Incident reporting- National
Disability Insurance Scheme
Information for organisations funded under the Victorian
HACC Program for Younger People
March 2017
Purpose
This incident reporting process guide has been developed to assist organisations funded under the HACC Program
for Younger People Program (HACC PYP) that are registered as Victorian approved National Disability Insurance
Scheme (NDIS) providers. This guide will help providers to understand their incident reporting requirements during the
transition to the NDIS.
This guide relates to the Health Incident Reporting Instruction (updated May 2013).
<http://www.dhs.vic.gov.au/funded-agency-channel/about-service-agreements/incident-reporting/health>
Please note that different Incident Report forms are used for:

Victorian approved NDIS providers of disability services specifically for the support of persons with a disability
within the meaning of the Disability Act 2006;
(See information on critical incident reporting for disability support providers)
<http://www.dhs.vic.gov.au/funded-agency-channel/about-service-agreements/incident-reporting/humanservices>

Victorian approved NDIS providers of early childhood supports (0-6 years).
(See information on critical incident reporting for early childhood support providers)
<http://www.education.vic.gov.au/childhood/providers/needs/Pages/ecispublications.aspx#link19>
The incident reporting requirements are applicable to service providers delivering NDIS funded supports that are in
scope of Victoria’s quality and safeguarding requirements. Please refer to the Victorian section of the Guide to
Suitability, available in the NDIS provider toolkit, <https://www.ndis.gov.au/providers/provider-toolkit.html>
Quality and safeguards arrangements during transition
Under the Bilateral Agreement for Transition to the NDIS between the Commonwealth and Victorian Government,
Schedule F, Commonwealth and Victorian Governments made a commitment that existing quality and safeguards
would continue to operate during transition to the NDIS.
This commitment is given effect by the Victorian Quality and Safeguards Working Arrangements for Transition (the
Victorian Working Arrangements) – an agreement between the Victorian Government, the Commonwealth
Government and the National Disability Insurance Agency (NDIA). The Working Arrangements took effect on
1 July 2016 and will operate until 30 June 2019. The Victorian Working Arrangements can be found at the NDIS
website, <https://www.ndis.gov.au/providers/vic-registering-provider.html>
Under these arrangements, the Victorian Government will retain responsibility for operating quality and safeguards for
disability services transitioning to the NDIS until the national quality and safeguards framework is implemented.
Context
All Victorian approved NDIS providers are responsible for the safety of their participants and workforce. Consistent
with this responsibility, providers are required to:

deliver services in such a way that optimise the safety of all participants and the workforce

proactively manage incidents and eliminate or minimise risks that may impact on participant and workforce safety

have robust management systems and processes

work with participants and staff to resolve the issue that caused the incident and take action to improve the safety
of the service.
Incident reporting supports the provision of high quality services to clients through the full and frank reporting of
adverse events and subsequent analysis and actions. A key reason for reporting incidents is to learn from them and
take action to prevent their recurrence.
Reporting and appropriately managing critical incidents is a requirement for maintaining Victorian approved
NDIS provider status.
Incident reporting
Organisations funded under HACC PYP that are Victorian approved NDIS providers must report Category 1 incidents
that involve or impact upon an NDIS participant during service delivery to the Department of Health and Human
Services (the department). This includes when a staff member is with the participant and when the participant is at the
provider’s premises. A report may be required for incidents that occur off-premise or outside of service delivery where
there is a direct and obvious relationship to, and impact on the delivery of service. N.B: All incident reports are to
contain non-identifiable client information.
Incidents are graded according to the actual impact on clients and staff, and the potential future risk to clients and the
department.
There are three categories of incidents, and in grading them, consideration is given both to the actual impact or
apparent outcome for client and staff, and to the likelihood of recurrence (refer Table 1).
It is not feasible to list every possible type of incident, and it is expected that senior staff will use their judgement in
considering the sensitivity and appropriate grading of individual incidents.
It is expected practice that all physical and sexual assaults occurring on-site, during service delivery, or where there is
direct involvement of the service or its staff, will be reported to the police.
If the alleged incident involves a child, reporters of the incident should be aware of any mandatory reporting
responsibilities as outlined in the Children, Youth and Families Act 2005. This includes reporting child welfare
concerns to child protection.
Further information on supporting victims and reporting allegations of sexual assault can be found in the Responding
to allegations of physical and sexual assault instruction located at on the Department of Health and Human Services
Funded Agency Channel. <http://www.dhs.vic.gov.au/funded-agency-channel/about-service-agreements/respondingto-allegations-of-physical-or-sexual-assault>
In addition to reporting incidents to the department NDIS providers should be aware of any other requirements to
register/record incidents internally or externally, for example, the Office of the Chief Psychiatrist, Mental Health
Complaints Commissioner, for accreditation, insurance or legislative compliance.
Table 1 Summary of Incident categories and requirements.
Category
Category description
Incident type examples
Reporting timeframe
1
A category one incident is an incident
that has resulted in a catastrophic
An unexpected death of a client
Within one working day
outcome, such as death or severe
trauma.
2
Allegations of, or actual serious
physical or sexual assault
Category two incidents involve events
An injury for which a person
Category two incidents do not
that seriously threaten clients or staff,
but do not meet the category one
attends and/or receives treatment
by a medical practitioner, but is not
need to be reported to the
department.
definition.
admitted to hospital as an inpatient
Serious threats made against
clients or staff
3
Category three incidents occur where
Can be dealt with adequately by
Category three incidents do
normal work and routine is interrupted,
but the significance of the incident does
the organisation
not need to be reported to the
department.
not extend beyond the workplace or
facility.
Have a minor impact on the client
Incident reporting process for Victorian approved NDIS providers
1. All in scope NDIS providers are required to:

