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Serious incident reporting guidelines - interim

These guidelines have been developed for TAC and WorkSafe Victoria (WorkSafe) funded disability providers who register with the Social Services Regulator (the Regulator).

These are interim guidelines to ensure the safe and effective delivery of disability services while TAC and WorkSafe providers are registering with the new Regulator. It will be reviewed prior to the completion of the transitionary period and any changes will be communicated to providers.

The TAC and WorkSafe are aligning with the Regulator’s requirements for incident reporting for all in-scope providers and therefore this guide should be read with the SSR Reporting a notifiable incident guidelines.

For the purpose of the guidance below, serious incidents are also identified as 'notifiable incidents'.

Providers delivering disability services in Victoria must comply with the Social Services Standards including the incident reporting guidelines stipulated by the Regulator.

These guidelines aim to help and support TAC and WorkSafe funded disability service providers in scope of the Regulator to meet their responsibilities when dealing with serious incidents or alleged incidents that involve, or impact upon, TAC clients or WorkSafe injured workers in connection with TAC or WorkSafe funded disability services.

These guidelines apply to the following TAC funded disability services:

  • Attendant care (inclusive of Oncall)
  • Assertive outreach
  • Case management
  • Client Independence Skills Service (CISS)
  • Community group services (programs)
  • Community access planning
  • Multiple and Complex Needs Model (MACNM)
  • Respite services
  • Shared Supported Accommodation (SSA)
  • Supported employment service

These guidelines apply to the following WorkSafe funded disability services:

  • Attendant care

Which providers do these guidelines apply to?

Providers delivering disability services in Victoria must comply with the Social Services Standards including the incident reporting guidelines stipulated by the Regulator.

These guidelines aim to help and support TAC and WorkSafe funded disability service providers in scope of the Regulator to meet their responsibilities when dealing with serious incidents or alleged incidents that involve, or impact upon, TAC clients or WorkSafe injured workers in connection with TAC or WorkSafe funded disability services.

These guidelines apply to the following TAC funded disability services:

  • Attendant care (inclusive of Oncall)
  • Assertive outreach
  • Case management
  • Client Independence Skills Service (CISS)
  • Community group services (programs)
  • Community access planning
  • Multiple and Complex Needs Model (MACNM)
  • Respite services
  • Shared Supported Accommodation (SSA)
  • Supported employment service

These guidelines apply to the following WorkSafe funded disability services:

  • Attendant care

A notifiable incident is where a certain act or event has occurred or is alleged to have occurred, in connection with the provision of TAC or WorkSafe funded disability supports or services and which resulted in harm or has the potential to harm a client.

This includes incidents that:

  • may have occurred during the course of supports or services being provided;
  • arise out of the provision, alteration or withdrawal of supports or services; and/or
  • may not have occurred during the provision of supports but are connected because it arose out of the provision of supports or services.

There are two types of notifiable incidents:

  1. Serious harm is reasonably likely – a serious incident that is reasonably likely to cause serious harm to a TAC client or WorkSafe injured worker
  2. Serious harm has resulted – a serious incident that has resulted in serious harm or serious injury to a TAC client or WorkSafe injured worker.

What is a notifiable incident?

A notifiable incident is where a certain act or event has occurred or is alleged to have occurred, in connection with the provision of TAC or WorkSafe funded disability supports or services and which resulted in harm or has the potential to harm a client.

This includes incidents that:

  • may have occurred during the course of supports or services being provided;
  • arise out of the provision, alteration or withdrawal of supports or services; and/or
  • may not have occurred during the provision of supports but are connected because it arose out of the provision of supports or services.

There are two types of notifiable incidents:

  1. Serious harm is reasonably likely – a serious incident that is reasonably likely to cause serious harm to a TAC client or WorkSafe injured worker
  2. Serious harm has resulted – a serious incident that has resulted in serious harm or serious injury to a TAC client or WorkSafe injured worker.

All notifiable incidents need to be reported to the Regulator as per the SSR guide to reporting a notifiable incident and to the TAC within three (3) business days.

All critical notifiable incidents must be reported to the Regulator as per the SSR guide to reporting a notifiable incident and to the TAC by close of the next business day.

