Disability Services and Inclusion (Complaints and Incidents Management) Rules 2023

This instrument prescribes mandatory rules for complaints and incident management for entities that receive money or grants under section 13 of the Disability Services and Inclusion Act 2023 (the Act). It operates as subordinate rules made under the Act (s 3) and commences on the later of the date the Act commences and the day after registration, with a stated commencement day of 1 January 2024 where paragraph (a) applies (s 2). The rules apply to a covered person, defined as a person to whom money may be payable under an arrangement made under s 13 of the Act, or a person who receives a grant of financial assistance under s 13 (s 4).

Mechanically, the instrument requires two systems to be implemented and maintained by each covered person: a complaints management and resolution system (Part 2, Divisions 1-2: see ss 5-12 and 7-11) and an incident management system (Part 3, Divisions 1-3: see ss 13-21 and 22-31). Both systems must be documented, accessible to specified stakeholders (including persons with disability, their families, carers and advocates, and employees), periodically reviewed for effectiveness (ss 8(8), 18(6)), and provide for procedural fairness when dealing with complaints or incidents (ss 9, 19).

The incident management system must cover a broad class of incidents: those that occur in connection with supports or services and have or could have caused harm to a person with disability, acts by persons with disability that cause or risk serious harm to others, and reportable incidents that are alleged to have occurred (s 17). The Division on reportable incidents sets out specific categories that qualify as reportable incidents: the death of a person with disability; serious injury; abuse or neglect; unlawful sexual or physical contact or assault; sexual misconduct including grooming (s 22(2)). Reportable incidents include allegations (s 23).

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Commonwealth Coat of Arms of Australia

Disability Services and Inclusion (Complaints and Incidents Management) Rules 2023

I, Amanda Rishworth, Minister for Social Services, make the following rules.

Dated 15 December 2023

Amanda Rishworth

Minister for Social Services

Contents

Part 1—Preliminary

1 Name

2 Commencement

3 Authority

4 Definitions

Part 2—Complaints management and resolution

Division 1—Introduction

5 Simplified outline of this Part

6 Purpose of this Part

Division 2—Complaints management and resolution system requirements

7 System must comply with this Part

8 Complaints management and resolution system requirements

9 System must afford procedural fairness

10 Documentation, record keeping and statistics

11 Roles, responsibilities, compliance and training of workers

12 Referring complaints

Part 3—Incident management

Division 1—Introduction

13 Simplified outline of this Part

14 Purpose of this Part

15 Incidents that are also reportable incidents

Division 2—Incident management system requirements

16 System must comply with this Division

17 Incidents that must be covered

18 Incident management system procedures

19 System must afford procedural fairness

20 Documentation, record keeping and statistics

21 Roles, responsibilities, compliance and training of workers

Division 3—Reportable incidents

22 Notifying and managing reportable incidents

23 Reportable incidents include alleged reportable incidents

24 Duty of key personnel in relation to reportable incidents

25 Duty of workers to notify covered person of reportable incidents

26 Certain reportable incidents must be notified to the Department

27 Circumstances in which certain information relating to reportable incidents need not be obtained

28 Keeping the Department updated

29 Providing the Department with a final report

30 Record keeping

31 Action by the Department in relation to reportable incidents

Part 1—Preliminary

1 Name

This instrument is the Disability Services and Inclusion (Complaints and Incidents Management) Rules 2023.

2 Commencement

(1) Each provision of this instrument specified in column 1 of the table commences, or is taken to have commenced, in accordance with column 2 of the table. Any other statement in column 2 has effect according to its terms.

Commencement information
Column 1 Column 2 Column 3
Provisions Commencement Date/Details
1. The whole of this instrument The later of:(a) the day on which the Disability Services and Inclusion Act 2023 commences; and(b) the day after this instrument is registered. 1 January 2024(paragraph (a) applies)

Note: This table relates only to the provisions of this instrument as originally made. It will not be amended to deal with any later amendments of this instrument.

(2) Any information in column 3 of the table is not part of this instrument. Information may be inserted in this column, or information in it may be edited, in any published version of this instrument.

3 Authority

This instrument is made under the Disability Services and Inclusion Act 2023.

4 Definitions

Note: A number of expressions used in this instrument are defined in the Act, including the following:

(a) funding agreement;

(b) key personnel;

(d) statutory funding condition.

In this instrument:

Act means the Disability Services and Inclusion Act 2023.

covered person means a person:

(a) to whom money may be payable under an arrangement made under section 13 of the Act; or

(b) who receives a grant of financial assistance under section 13 of the Act.

employee, of a covered person, means a person who is employed or otherwise engaged by the covered person.

reportable incident has the meaning given by subsection 22(2).

Part 2—Complaints management and resolution

Division 1—Introduction

5 Simplified outline of this Part

This Part requires a person (a covered person) who is a party to a funding agreement under the Act to implement and maintain a system to manage and resolve complaints about the supports and services they provide.

The complaints management and resolution system must make sure that people can easily make a complaint and that all complaints are dealt with fairly and quickly.

Covered persons must make available information about how to make complaints to the covered person and how to raise complaints through other complaint and referral pathways, and must keep records about complaints that they receive.

6 Purpose of this Part

(1) This Part is made for the purposes of paragraph 15(4)(d) of the Act.

(2) It sets out the requirements for the complaints management and resolution system of a covered person.

Note: Failure by a covered person to comply with the requirements of this Part may constitute a breach of the third statutory funding condition of the funding agreement under the Act to which the covered person is a party (see subsection 14(2) of the Act) and may lead to the Minister taking action in relation to that agreement under subsection 14(6) of the Act.

Division 2—Complaints management and resolution system requirements

7 System must comply with this Part

A covered person must implement and maintain a complaints management and resolution system that complies with the requirements set out in this Part.

Note: The complaints management and resolution system must also be appropriate for the person’s size and the kinds of eligible activities provided and make provision in relation to advocates and other representatives of persons with disability (see paragraphs 15(4)(a), (b) and (c) of the Act).

8 Complaints management and resolution system requirements

(1) The complaints management and resolution system of a covered person must:

(a) enable any person to make a complaint (including an anonymous complaint) to the covered person about the supports or services provided by the covered person; and

(b) provide for an easy and accessible process for making and resolving complaints; and

(2) The process provided for in the system may vary, depending on the nature of the complaint.

(3) The system must require that:

(a) complaints are acknowledged, assessed and resolved in a fair, efficient and timely manner; and

(b) appropriate action is taken in relation to issues raised in complaints; and

(c) reasonable steps are taken to ensure that any person who makes a complaint to the covered person, and each person with disability affected by an issue raised in such a complaint, is advised how that complaint or issue may be raised through other complaint or referral pathways; and

(d) appropriate support and assistance is provided to any person who makes a complaint, and each person with disability, affected by an issue raised in a complaint to raise the complaint through, or otherwise engage with, other complaint or referral pathways.