Comply with the department’s Incident reporting instruction (May 2013) available at the Department of Health
and Human Services Funded Agency Channel <http://www.dhs.vic.gov.au/funded-agency-channel/aboutservice-agreements/incident-reporting/health>

Act in accordance with this policy in the same way as a DHHS funded provider.
2. In any incident:

The first step is to make sure participants and staff are safe

A Client Incident Report form must be completed and submitted to the department. The form can be
downloaded from the Department of Health and Human Services Funded Agency Channel
<http://www.dhs.vic.gov.au/funded-agency-channel/about-service-agreements/incident-reporting/health>

The report includes immediate actions that have been taken and planned follow-up actions

The reporting staff member completes the form (i.e. the most senior staff member present at the time of the
incident)

NDIS provider’s manager or CEO signs off

The reporting staff member contacts the relevant divisional office to advise in advance that an incident report
is being submitted (refer to Divisional Office contact details below)

The incident report form is submitted to the relevant divisional office via the incident report email addresses
(refer to Incident Reporting Division Office email addresses below). The incident report is sent to the divisional
office where the service is delivered to the client and in which the incident occurred.
3. NDIS Provider Monitoring and Incident Reports

As part of the NDIA’s Terms of Business for Registered Providers departmental staff will monitor NDIS
providers to maintain high quality and robust safeguards for NDIS participants

This includes departmental staff monitoring compliance with incident management and reporting

NDIS providers must maintain a critical client incident register or database and conduct regular review and
analysis of the information for trends, learnings and service improvement to prevent similar events recurring.
Help and Assistance
For help and assistance, in scope NDIS providers should always seek advice from their relevant divisional office
contacts.
Divisional Office contact details
North Division Health
Fitzroy 9412 5333, Bendigo 5434 5555
South Division Health
Dandenong 8765 5444, Traralgon 5177 2500
East Division Health
Box Hill 9843 1703, Wodonga 02 6055 7889
West Division Health
Footscray 1300 360 462, Geelong 5226 4731, Ballarat 5333 6008
Incident Reporting Division Office email addresses
West Division Health
Barwon South West - [email protected]
Grampians - [email protected]
West Metropolitan - [email protected]
South Division Health
Gippsland - [email protected]
Southern Metropolitan - [email protected]
East Division Health
Hume - [email protected]
East Metropolitan - [email protected]
North Division Health
Loddon Mallee - [email protected]
North Metropolitan - [email protected]
To receive this publication in an accessible format phone 9096 5111, using the National Relay
Service 13 36 77 if required.
Authorised and published by the Victorian Government, 1 Treasury Place, Melbourne.
© State of Victoria, Department of Health and Human Services March 2017