causes of the incident. These actions might include:

• Staff retraining: If the incident resulted from a lack of training, the provider should ensure that all relevant staff undergo additional training to prevent similar occurrences in the future.

• Policy changes: In some cases, providers may need to revise their internal policies or update their procedures to align with the findings of the investigation.

• Participant care: Providers must ensure that affected participants receive appropriate follow-up care and support. This may involve medical treatment, psychological counselling, or changes to the participant’s service delivery plan.

Conclusion

NDIS providers play a vital role in ensuring the safety and wellbeing of people with disabilities. Conducting thorough investigations into reportable incidents is a fundamental responsibility for all providers, helping to maintain high standards of care and prevent future harm.

By establishing effective incident management systems, knowing when to engage external investigators, and acting on investigation findings, NDIS providers can foster a safe environment for their participants. Continuous improvement through incident investigation not only strengthens compliance but also reinforces the provider's commitment to delivering high-quality, person-centred care.

 

At Insight Investigations Investigations Pty Ltd we have a small team of highly experienced investigators if you need help with a workplace investigation please reach out.