Early reporting is essential to ensure timely and effective responses are taken to address client/injured worker safety and wellbeing and to help mitigate against future incidents.

Reporting notifiable incidents informs the Regulator and the TAC of serious harm and risks of harm to TAC clients or WorkSafe injured workers during the delivery of disability services and actions taken by the service providers to address the immediate health and safety of the client or injured worker.

The following steps should be followed by TAC and WorkSafe funded disability providers to report and incident:

Step 1. Respond to the immediate needs of the client or injured worker

The disability service provider must ensure the client or injured worker’s health and safety needs are attended to immediately, including their mental and physical needs. Providers should seek medical assistance when required.

Step 2. Contact emergency services when required

Call 000 for emergency services (fire, ambulance or police).

Step 3. Notify the client or injured worker's family/guardian

Providers must notify the client's or injured worker’s family or guardian as soon as possible to explain the incident or allegation and the action being taken to remedy it.

Step 4. Complete the incident form (SSR and TAC)

TAC and WorkSafe funded disability service providers registered with the Regulator must follow the Guide to reporting a notifiable incident outlined by the Regulator. This includes completion of the Notifiable or Critical notifiable incident form.

Prior to submitting the form to the Regulator, providers will be able to download a copy of the form. Providers must download the completed SSR incident form and submit a copy to the TAC via the Serious incident and restrictive practice form.

The completion of this TAC form will enable the TAC to obtain essential information about incidents and promptly respond where needed.

Step 5. Notify the client or injured worker’s claims person

The TAC client or injured worker’s claims person should be notified and where necessary, discuss supports that may be required to ensure a client/injured worker’s safety and wellbeing.

How to report an incident

All notifiable incidents need to be reported to the Regulator as per the SSR guide to reporting a notifiable incident and to the TAC within three (3) business days.

All critical notifiable incidents must be reported to the Regulator as per the SSR guide to reporting a notifiable incident and to the TAC by close of the next business day.

Early reporting is essential to ensure timely and effective responses are taken to address client/injured worker safety and wellbeing and to help mitigate against future incidents.

Reporting notifiable incidents informs the Regulator and the TAC of serious harm and risks of harm to TAC clients or WorkSafe injured workers during the delivery of disability services and actions taken by the service providers to address the immediate health and safety of the client or injured worker.

The following steps should be followed by TAC and WorkSafe funded disability providers to report and incident:

Step 1. Respond to the immediate needs of the client or injured worker

The disability service provider must ensure the client or injured worker’s health and safety needs are attended to immediately, including their mental and physical needs. Providers should seek medical assistance when required.

Step 2. Contact emergency services when required

Call 000 for emergency services (fire, ambulance or police).

Step 3. Notify the client or injured worker's family/guardian

Providers must notify the client's or injured worker’s family or guardian as soon as possible to explain the incident or allegation and the action being taken to remedy it.

Step 4. Complete the incident form (SSR and TAC)

TAC and WorkSafe funded disability service providers registered with the Regulator must follow the Guide to reporting a notifiable incident outlined by the Regulator. This includes completion of the Notifiable or Critical notifiable incident form.

Prior to submitting the form to the Regulator, providers will be able to download a copy of the form. Providers must download the completed SSR incident form and submit a copy to the TAC via the Serious incident and restrictive practice form.

The completion of this TAC form will enable the TAC to obtain essential information about incidents and promptly respond where needed.

Step 5. Notify the client or injured worker’s claims person

The TAC client or injured worker’s claims person should be notified and where necessary, discuss supports that may be required to ensure a client/injured worker’s safety and wellbeing.

The SSR guide to reporting a notifiable incident and the associated forms outline circumstances where an incident report is required.

The Regulator describes the following circumstances requiring incident reports:

Critical notifiable incidents

Unexpected death 

(during service delivery where that death was unexpected)

Escape from secure facility^

Only applies to service users (client or injured worker) in:

  • Secure care
  • Custodial care
  • Disability services where the relevant service user (client or injured worker) is subject to compulsory treatment or judicial orders.