(4) The system must also require that reasonable steps are taken to ensure that:

(a) a person who makes a complaint, or a person with disability affected by an issue raised in a complaint, is not adversely affected as a result of the making of the complaint; and

(b) information provided in a complaint is kept confidential and only disclosed if required or authorised by law.

(5) The system must provide that persons making a complaint:

(a) are appropriately involved in the resolution of the complaint; and

(b) are kept informed of the progress of the complaint, including any action taken, the reasons for any decisions made and options for review of decisions in relation to the complaint.

(6) The system must provide that a person with disability affected by an issue raised in a complaint:

(a) is kept appropriately informed of the progress of the complaint, including any action taken, the reasons for any decisions made and options for review of decisions; and

(b) is kept appropriately involved in the resolution of the complaint.

(7) The system must provide for the following details to be readily available and accessible to the public:

(a) how a complaint about the covered person can be made to the covered person;

(b) how a complaint about the covered person can be made through another complaint or referral pathway.

(8) The system must also provide for the periodic review of the system to ensure its effectiveness.

9 System must afford procedural fairness

The complaints management and resolution system of a covered person must require that people are afforded procedural fairness when a complaint is dealt with by the covered person.

10 Documentation, record keeping and statistics

(1) The covered person must:

(a) document the complaints management and resolution system; and

(b) provide copies of the documented system, and the information required by subsection 8(7), in a form that is accessible to the following persons:

(i) persons with disability receiving supports or services from the covered person, and their families, carers and advocates;

(ii) each employee of the covered person; and

Note: The documentation required by this subsection must relate only to the complaints management and resolution system itself, as information provided in individual complaints must generally be kept confidential (see paragraph 8(4)(b)).

(2) The system must provide that appropriate records of complaints received by the covered person are kept by the covered person, including the following, where appropriate:

(a) information about complaints;

(b) any action taken to resolve complaints;

(3) A record made for the purposes of subsection (2) must be kept for 7 years from the day the record is made.

Note: A covered person may be required to comply with other Commonwealth, State or Territory laws in relation to the retention of records.

(4) The system must provide for the collection of statistical and other information relating to complaints made to the covered person to enable the covered person to:

(a) review issues raised in complaints; and

(b) identify and address systemic issues raised through the complaints management and resolution process; and

(d) report information relating to complaints to other bodies that deal with complaints, if requested to do so by those bodies.

11 Roles, responsibilities, compliance and training of workers

(1) The complaints management and resolution system of a covered person must set out the roles and responsibilities of employees of the covered person in relation to the receipt, management and resolution of complaints made to the covered person.

(2) Without limiting subsection (1), the system must provide that each employee of the covered person must comply with the system.

(3) The system must include requirements relating to the provision of training to employees of the covered person in the use of, and compliance with, the system.

12 Referring complaints

The complaints management and resolution system of a covered person must require a complaint to be referred or notified to any other bodies in accordance with any requirements under relevant Commonwealth, State or Territory laws.

Part 3—Incident management

Division 1—Introduction

13 Simplified outline of this Part

This Part requires all covered persons to implement and maintain a system to record and manage certain incidents that happen in connection with providing supports or services to people with disability.

The incidents that must be recorded and managed are:

(a) incidents that have, or could have, caused harm to a person with disability receiving supports or services; and

(b) acts by a person with disability that happen in connection with the provision of supports or services and that have caused serious harm, or a risk of serious harm, to another person; and

The incident management system must set up procedures for identifying, assessing, managing and resolving such incidents. These procedures must specify things such as the people to whom incidents must be reported, how people with disability affected by an incident will be supported and involved in resolving the incident and when corrective action is required.

Covered persons must keep records about incidents, and must document their incident management system. Copies of the documented system must be available to certain people, including workers and persons with disability receiving supports or services from the covered person.

Certain incidents that happen, or are alleged to have happened, in connection with the provision of supports or services by covered persons are known as reportable incidents. These incidents include the death, serious injury, abuse or neglect of a person with disability and the use of restrictive practices in particular circumstances.

If a reportable incident occurs, or is alleged to have occurred, the covered person must give details about the incident to the Department. Details of certain incidents (such as the death of a person with disability) must be notified within 24 hours.

Covered persons must keep records about reportable incidents.

If the Department is notified about a reportable incident, the Department may take certain action, including requiring the covered person to undertake specified remedial action, carry out an internal investigation about the incident or engage an independent expert to investigate and report on the incident.

14 Purpose of this Part

(1) This Part is made for the purposes of paragraph 15(5)(b) of the Act.

(2) It sets out what must be included in the incident management system of a covered person.

(3) It is also provides for how reportable incidents that occur in connection with the provision of supports or services by covered persons are to be dealt with.

Note 1: Failure by a covered person to comply with the requirements of this Part may constitute a breach of the fourth statutory funding condition of the funding agreement under the Act to which the covered person is a party (see subsection 14(2) of the Act) and may lead to the Minister taking action in relation to that agreement under subsection 14(6) of the Act.

Note 2: This Part covers reportable incidents that are alleged to have occurred, as well as reportable incidents that have actually occurred (see section 23).

15 Incidents that are also reportable incidents

The requirements of Division 2 and the requirements of Division 3 must be complied with in relation to an incident if the incident is both:

(a) of a kind that is required to be covered by an incident management system (see section 17); and

(b) a reportable incident.

Division 2—Incident management system requirements

16 System must comply with this Division

A covered person must implement and maintain an incident management system that complies with the requirements set out in this Division.

Note: The incident management system must also be appropriate for the size of the covered person and for the classes of supports or services provided (see paragraph 15(5)(a) of the Act).

17 Incidents that must be covered

(1) The incident management system of a covered person must cover incidents that consist of acts, omissions, events or circumstances that:

(a) occur in connection with providing supports or services to a person with disability; and

(b) have, or could have, caused harm to the person with disability.

(2) The incident management system must also cover incidents that consist of acts by a person with disability that:

(a) occur in connection with providing supports or services to the person with disability; and

(b) have caused serious harm, or a risk of serious harm, to another person.

(3) The incident management system must also cover reportable incidents that are alleged to have occurred in connection with providing supports or services to a person with disability.

