Allied Health NDIS Registration Support

Pathways / Verification Overview

Incident Management

Why do we have to do this?

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NDIS want to know:

What are auditors looking for?

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Auditors want to see:

Next steps

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  • REVIEW the provided documents
  • LOOK at the spiel
  • CUSTOMISE the documents to reflect your practice
  • ADOPT the documents

Incident Management Spiel

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The ‘spiel’ is the text you will use in the body of your NDIS registration application. You need to understand it and change it if you are not able to do what it says.

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Incident Management Policy and Procedures

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Why do I need this document?

The Incident Management Policy outlines the system your business has in place to acknowledge, record and manage any incidents.

Take your time to read this policy. It is quite complex as some incidents need to managed in a different way to others and reported to different authorities. These vary from State/Territory to State so you need to be certain you have the correct details for your jurisdiction. We have given you the links for key areas e.g. mandatory reporting, WorkSafe.

As most AHPs see a variety of clients and age groups, we have also provided guidance on incident reporting beyond NDIS participants (Note: this does not necessarily cover every situation for your client group / funding bodies). You can just delete any sections that are not relevant to your business e.g. if you do not provide services to children or older people.

The NDIS wants to know that you are VERY clear about what needs to be done for which incidents. This does NOT mean you and your team need to be able to recite the policy! Rather, you are aware of what needs to be reported to them and that you have a readily accessible and complete policy document and forms you can refer to for answers so you can respond accordingly.

Why the auditors like it

They can see you:

  • have an Incident Management System that demonstrates you meet the relevant NDIS Rules
  • keep a register of all incidents
  • manage incidents appropriately
  • know your reporting obligations of serious incident
Next steps
  • WATCH the webinar
  • OPEN the Incident Management Policy
  • READ the policy carefully
  • CUSTOMISE the policy to your business. Note that you will need to investigate your state/territory requirements, add as appropriate and delete sections that are not relevant to your business
  • ADOPT the policy
  • TRAIN any workers you have in the policy and the associated procedures

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Incident and Complaint Report

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Why do I need this document?

The Incident and Complaint Report is the form you will fill in to formally acknowledge an incident or complaint.

It is a great form to record the nature of the incident or complaint and your intended follow-up actions.

If it is a client/participant incident you should also make a record in the client’s progress notes referring to this report.

Why the auditors like it

They can see:

  • you have a way to record incidents and complaints
  • what follow up action you planned
  • the outcome once you have implemented the actions
  • you have given consideration to whom you should report this incident/complaint.
Next steps
  • OPEN the Incident and Complaint Report
  • TRIAL the report and determine if it will work for you
  • CUSTOMISE the report if required
  • ADOPT the form
  • EDUCATE your team if applicable on the purpose and use of the form

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Incident Investigation Form

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Why do I need this document?

The Incident Investigation Form assists you to demonstrate your understanding of the need to investigate more serious incidents in order to prevent recurrence and possible harm to NDIS participants and others.

This form needs to be used if you feel there is any chance of litigation or if it is a notifiable incident. If you do need to undertake an in-depth investigation of an incident, we recommend best practice is to engage a third party to avoid conflict of interest.

This Worksafe Queensland resource is a useful guide to investigations. Whilst it is focused on worker injury, it also provides a great structure for trying to get to ‘root causes’.

Why the auditors like it

They can see:

  • you recognise the need to investigate more serious incidents
  • you have a means to record formal investigations
  • what follow up action you planned and the outcomes
Next steps
  • OPEN the Incident Investigation Report Form
  • TRIAL the form and understand what each field is asking for
  • CUSTOMISE the report if required
  • ADOPT the form
  • EDUCATE your team, if applicable, on the purpose and use of the form

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Incident and Complaints Register

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Why do I need this document?

The Incident and Complaint Register maintains a history of:

  • all incidents and complaints you have acknowledged
  • how they have been managed
  • the outcomes.

It provides you with a management tool to ensure all incidents and complaints are managed effectively and you are actually following up with your intended actions.
This document assists you to demonstrate you follow the NDIS (Incident Management and Reportable Incidents) Rules 2018.

Auditors will particularly want to see at your next audit (in 3 years’ time) that the register has been actively used and the policy has been followed!

Why the auditors like it

They can see:

  • you have a way to record and managed incidents and complaints
  • you have involved participants in the investigation of incidents and determining actions and outcomes
  • at a glance what follow up actions you have planned and completed
  • the effectiveness of the actions in particular the participants response
  • you have taken away learnings from the incidents and made changes to systems for improvement
Next steps
  • OPEN the Incident and Complaint Register
  • DETERMINE a start date and insert into register
  • INSERT data into the register for current incidents and complaints
  • REVIEW register regularly

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NDIS Service Agreement

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Why do I need this document?

The purpose of the NDIS Service Agreement is to ensure you and your participants have an agreed set of expectations as to how services will be delivered.

The Service Agreement sits alongside the Support Plan. The Service Agreement informs the participant of the general cost of services e.g. the hourly rate for service, the travel rate and the cancellation policy. Their Support Plan details the number of services and the associated cost. We feel this is preferable so when you review your Support Plan you do not need to issue a new full Service Agreement. If you have already set up a system that works for you, consider the need for change – it may not be necessary.

You need to demonstrate that you inform your participants:

  • of the cost of services
  • the period of the service agreement
  • of their rights
  • of your responsibilities as the provider and theirs as the participant
  • how you endeavour to maintaining their privacy
  • how to make a complaint
  • of the cancellation policy
  • how to end the services agreement

Obtaining consent is critical – the NDIS Service Agreement summarises six different consents. Two of the consents are about participating in quality improvement activities. It is much easier to obtain this consent at the commencement of services.

Why the auditors like it

They can see:

  • you have informed participants appropriately before commencing services
  • you have obtained appropriate consents
Next steps
  • OPEN the NDIS Service Agreement
  • READ the NDIS Service Agreement and ensure it reflects your practices
  • CUSTOMISE the NDIS Service Agreement if required
  • ADOPT the form
  • EDUCATE your team, if applicable, on the purpose and use of the form

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