Scope includes where a service user fails to return from temporary leave

Medication error 

The incident results in the service user (client or injured worker) requiring medical treatment at a hospital.

Key definitions:

  • Medical treatment means medical interventions undertaken to treat the physical impact of the medication error.

Examples of medication errors may include (and are not limited to) when a service user (client or injured worker):

  • is not administered their required medication
  • is given the wrong medication
  • is given a double dose of medication
  • accesses and takes secured medications (or medications are not adequately secured).
  • Examples of medication errors would not typically include incidents of substance abuse where the substance is obtained outside of the facility/care situation.

Physical abuse 

An incident results in the service user (client or injured worker) requiring medical treatment at a hospital.

Additional guidance:

  • Medical treatment means medical interventions undertaken to treat an injury
  • This does not include interventions to identify the existence of an injury.

Sexual abuse 

An incident required police involvement and the service user (client or injured worker) required medical treatment at a hospital.

Additional guidance:

  • Medical treatment means medical interventions undertaken to treat an injury arising from the sexual abuse and/or a forensic medical examination.
  • Medical treatment at a hospital includes a forensic examination at an alternative facility.
  • Police involvement means that the nature of the allegations and presentation of the alleged victim has warranted a notification to the police. This does not include any subsequent determination by the police on their pursuit of the matter.

Fire, flood or other emergency event 

Fire, flood or other emergency event that:

  • results in a service user requiring medical treatment at a hospital; and/or
  • the relocation of service users.

Notifiable incidents

Severe harm or injury

  • Severe physical, emotional or psychological injury or suffering
  • which is likely to cause ongoing trauma

Pattern of incidents causing harm

  • A pattern of incidents related to one service user which:
  • when taken together has a cumulative effect that causes serious harm or creates a risk of serious harm even if each individual incident is not a notifiable incident)

Emotional / psychological abuse

  • Actions or behaviours that reject, isolate, intimidate, or frighten by threats, or
  • witnessing of family violence
  • to the extent that the service user’s behaviour is disturbed or their emotional/psychological wellbeing is (or is at risk of being) seriously impaired. This includes:
  • rejecting, isolating, terrorising and ignoring behaviours
  • denying cultural or religious needs and preferences
  • emotional abuse perpetrated by other clients
  • staff on service user assault (see the frequently asked questions for more information)
  • Service providers should consider any potential power imbalance between the service user and the person engaging in the behaviour

Financial abuse

The misuse of a service user’s (client or injured worker) assets, property, possessions and finances without their consent, including:

  • denying a service user (client or injured worker) the use of their own assets, property, possessions and finances
  • theft, fraud, exploitation and pressure in relation to assets, property, possessions and finances
  • obtaining assets through deception.
  • This also includes financial abuse perpetrated by other service users

Self-harm / attempted suicide

Actions that intentionally cause harm or injury to self, or

  • actions to attempt suicide (the intention to end one’s own life).

Sexual exploitation

Sexual exploitation is defined as the abuse of a person under 18 or a person with a cognitive disability, which may include:

  • the exchange of sex or sexual acts for money, goods, substance or favours
  • involving a child in creating pornography
  • contact with a known sex offender.

Poor quality of care / neglect

Inappropriate or inadequate care by caregivers or staff to the extent that the health, wellbeing and development of the service user (client or injured worker) is significantly impaired or at risk.

Incident types

The SSR guide to reporting a notifiable incident and the associated forms outline circumstances where an incident report is required.

The Regulator describes the following circumstances requiring incident reports:

Critical notifiable incidents

Unexpected death 

(during service delivery where that death was unexpected)

Escape from secure facility^

Only applies to service users (client or injured worker) in:

  • Secure care
  • Custodial care
  • Disability services where the relevant service user (client or injured worker) is subject to compulsory treatment or judicial orders.

Scope includes where a service user fails to return from temporary leave

Medication error 

The incident results in the service user (client or injured worker) requiring medical treatment at a hospital.

Key definitions:

  • Medical treatment means medical interventions undertaken to treat the physical impact of the medication error.