18 Incident management system procedures

(1) The incident management system of a covered person must establish procedures to be followed in identifying, managing and resolving incidents, including procedures that specify the following:

(a) how incidents are identified, recorded and reported;

(b) to whom incidents must be reported;

(d) how the covered person will provide support and assistance to persons with disability affected by an incident (including information about access to advocates such as independent advocates), to ensure their health, safety and wellbeing;

(e) how the covered person will provide support and assistance to employees of the covered person affected by an incident (including information about access to advocates such as independent advocates), to ensure their health, safety and wellbeing;

(f) how persons with disability affected by an incident will be involved in the management and resolution of the incident;

(g) when an investigation by the covered person is required to establish the causes of a particular incident, its effect and any operational issues that may have contributed to the incident occurring, and the nature of that investigation;

(h) when corrective action is required and the nature of that action.

(2) The procedures may vary, depending on the seriousness of the incident.

(3) The incident management system must require all incidents to be assessed in relation to the following, with the assessment considering the views of persons with disability affected by the incident:

(a) whether the incident could have been prevented;

(b) how well the incident was managed and resolved;

(c) what, if any, remedial action needs to be undertaken to prevent further similar incidents from occurring, or to minimise their impact;

(d) whether other persons or bodies need to be notified of the incident.

(4) The incident management system must set out procedures for ensuring that the requirements of subsection (3) are complied with.

(5) The incident management system must provide that, if the incident is a reportable incident, the incident must also be notified and managed in accordance with Division 3.

(6) The incident management system must also provide for the periodic review of the system to ensure its effectiveness.

19 System must afford procedural fairness

The incident management system of a covered person must require that people are afforded procedural fairness when an incident is dealt with by the covered person.

20 Documentation, record keeping and statistics

(1) A covered person must:

(a) document its incident management system; and

(b) provide copies of the documented system, in an accessible form, to the following persons:

(i) persons with disability receiving supports or services from the covered person;

(ii) each employee of the covered person;

(iii) the family members, carers and independent advocates of persons with disability receiving supports or services from the covered person; and

(2) The incident management system of a covered person must provide for the following details, as a minimum, to be recorded in relation to each incident that occurs:

(a) a description of the incident, including the impact on, or harm caused to, any person with disability affected by the incident;

(b) whether the incident is a reportable incident;

(d) if paragraph (c) does not apply—the time and date the incident was first identified;

(e) the names and contact details of the persons involved in the incident;

(f) the names and contact details of any witnesses to the incident;

(g) details of the assessment undertaken in accordance with the requirements of subsection 18(3);

(h) the actions taken in response to the incident, including actions taken to support or assist persons with disability affected by the incident;

(i) any consultations undertaken with the persons with disability affected by the incident;

(j) whether persons with disability affected by the incident have been provided with any reports or findings regarding the incident;

(k) if an investigation is undertaken by the covered person in relation to the incident—the details and outcomes of the investigation;

(l) the name and contact details of the person making the record of the incident.

(3) The incident management system must provide for the following details, as a minimum, to be recorded in relation to each reportable incident that is alleged to have occurred:

(a) a description of the alleged incident;

(b) if known—the time, date and place at which the incident is alleged to have occurred;

(d) the names and contact details of any witnesses to the alleged incident;

(e) details of the assessment undertaken in accordance with the requirements of subsection 18(3);

(f) the actions taken in response to the alleged incident, including actions taken to support or assist persons with disability affected by the incident;

(g) any consultations undertaken with the persons with disability affected by the alleged incident;

(h) whether persons with disability affected by the incident have been provided with any reports or findings regarding the alleged incident;

(i) if an investigation is undertaken by the covered person in relation to the alleged incident—the details and outcomes of the investigation;

(j) the name and contact details of the person making the record of the alleged incident.

(4) A record made for the purposes of subsection (2) or (3) must be kept for 7 years from the day the record is made.

Note: A covered person may be required to comply with other Commonwealth, State or Territory laws in relation to the retention of records.

(5) The incident management system must provide for the collection of statistical and other information relating to incidents to enable the covered person to:

(a) review issues raised by the occurrence of incidents; and

(b) identify and address systemic issues; and

(6) This section does not limit paragraph 18(1)(a).

21 Roles, responsibilities, compliance and training of workers

(1) The incident management system of a covered person must set out the roles and responsibilities of employees of the covered person in identifying, managing and resolving incidents and in preventing incidents from occurring.

(2) Without limiting subsection (1), the incident management system must provide that each employee of the covered person must comply with the incident management system.

(3) The incident management system must include requirements relating to the provision of training to employees of the covered person in the use of, and compliance with, the incident management system.

Division 3—Reportable incidents

22 Notifying and managing reportable incidents

(1) Reportable incidents must be notified and managed in accordance with this Division.

(2) Each of the following is a reportable incident:

(a) the death of a person with disability;

(b) serious injury to a person with disability;

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

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

23 Reportable incidents include alleged reportable incidents

A reference in this Division to a reportable incident that has occurred includes a reference to a reportable incident that is alleged to have occurred.

24 Duty of key personnel in relation to reportable incidents

The following must take all reasonable steps to ensure that reportable incidents that occur in connection with the provision of supports or services by a covered person are notified to the Department:

(a) members of the key personnel of the covered person;

(b) the person specified for the purposes of paragraph 18(1)(c) for the covered person.

25 Duty of workers to notify covered person of reportable incidents

If an employee of a covered person becomes aware that a reportable incident has occurred in connection with the provision of supports or services by the covered person, the employee must notify one of the following of that fact as soon as possible:

(a) a member of the covered person’s key personnel;

(b) a supervisor or manager of the covered person;

26 Certain reportable incidents must be notified to the Department

(1) This section applies if a covered person becomes aware that a reportable incident has occurred in connection with the provision of supports or services by the covered person.

(2) Subject to subsection (3), the covered person must notify the Department of the following information within 24 hours:

(a) the name and contact details of the covered person;

(b) a description of the reportable incident;

(c) except for a reportable incident of a kind covered by paragraph 22(2)(a)—a description of the impact on, or harm caused to, the person with disability;

(d) the immediate actions taken in response to the reportable incident, including actions taken to ensure the health, safety and wellbeing of persons with disability affected by the incident and whether the incident has been reported to police or any other body;

(e) the name and contact details of the person making the notification;

(f) if known—the time, date and place at which the reportable incident occurred;

(g) the names and contact details of the persons involved in the reportable incident;

(h) any other information required by the Department.

Note: The information required by paragraphs (b), (c), (f) and (g) may not need to be given in certain circumstances (see section 27).

(3) If, within 24 hours after the covered person became aware that the incident occurred, insufficient information is available to comply with subsection (2), the covered person must:

(a) provide the information mentioned in paragraphs (2)(a) to (e) within the 24 hour period; and

(b) provide the remaining information required by that subsection within 5 business days after the covered person became aware that the incident occurred.

(4) A notification in accordance with subsection (2) may be given by telephone or in writing.

(5) A notification given in accordance with paragraph (3)(a) or (b) must be given in writing.

