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Risk, Incidents and Complaints Management Resources

Key benefits

These resources support providers to understand and meet registration conditions and engage with the NDIS Practice Standards.
Support continuous quality improvement to raise both the standard and safety of service delivery to NDIS Participants.
Forms part of NDS's NDIS Quality and Safeguards Resource Library

Who is this for?

This guide is most suited to sole traders, small and medium sized organisations, however large organisations may find the guide and associated resources useful when scaled appropriately and proportionality applied.

Resource Library

About this resource library
Interactive guide
Investigations
CALD Resources
Risk Management
Complaints Management
Incidents Management
Risk, Incidents, Complaints and Compliance Register
Training and events

About this resource library

Why managing risk, incidents and complaints is important

A well-managed risk, incidents and complaints system will help drive safer and good quality outcomes for people with disability and meet the regulatory requirements of the NDIS Commission.

"A good risk, incidents and complaints system is really about being a responsible business owner and provider. You really need to be on top of things when things go wrong as well as when things go right and when you have good systems in place, that are easy to use – it’s about good governance" Source: Film

These resources have been developed for individuals/sole traders and small and medium sized providers and can be adapted for an individual service's needs and size. They will assist to implement systems and processes that will drive good quality outcomes for people with disability and help meet some of the regulatory requirements of the NDIS Commission.

Risk Incidents and Complaints Management Resource Guide All resources can be found in the Risk, Incidents and Complaints Management Resources Guide. Download the iPDF onto your desktop for easy access to over 50 risk, incidents, complaints, investigations and CALD resources including editable templates, checklists, infographics, Excel registers, film, animations, translations, relevant NDIS documents, Zero Tolerance resources, staff training recommendations plus tips, FAQ and reflections.

Interactive guide – iPDF

Using this interactive document

After downloading the document, it is recommended to take time to explore the contents. Use the icons on the landing page and the buttons at the bottom of each page (navigation menu) to take you to the relevant chapter and words highlighted in green underline (hyperlinks) will take you to the relevant document, resource, or tool.

Note: These resources and guide are designed to guide and support and will require customisation and should not be relied upon in and of themselves to meet your audit and quality obligations.

The accessible version is currently being updated and will be available soon.

Download Interactive Resource Guide (PDF 3MB)

Training and events relating to Risk, Incidents and Complaints are also available.

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Investigations

Investigations play a key role in providing safer and better-quality services by helping providers learn from mistakes and prevent future incidents. The process can also help with rebuilding trust and relationships when something has gone wrong.

These resources have been developed to support disability services to undertake investigations and are intended for use by staff who have the responsibility for conducting investigations as part of their role. Download the Risk, Incidents and Complaints Management Resource Guide above, and click on the Investigations icon for all the resources and animation.

Note: The resources are general in nature and are to be used as a guide.

Conducting Investigations Policy Checklist [PDF | Accessible doc]
Conducting Investigations Guide [PDF | Accessible doc]
For participants - how we investigate incidents [PDF | Accessible doc]
Investigation Procedure Checklist [PDF | Accessible doc]
Investigation Action Plan Template [PDF | Accessible doc]
Identification and Analysis of Evidence [PDF | Accessible doc]
Investigation Interview Tips [PDF | Accessible doc]
Communication Plan Handout [PDF | Accessible doc]
Investigation Animation

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CALD Resources

Seeking feedback from participants and families is an important part of providing a quality service. Feedback gives service providers an indication of how services are being received and if there are areas where they can be improved.

A major barrier to CALD Australians interacting with feedback and complaints systems is a lack of trust and fear of negative repercussions. To be confident to give feedback or make a complaint, a person must know that they can complain and be aware of the available complaints processes. Download the Risk, Incidents and Complaints Management Resource Guide above, and click on the CALD icon for all the translated resources.

Note: The resources are general in nature and are to be used as a guide.

The four As of Complaints - Animation

It's ok to complain - Infographic

Complaints handling for staff - Infographic

How we deliver safer services - Infographic

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Risk Management

What good risk management looks like infographic [PDF | Accessible doc]
Risk Management Policy checklist - Verification [PDF | Accessible doc]
Risk Management Policy checklist - Certification [PDF | Accessible doc]
Risk Management Plan checklist PDF | Accessible doc]
Worker Health and Safety Management policy [PDF | Accessible doc]
Insurance Management Policy [PDF | Accessible doc]
How we deliver safer services infographic [PDF | Accessible doc]
Introduction Film: Why is risk, incidents and complaints management important?
Animation: Continuous Quality Improvement

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Complaints Management

What good complaints management looks like infographic [PDF | Accessible doc]
Complaint Feedback Policy and Procedure Checklist [PDF | Accessible doc]
It is OK to complain infographic [PDF | Accessible doc]
Incident Complaint feedback and CQI Record form [PDF | Accessible doc]
Complaint Handling for Staff training [PDF | Accessible doc]
Animation: The 4 A’s of Complaints

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Incidents Management

What good incident management looks like infographic [PDF | Accessible doc]
Incident Management Policy and Procedure Checklist [PDF | Accessible doc]
Incident Management resources for staff training [PDF | Accessible doc]
Incident Complaint feedback and CQI Record form [PDF | Accessible doc]
Conducting Investigations Booklet [PDF | Accessible doc]
Whistle Blower Protection policy [PDF | Accessible doc]
NDIS Commission reportable incidents resources [PDF | Accessible doc]
Animation: What role does your staff play in risk incidents and complaints management?

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Risk, Incidents, Complaints and Compliance Register

How To Series of short videos

This How To Series of short videos give you an overview of the Risk, Incidents and Complaints Excel Registers. The registers are helpful for those new to using Excel registers to track organisational data and for those who wish to expand their skill to create and manage Pivot Tables to visually represent trending information, managing risk and best practice for archiving information. They complement the RICM registers providers can download and adjust to meet their needs.

The Complaint and Feedback Register is a working document that shows what complaints you have managed and are currently managing and it provides a record of the process followed and outcomes. It also provides a reporting tool for management to review trends. The register allows for monitoring patterns and trends to identify the way the service can improve.

The register is a working document that shows what incidents you have managed or are currently managing, and it provides a record of the outcomes and what action needs to be taken to address the identified incident.

It provides you with a way to ensure you keep a record of actions relating to responses or follow up actions to incidents and progress with these. It also assists you to demonstrate you are following the NDIS Commission (Incident Management and Reportable Incident Management) Rules 2018.

A risk register is where you document risks which you are currently managing that need to be monitored, and it provides a record of the output of the risk management process. There are many different types of risk register and it is important yours is meaningful for your needs and activities. Your register may have additional columns detailing things like review dates, risk trends and other comments.

This register shows the fundamental information your organization should be recording and monitoring for your risks. They are a working document that shows what action needs to be taken to address the identified risk.

This video shows how to create, individualize and maintain Pivot Tables in any of the RICM Registers, and also notes regarding saving / archiving of register files.

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Training and events

Training and events relating to Risk, Incidents and Complaints are also available.

Supported and funded by the Australian Government

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Contact information

For any enquiries, please contact Sarah Nicoll, Head of Quality and Safeguards, sarah.nicoll@nds.org.au