(6) If a notification is given in writing, the Department must acknowledge its receipt within 24 hours.

(7) The Department may approve a form for the purposes of giving notifications in writing under this section.

27 Circumstances in which certain information relating to reportable incidents need not be obtained

A covered person is not required to notify the Department of the information mentioned in paragraph 26(2)(b), (c), (f) or (g) if:

(a) the person does not have the information; and

(b) obtaining the information would, or could reasonably be expected to:

(i) prejudice the conduct of a criminal investigation; or

(ii) expose a person with disability to a risk of harm.

28 Keeping the Department updated

(1) This section applies if:

(a) a covered person gives notification of a reportable incident under section 26 at a particular time; and

(b) the covered person becomes aware of significant new information in relation to the incident after that time; and

(i) is or relates to a change in the kind of reportable incident; or

(ii) is a further reportable incident.

(2) The covered person must notify the Department of the significant new information as soon as reasonably practicable after becoming aware of the information.

(3) The notification must be given in writing.

(4) If notification is given under this section of a further reportable incident, the covered person is taken to have complied with section 26.

(5) The Department may approve a form for the purposes of giving notifications in writing under this section.

29 Providing the Department with a final report

(1) If a covered person gives notification of a reportable incident under subsection 26(4), the Department may require the covered person to give the information required by subsection (2) of this section to the Department, within 60 business days after the notification is given under subsection 26(4), or a longer period specified by the Department.

(2) The information required is as follows:

(a) details of any internal or external investigation or assessment that has been undertaken in relation to the incident, including:

(i) the name and position of the person who undertook the investigation; and

(ii) when the investigation was undertaken; and

(iii) details of any findings made; and

(iv) details of any corrective or other action taken after the investigation;

(b) a copy of any report of the investigation or assessment;

(c) whether persons with disability affected by the incident (or their representative) have been kept informed of the progress, findings and actions relating to the investigation or assessment;

(d) any other information required by the Department.

(3) The information must be given in writing.

(4) The Department may approve a form for the purposes of giving information under this section.

30 Record keeping

(1) If a covered person becomes aware that a reportable incident has occurred in connection with the provision of supports or services by the covered person, the covered person must keep a record of the incident.

(2) The record must be kept for 7 years from the day that notification of the reportable incident is given under subsection 26(2) or subsection 28(2) (as the case requires).

Note: A covered person may be required to comply with other Commonwealth, State or Territory laws in relation to the retention of records.

(3) It is sufficient compliance with this section if the covered person keeps the record of the reportable incident required to be made under section 20.

31 Action by the Department in relation to reportable incidents

(1) The Department may, upon receiving notification that a reportable incident has occurred in connection with the provision of supports or services by a covered person, do one or more of the following:

(a) refer the incident to another person or body with responsibility in relation to the incident (such as a State or Territory agency responsible for child protection);

(b) require or request the covered person to undertake specified remedial action in relation to the incident within a specified period, including remedial action to ensure the health, safety and wellbeing of persons with disability affected by the incident;

(c) require the covered person to carry out an internal investigation in relation to the incident, in the manner and within the timeframe specified in by the Department, and to provide a report on the investigation to the Department;

(d) require the covered person to engage an appropriately qualified and independent expert, at the expense of the covered person, to carry out an investigation in relation to the incident, in the manner and within the timeframe specified by the Department, and to provide a report on the investigation to the Department;

(e) take any other action that the Department considers reasonable in the circumstances.

Note: The Department may also share information in relation to a reportable incident in accordance with section 29 of the Act.

(2) If an investigation is carried out under paragraph (1)(c) or (d) in relation to a reportable incident, the Department may take any action that the Department considers appropriate.

(3) Without limiting subsection (2), the Department may provide, or require the covered person to provide, information on the progress or outcome of the investigation to:

(a) the person with disability involved in the incident (or a representative of the person); and

(b) with the consent of the person with disability (or a representative of the person)—any other person.

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Disability Services and Inclusion (Complaints and Incidents Management) Rules 2023

I, Amanda Rishworth, Minister for Social Services, make the following rules.

Dated 15 December 2023

Amanda Rishworth

Minister for Social Services

Contents

Part 1—Preliminary

1 Name

2 Commencement

3 Authority

4 Definitions

Part 2—Complaints management and resolution

Division 1—Introduction

5 Simplified outline of this Part

6 Purpose of this Part

Division 2—Complaints management and resolution system requirements

7 System must comply with this Part

8 Complaints management and resolution system requirements

9 System must afford procedural fairness

10 Documentation, record keeping and statistics

11 Roles, responsibilities, compliance and training of workers

12 Referring complaints

Part 3—Incident management

Division 1—Introduction

13 Simplified outline of this Part

14 Purpose of this Part

15 Incidents that are also reportable incidents

Division 2—Incident management system requirements

16 System must comply with this Division

17 Incidents that must be covered

18 Incident management system procedures

19 System must afford procedural fairness

20 Documentation, record keeping and statistics

21 Roles, responsibilities, compliance and training of workers

Division 3—Reportable incidents

22 Notifying and managing reportable incidents

23 Reportable incidents include alleged reportable incidents

24 Duty of key personnel in relation to reportable incidents

25 Duty of workers to notify covered person of reportable incidents

26 Certain reportable incidents must be notified to the Department

27 Circumstances in which certain information relating to reportable incidents need not be obtained

Covered person: The central operative actor is a "covered person" (defined in s 4). The rules are expressed in terms of obligations that a covered person must implement and maintain. The definitions section also reminds that several expressions are defined in the Act (s 4 note), including "funding agreement", "key personnel" and "statutory funding condition". Those Act-defined terms will therefore calibrate who is in scope and what constitutes a statutory funding condition.

Two mandatory systems: The instrument requires two separate, but complementary, systems: a complaints management and resolution system (Part 2) and an incident management system (Part 3). Both are mandatory (ss 7, 16) and must be appropriate for the covered person’s size and the kinds of supports and services provided (notes to ss 7 and 16 referencing paragraph 15(4) and 15(5)(a) of the Act).

Scope of incidents: Section 17 sets the scope of incidents that must be covered. This extends beyond actual harm to incidents that could have caused harm, and includes acts by persons with disability that cause or risk serious harm to others. It also expressly covers reportable incidents alleged to have occurred (s 17(3) and s 23). The rules therefore capture both actual events and credible allegations.

Reportable incidents: Section 22(2) lists discrete categories that trigger the reportable incident regime: death; serious injury; abuse or neglect; unlawful sexual or physical contact or assault; sexual misconduct (including grooming). Section 23 clarifies that alleged incidents are treated as reportable incidents for the purposes of the Division. That means allegation management and notification duties attach even if the incident is not finally established.

Notification and timelines: The rules impose a short initial notification window for certain reportable incidents: 24 hours from the time the covered person becomes aware (s 26(2)). If not all information is available within 24 hours, the rules permit giving core information within 24 hours and the remainder within 5 business days (s 26(3)). For a final report, the Department may require written information within 60 business days, or a longer period specified by the Department (s 29(1)-(2)). Notifications may be by telephone or in writing; if by telephone, a written follow-up is required under certain circumstances (s 26(4)-(5)).

Roles and duties: The rules allocate responsibilities to multiple organisational actors. Key personnel and the person specified under s 18(1)(c) must take reasonable steps to ensure reportable incidents are notified to the Department (s 24). Employees must notify managers or key personnel if they become aware of a reportable incident (s 25). The incident management procedures must specify who is responsible for reporting to the Department (s 18(1)(c)).

Documentation, access and procedural fairness: Both systems must be documented and made accessible to persons with disability receiving supports, their families, carers and advocates, and employees (ss 10(1), 20(1)). Both systems must require that persons are afforded procedural fairness when complaints or incidents are dealt with (ss 9, 19). Complaints systems must ensure people can make complaints (including anonymously), be provided with support, be kept informed and not be adversely affected for making complaints (s 8).

Record keeping and statistics: The instrument requires specific record-keeping standards: both complaints and incident records must capture specified fields (ss 10(2), 20(2)-(3)), be kept for 7 years (ss 10(3), 20(4), 30(2)), and enable the collection of statistics to identify systemic issues and to report to the Department or other bodies on request (ss 10(4), 20(5)).

Department discretion and operational tools: The Department may approve forms for notifications and reporting (ss 26(7), 28(5), 29(4)). The Department has broad powers to respond to notified reportable incidents, including requiring remedial action, internal investigation, or independent investigation at the covered person’s expense (s 31(1)(b)-(d)). The Department may refer incidents to other bodies (s 31(1)(a)).

Limits and protections: The rules recognise limits on information collection to protect criminal investigations and persons at risk (s 27). The rules also require covered persons to advise complainants of other complaint and referral pathways and to provide support to enable engagement with those pathways (s 8(3)(c)-(d)).

Funding agreement linkage: The notes to Parts 2 and 3 make explicit that non-compliance may constitute a breach of statutory funding conditions under the funding agreement, potentially resulting in Ministerial action under the Act (notes to ss 6 and 14).

Primary actors: The primary legal burden falls on covered persons, defined as recipients of payment or grants under s 13 of the Act (s 4). The covered person is required to implement and maintain the complaints and incident management systems (ss 7, 16). The instrument repeatedly anchors duties and obligations to the covered person; the organisational entity must design, document and operate the systems.

Employees and workers: Employees of the covered person have both obligations and roles. They must comply with the documented systems (ss 11(2), 21(2)). Workers who become aware of a reportable incident are obliged to notify a member of key personnel, a supervisor/manager or the person specified for reporting (s 25). The incident management system must set out the roles and responsibilities of employees for identifying and managing incidents (ss 11(1), 21(1)) and include training requirements for employees (ss 11(3), 21(3)).

Key personnel and specified reporters: The instrument places specific responsibilities on the covered person’s key personnel and on the person identified in the incident procedures as responsible for reporting to the Department (s 18(1)(c)). Key personnel must take all reasonable steps to ensure reportable incidents are notified to the Department (s 24). Those persons are therefore decision points inside the organisation for compliance.

Persons with disability, families, carers and advocates: The rules are designed to affect people with disability receiving supports or services, their families, carers and advocates by requiring that systems be accessible, provide support for complainants, protect complainants from adverse consequences for making complaints (s 8(4)(a)), preserve confidentiality (s 8(4)(b)), involve persons with disability in incident and complaint resolution (ss 8(5)-(6), 18(1)(f), 18(3)), and provide accessible documentation (ss 10(1), 20(1)).

The Department: The instrument gives powers and responsibilities to the Department (the rules refer throughout to "the Department") to receive notifications, request reports and require remedial or investigative action (ss 26-31). The Department is cast as the external supervisory and enforcement actor: it reviews notifications, can require internal or independent investigations, approve forms for notification and final reports, and can refer incidents to other agencies (s 31).

Other bodies and referral agencies: The rules require covered persons to refer complaints to other bodies in accordance with Commonwealth, State or Territory requirements (s 12) and contemplate Dept referrals to agencies responsible for child protection and similar functions (s 31(1)(a)). The instrument thus affects and interfaces with police, child protection and other regulatory bodies, as well as external complaints bodies.

Funding agreement counterparties: Because non-compliance may amount to breach of statutory funding conditions in the funding agreement (notes to ss 6, 14), the Commonwealth (through the Minister) and the funding agreement process are affected: a breach can trigger action under the Act (see the notes referencing subsection 14(6) of the Act).

Indirectly affected providers and insurers: While not named, the rules’ requirements that independent investigations may be undertaken at the covered person’s expense (s 31(1)(d)), and that certain incidents may require notification to police or other bodies (s 26(2)(d)), will affect insurers, risk managers and legal advisers engaged by covered persons.

Duties to implement documented systems: Covered persons must implement and maintain a complaints management and resolution system (ss 5-8) and an incident management system (ss 13-18). Both systems must be documented and made available in accessible form to specified stakeholders including persons with disability, families, carers, advocates and employees (ss 10(1), 20(1)). The systems must be appropriate to the covered person’s size and the kinds of supports or services provided (notes to ss 7, 16).

Complaint-specific duties: The complaints system must:

enable any person to make a complaint, including anonymously (s 8(1)(a));
provide an easy and accessible process, with appropriate support and assistance (s 8(1)(b)-(c));
ensure complaints are acknowledged, assessed and resolved fairly, efficiently and timely (s 8(3)(a)), and ensure appropriate action is taken (s 8(3)(b));
ensure complainants and affected persons are advised of other complaint and referral pathways and supported to engage with those pathways (s 8(3)(c)-(d));
take reasonable steps to ensure persons making complaints are not adversely affected and to keep complaint information confidential unless required or authorised by law (s 8(4)(a)-(b));
involve complainants appropriately in resolution and keep them and affected persons informed about progress, reasons for decisions and review options (ss 8(5)-(6));
make public details of how to complain and how to access other complaint or referral pathways (s 8(7));
provide for periodic review to ensure effectiveness (s 8(8)).

Procedural fairness is mandated in the complaints context (s 9).

Incident-specific duties: The incident management system must:

cover incidents that occur in connection with providing supports or services that have or could have caused harm, acts by persons with disability that caused or risked serious harm to another person, and alleged reportable incidents (s 17);
establish procedures for identifying, recording and reporting incidents; specify to whom incidents must be reported; identify who is responsible for reporting reportable incidents to the Department; set out supports for persons with disability and employees; set out involvement of persons with disability in resolution; specify when investigations and corrective action are required (s 18(1)(a)-(h));
ensure all incidents are assessed against preventability, handling, remedial action and notifications, and the assessment must consider the views of persons with disability affected (s 18(3));
provide for procedural fairness (s 19);
document and retain incident records with specified minimum fields (ss 20(2)-(3)) and retain records for 7 years (s 20(4));
provide training requirements and set out roles and responsibilities for employees (ss 21(1)-(3));
provide for periodic review (s 18(6)) and for the collection of statistics to identify systemic issues (s 20(5)).

Reportable incident duties: Where a reportable incident has occurred or is alleged, additional statutory obligations arise:

Key personnel and the person specified under s 18(1)(c) must take all reasonable steps to ensure notification to the Department (s 24).
Workers who become aware must notify key personnel, supervisors/managers or the specified person as soon as possible (s 25).
The covered person must notify the Department within 24 hours of specified information (s 26(2)), or provide the core information in 24 hours and remaining information within 5 business days if full details are unavailable (s 26(3)). Notifications may be by telephone or writing; written notifications and final reports must be acknowledged within 24 hours if written (s 26(4)-(6)). The Department may approve forms for notifications (s 26(7)).
The covered person must keep records of reportable incidents for 7 years from the day notification is given (s 30(1)-(2)), and such records may be met by complying with the incident record requirements in s 20 (s 30(3)).

Department powers and rights: On notification, the Department may refer the incident to other bodies, require remedial action within specified periods, require internal or independent investigations, and take any other action it considers reasonable (s 31(1)(a)-(e)). If it requires an investigation, it may also request progress or outcome information be provided to the person with disability and, with consent, to others (s 31(3)(a)-(b)). The Department may approve forms for reporting (ss 26(7), 28(5), 29(4)).

Limits on information duties: A covered person is not required to obtain or notify certain incident details (description, impact, date/time/place, names) where it does not have the information and obtaining it would or could be expected to prejudice a criminal investigation or expose a person with disability to risk of harm (s 27).

Funding agreement consequences: The notes to Parts 2 and 3 cite that failure to comply may constitute a breach of statutory funding conditions and may lead to Ministerial action under subsection 14(6) of the Act (notes to ss 6 and 14). The instrument therefore creates an enforcement path via the funding agreement.

Employee rights and protections: The rules require the system to take reasonable steps to ensure persons who make complaints are not adversely affected as a result of making the complaint (s 8(4)(a)). The incident system must provide for support to employees affected by incidents (s 18(1)(e)). Procedural fairness obligations for both systems (ss 9, 19) create procedural protections during internal handling.

Enforcement via funding agreement: The instrument itself does not prescribe fines or criminal sanctions. Instead, it links non-compliance to the funding agreement under the Act. Notes in Part 2 and Part 3 refer to the possibility that failure to comply with the Part’s requirements may constitute a breach of the relevant statutory funding condition (the third statutory funding condition for complaints, paragraph 15(4)(d) of the Act; and the fourth statutory funding condition for incidents, paragraph 15(5)(b) of the Act) and may lead to Ministerial action under subsection 14(6) of the Act (notes to ss 6 and 14). Those notes make clear that the enforcement mechanism is contractual and administrative rather than penal within the instrument itself.

Departmental remedial powers: The Department has operational enforcement and remedial tools once notified of a reportable incident. Under s 31 the Department may:

refer the incident to another responsible person or body such as a State or Territory agency (s 31(1)(a));
require or request the covered person to undertake specified remedial action within a specified period, including actions to ensure health, safety and wellbeing (s 31(1)(b));
require the covered person to carry out an internal investigation as specified and to provide a report (s 31(1)(c));
require the covered person to engage an appropriately qualified and independent expert, at the covered person’s expense, to carry out an investigation and provide a report (s 31(1)(d));
take any other action the Department considers reasonable in the circumstances (s 31(1)(e)).

If the Department causes or requires an investigation under (c) or (d), it may take any action it considers appropriate thereafter (s 31(2)). The Department may also require information on the progress or outcome and provide or require provision of that information to affected persons (s 31(3)).

Administrative process obligations: The Department may approve forms and require written notifications and final reports within specified periods (ss 26(7), 28(5), 29(1)-(3)). The Department must acknowledge written notifications within 24 hours (s 26(6)). These procedural features create administrative timelines and create a paper trail that can be used to verify compliance or trigger further action.

No criminal penalties in the Rules: The Rules do not create criminal offences or monetary penalties; instead, enforcement is through the funding relationship and Departmental direction. Where criminal activity is implicated (for example, unlawful sexual contact or assault), the rules accommodate reporting to police (s 26(2)(d)) and allow withholding certain information that would prejudice criminal investigation (s 27). Referral to police or relevant State/Territory agencies is envisaged (s 31(1)(a)).

Consequences for non-compliance are therefore primarily administrative (remedial orders, investigations, reports, referral) and contractual (breach of funding agreement, Ministerial action under the Act). The instrument leaves the nature and extent of those funding-agreement consequences to be determined under the Act (notes to ss 6 and 14).

Statutory funding agreement under the Act: The instrument repeatedly links compliance to statutory funding conditions in the funding agreement established by the Act (notes to ss 6 and 14). These references mean that the Rules operate as a contractual and administrative overlay: failure to comply with these Rules may be treated as a breach of the funding agreement, invoking remedies and Ministerial powers under the Act (subsection 14(6) of the Act is referenced in the notes). The Rules therefore interact directly with the Act’s funding and enforcement architecture.

Commonwealth, State and Territory obligations: The Rules require covered persons to refer or notify complaints to other bodies in accordance with relevant Commonwealth, State or Territory laws (s 12). The incident management obligations also contemplate notifications to police and other bodies and permit the Department to refer incidents to State or Territory child protection or other agencies (s 31(1)(a)). Section 27 permits covered persons to refrain from obtaining and notifying specified information where doing so would prejudice a criminal investigation or expose a person with disability to risk , this explicitly recognizes interaction with criminal investigation processes and with laws governing evidence and criminal procedure.

Record-keeping and privacy: The Rules require record retention for 7 years (ss 10(3), 20(4), 30(2)) but include notes that covered persons may be required to comply with other Commonwealth, State or Territory laws regarding retention of records (notes to ss 10(3), 20(4), 30(2)). The Rules also require confidentiality of complaint information, unless required or authorised by law (s 8(4)(b)). Together, these provisions require covered persons to reconcile the Rules with other record-keeping and privacy regimes, including Commonwealth privacy law and State or Territory equivalents.

Overlap with existing complaint bodies: The Rules require covered persons to advise complainants about other complaint and referral pathways and to report information relating to complaints to the Department, if requested, and to other bodies that deal with complaints, if requested (s 8(3)(c), 8(4)(d) and 10(4)(c)-(d)). This creates an obligation to interact with existing complaint bodies and ombudsmen when required. The Rules do not displace other statutory reporting obligations; instead they sit alongside them and call for coordination.

Criminal law and police involvement: Certain reportable incidents explicitly include unlawful sexual or physical contact, assault, and sexual misconduct; the Rules require notification to the Department about whether the incident has been reported to police or any other body as part of the 24-hour report (s 26(2)(d)). Section 27 recognises that obtaining or notifying specified information may prejudice criminal investigations, establishing a legal interface with criminal investigative processes.

Administrative law and procedural fairness: The Rules require covered persons to afford procedural fairness when dealing with complaints and incidents (ss 9, 19). That requirement interfaces with general administrative law principles that govern decision-making within organisations and government decision-making by the Department (for example, the Department’s exercise of s 31 powers).

Information-sharing under the Act: The Rules note that the Department may share information relating to a reportable incident in accordance with s 29 of the Act (s 31 note). That implies an information-sharing regime in the Act, creating an interaction point for confidentiality and privacy law.

Forms and Departmental instruments: The Department may approve forms for notifications and reporting (ss 26(7), 28(5), 29(4)). These approvals will create standardised interfaces between covered persons and the Department and may interact with existing Commonwealth reporting formats or ICT systems.

The instrument contains an explicit commencement table in s 2 that relates only to the provisions of this instrument as originally made. The table sets out that the whole instrument commences on the later of the Act’s commencement and the day after registration, and notes 1 January 2024 in Column 3 where paragraph (a) applies (s 2(1) and the Commencement table). The instrument includes a note that the commencement table relates only to the instrument as originally made and will not be amended to deal with later amendments (s 2 note). There is no other text within the provided instrument that records amendments, transitional provisions, or historical variations.

Given the instrument is enacted by the Minister for Social Services (cover page), and dated 15 December 2023, the historical record available in the instrument ends with that date. The instrument states its authority under the Disability Services and Inclusion Act 2023 (s 3), and contains notes that repeatedly reference the Act for definitions and for the funding-condition linkage. No subsequent amendments, repeal provisions or legislative history appear in the instrument text provided. Therefore, the amendment history as reflected in the instrument is limited to its original making and commencement scheduling; any later amendments would need to be checked in subsequent legislative instruments or the Federal Register of Legislation.

Practical action point: practitioners relying on these Rules should verify whether later amendments, consolidated versions or policy instruments (such as Departmental guidance, forms or approved templates) have been issued since the instrument’s registration and initial commencement. The instrument gives the Department the power to approve forms for notification and reporting (ss 26(7), 28(5), 29(4)); those approved forms, guidance notes and departmental operational instructions are likely to evolve after commencement, and they will be significant for operational compliance though not recorded in the instrument itself.

The instrument contains no citations to case law and there are no judicial decisions referenced or summarised in the text provided. The instrument is administrative in nature, establishing compliance obligations and departmental powers, and its enforcement mechanism is primarily administrative via the funding agreement and the Department rather than by criminal penalty within the Rules. The notes suggest that breaches may lead to Ministerial action under the Act (notes to ss 6 and 14), which could generate administrative law litigation in future, for example disputes over alleged breaches of the funding agreement or the Department’s exercise of enforcement powers under s 31 of the Rules or powers under the Act.

Because the Rules were made on 15 December 2023 and commence on the Act’s commencement, and because no litigation is reported within the instrument, there is no litigation history to report from the instrument itself. Practitioners should monitor administrative decisions made by the Department under s 31 and Ministerial actions under the Act for the first instances where these Rules generate disputes or judicial review proceedings. Such litigation would likely engage construction of: (a) whether a particular action or omission by a covered person amounted to non-compliance with the Rules; (b) whether the Department’s direction or requirement for remedial action, internal investigation or engagement of an independent expert was lawful and proportionate; and (c) whether any action under the funding agreement or s 14(6) of the Act was properly taken. None of those judicial issues are yet evidenced in the instrument.

Timelines: The 24-hour notification window in s 26(2) is short. Although s 26(3) allows a covered person to provide basic information within 24 hours and the remainder within 5 business days if insufficient information is available, the initial core information required within 24 hours still includes identification of the covered person, a description of the reportable incident and immediate actions taken (s 26(2)(a)-(d)). Organisations that do not have operational incident escalation pathways, on-call reporting personnel or a nominated person (s 18(1)(c)) risk late notification.

Who must act: Key personnel and the person specified under s 18(1)(c) must take all reasonable steps to ensure notification (s 24). Employees must notify managers or the specified person when they become aware of a reportable incident (s 25). If an organisation lacks clarity about who is the specified person or has weak escalation, responsibility may be unclear and result in breach.

Allegations treated as reportable: Section 23 treats alleged reportable incidents as reportable incidents. That means that reports must be made and records kept even where an allegation is unproven. Organisations need procedures to manage allegations, protect reputations, and support affected persons while meeting notification duties.

Record retention and confidentiality tensions: Records must generally be kept for 7 years (ss 10(3), 20(4), 30(2)). At the same time, complaint information must generally be kept confidential and only disclosed if required or authorised by law (s 8(4)(b)). Covered persons must reconcile data-protection obligations under privacy laws, disclosure obligations under other statutory schemes (for example child protection), and these retention and disclosure requirements.

Costs of independent investigations: The Department may require a covered person to engage an independent expert at the covered person’s expense to investigate an incident (s 31(1)(d)). That shifts investigative cost risk to the covered person and may be a substantial cost for smaller providers.

Overlap with existing reporting obligations: The Rules oblige referral to other bodies under relevant Commonwealth, State or Territory laws (s 12) and permit the Department to refer incidents to other agencies (s 31(1)(a)). Providers must map how these Rules intersect with mandatory reporting obligations to police, child protection, coroners, regulators and quality bodies to avoid duplicate reporting or missing obligations.

Procedural fairness and internal actions: The Rules mandate procedural fairness for both complaint and incident handling (ss 9, 19). Organisations must design systems that afford fairness while also responding quickly for safety and compliance. Failure to provide procedural fairness can lead to administrative disputes or challenge to internal findings.

Departmental discretion and administrative burden: The Department has broad discretion to require remedial action, investigations, and reports (s 31(1)). The Department also can approve forms and specify timeframes for final reports (ss 26(7), 29(1)-(4)). This can create operational uncertainty for covered persons: they must be ready to respond to ad hoc Departmental requests and the potential for further action beyond their internal processes.

Information limitations when criminal process ongoing: Section 27 allows covered persons to withhold or not obtain certain information if doing so would prejudice a criminal investigation or expose a person to risk. While protective, this raises tactical challenges: covered persons must form a view that obtaining the information would reasonably have such consequences, and must document that rationale to justify partial notifications under s 26. Failure to reasonably rely on s 27 could lead to accusations of non-compliance.

Documentation accessibility: The Rules require documented systems and accessibility to persons with disability and their representatives, and require assistance in understanding the documented system (ss 10(1)(b)-(c), 20(1)(b)-(c)). Documents that are technically compliant but not accessible in plain language, alternative formats or through support may fail the accessibility requirement.

Interplay with the funding agreement: Non-compliance can be characterised as a breach of the funding agreement statutory funding condition (notes to ss 6 and 14). Organisations should not assume that compliance with other regimes (for example, state-based quality standards) automatically satisfies these Rules; the Department may take independent action under the funding agreement.

Forms and acknowledgement: If a notification is given in writing, the Department must acknowledge receipt within 24 hours (s 26(6)). Where covered persons rely on telephone notifications, they should secure follow-up written confirmations, because s 26(5) requires written follow-up in certain cases and s 29 requires final written reports upon Departmental request.

Governance and documentation

Nominate accountable persons and document them in the incident procedures. Section 18(1)(c) requires the incident procedures to specify the person responsible for reporting reportable incidents to the Department. Section 24 then places a duty on key personnel and that specified person to take all reasonable steps to ensure reportable incidents are notified.
Prepare comprehensive, accessible written policies for both the complaints management and incident management systems and keep them available to persons with disability, families, carers, advocates and employees (ss 10(1), 20(1)). Ensure documents are in formats accessible to the people you support and that staff can understand them (ss 10(1)(b)-(c), 20(1)(b)-(c)).

Operational processes and escalation

Implement clear escalation pathways so employees know who to notify immediately if they become aware of a reportable incident (s 25). Ensure supervisors/managers and key personnel are contactable 24/7 if supports are provided at times outside business hours.
Develop an initial notification checklist aligned to s 26(2)(a)-(f) to ensure the core 24-hour information is captured: name and contact details of the covered person; description of the incident; description of impact (except for deaths); immediate actions taken; name/contact of person making the notification; and time/date/place if known.
Build a procedure for the 5-business-day follow-up where full details are not available within 24 hours (s 26(3)). Keep records showing what information was provided at each step and the dates of awareness and notification.

Record-keeping and confidentiality

Maintain incident and complaint records that meet the minimum fields set out in ss 10(2) and 20(2)-(3). These lists are prescriptive and should be mapped to your incident/complaint database fields: incident description, whether reportable, timestamps, names/contact details, witness details, assessment, actions taken, consultations, investigation details where applicable, and the name/contact of the person making the record.
Retain records for the mandated period (7 years) and reconcile retention schedules with any longer retention obligations under other Commonwealth, State or Territory laws (ss 10(3), 20(4), 30(2) and associated notes).
Ensure confidentiality protections for complainants and persons affected, consistent with s 8(4)(b). Implement need-to-know access controls and logging in your information systems.

Training and workforce obligations

Implement mandatory training for employees on the complaints and incident systems as required by ss 11(3) and 21(3). Training should cover: identifying incidents and allegations; escalation and notification procedures; record-keeping obligations; confidentiality and data protection; support for persons with disability and employees; and procedural fairness obligations.
Train staff to recognise when obtaining further information could prejudice criminal investigations or expose a person to harm, and how to document reliance on s 27 to limit information gathering and notification.

Interface with external bodies

Map the organisation’s statutory reporting obligations in each jurisdiction of operation. The Rules require referral or notification to other bodies “in accordance with any requirements under relevant Commonwealth, State or Territory laws” (s 12). Create a reference chart that links types of incidents to mandatory reporting obligations (police, child protection, health regulators, coroners).
Prepare to provide the Department with a final written report within 60 business days if requested (s 29(1)-(2)). Maintain a standard final-report template aligned to s 29(2)(a)-(c) (investigation name/position, timing, findings, actions, and copies of investigation reports).

Engagement with persons with disability and procedural fairness

Ensure systems make reasonable provision for support and advocacy for persons with disability and complainants (s 8(1)(c); s 18(1)(d)). Document how affected persons will be involved in assessments and investigations, how information will be communicated, and how adverse impacts from complaining will be mitigated (ss 8(3)-(6) and 18(3)).
Build procedural fairness into investigation protocols: notice of allegations, opportunity to respond, impartiality of investigators, reasoned decisions and review options where appropriate (ss 9, 19).

Data collection, review and improvement

Use the statistical collection obligations (ss 10(4), 20(5)) to create regular board-level reporting on complaint and incident trends, root-cause analysis and corrective actions. The Rules require periodic review of the systems (ss 8(8), 18(6)).
Retain audit trails of reviews and changes to policies. If the Department requests complaint or incident data, ensure systems can report the requested figures promptly (s 10(4)(c), s 20(5)(c)).

Preparing for Departmental action

Budget for the contingency that the Department may require independent investigations at the covered person’s expense (s 31(1)(d)). Include this in risk registers and consider insurance cover where available.
Maintain a register of previous incidents, notifications and remedial actions to demonstrate systemic responses and continuous improvement in the event of Departmental scrutiny.

Forms and communication channels

Monitor Departmental approvals of forms and adopt any Department-approved formats for notifications and reporting (ss 26(7), 28(5), 29(4)).
Designate persons authorised to make notifications and to provide final reports. Keep contact details for the Department and escalation contacts readily available and communicated to staff.

Practical checklist (minimum items)

Documented complaints and incident systems tailored to organisation size and services (ss 7, 16).
Nomination of specified reporting person in incident procedures (s 18(1)(c)) and clear designation of key personnel responsibilities (s 24).
Employee training and compliance requirements embedded (ss 11(3), 21(3)).
Operational protocols to capture 24-hour notifications and 5-business-day follow-ups (s 26).
Investigation templates and timelines to meet 60-business-day final-report requests (s 29).
Records management processes for 7-year retention and confidentiality controls (ss 10(3), 20(4), 30(2); s 8(4)(b)).
Accessibility measures for persons with disability to access and understand the documented systems (ss 10(1)(b)-(c), 20(1)(b)-(c)).
Risk and budget planning for independent investigations at the covered person’s expense (s 31(1)(d)).

Following these steps will address the prescriptive elements of the Rules and align operational practices with the document’s timelines and reporting expectations.

Disability Services and Inclusion (Complaints and Incidents Management) Rules 2023

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