Examples of medication errors may include (and are not limited to) when a service user (client or injured worker):

  • is not administered their required medication
  • is given the wrong medication
  • is given a double dose of medication
  • accesses and takes secured medications (or medications are not adequately secured).
  • Examples of medication errors would not typically include incidents of substance abuse where the substance is obtained outside of the facility/care situation.

Physical abuse 

An incident results in the service user (client or injured worker) requiring medical treatment at a hospital.

Additional guidance:

  • Medical treatment means medical interventions undertaken to treat an injury
  • This does not include interventions to identify the existence of an injury.

Sexual abuse 

An incident required police involvement and the service user (client or injured worker) required medical treatment at a hospital.

Additional guidance:

  • Medical treatment means medical interventions undertaken to treat an injury arising from the sexual abuse and/or a forensic medical examination.
  • Medical treatment at a hospital includes a forensic examination at an alternative facility.
  • Police involvement means that the nature of the allegations and presentation of the alleged victim has warranted a notification to the police. This does not include any subsequent determination by the police on their pursuit of the matter.

Fire, flood or other emergency event 

Fire, flood or other emergency event that:

  • results in a service user requiring medical treatment at a hospital; and/or
  • the relocation of service users.

Notifiable incidents

Severe harm or injury

  • Severe physical, emotional or psychological injury or suffering
  • which is likely to cause ongoing trauma

Pattern of incidents causing harm

  • A pattern of incidents related to one service user which:
  • when taken together has a cumulative effect that causes serious harm or creates a risk of serious harm even if each individual incident is not a notifiable incident)

Emotional / psychological abuse

  • Actions or behaviours that reject, isolate, intimidate, or frighten by threats, or
  • witnessing of family violence
  • to the extent that the service user’s behaviour is disturbed or their emotional/psychological wellbeing is (or is at risk of being) seriously impaired. This includes:
  • rejecting, isolating, terrorising and ignoring behaviours
  • denying cultural or religious needs and preferences
  • emotional abuse perpetrated by other clients
  • staff on service user assault (see the frequently asked questions for more information)
  • Service providers should consider any potential power imbalance between the service user and the person engaging in the behaviour

Financial abuse

The misuse of a service user’s (client or injured worker) assets, property, possessions and finances without their consent, including:

  • denying a service user (client or injured worker) the use of their own assets, property, possessions and finances
  • theft, fraud, exploitation and pressure in relation to assets, property, possessions and finances
  • obtaining assets through deception.
  • This also includes financial abuse perpetrated by other service users

Self-harm / attempted suicide

Actions that intentionally cause harm or injury to self, or

  • actions to attempt suicide (the intention to end one’s own life).

Sexual exploitation

Sexual exploitation is defined as the abuse of a person under 18 or a person with a cognitive disability, which may include:

  • the exchange of sex or sexual acts for money, goods, substance or favours
  • involving a child in creating pornography
  • contact with a known sex offender.

Poor quality of care / neglect

Inappropriate or inadequate care by caregivers or staff to the extent that the health, wellbeing and development of the service user (client or injured worker) is significantly impaired or at risk.

Reporting illness

An illness is described as: an unforeseen illness that is not described in the client’s care plan.

In the case of an illness or change in health of a client or injured worker, providers should contact the relevant TAC or Worksafe claims person to discuss any support needs. Where appropriate, ongoing care plans should be amended and outline how the provider will support the client or injured worker’s ongoing health and support needs.

Reporting Restrictive Practice

Certain disability providers are required to report Restrictive Practice to the TAC. Please refer to the TAC's Restrictive Practice Policy for further information.

Reporting alleged criminal acts

It is an expectation that disability service providers report alleged criminal activity to the police as soon as possible once being made aware of the allegation.

Reporting to the Coroner

In addition to reporting client or injured worker deaths through the incident reporting processes, a statutory obligation to report deaths to the Coroner may also apply. A ‘reportable death’ to the Coroner includes deaths that appear to be unexpected, unnatural or violent or to have resulted, directly or indirectly, from accident or injury.

For more information, please visit the Coroners Court website.

Third party information

A Serious incident and restrictive practice form may include personal information obtained from a third party. A third party includes someone who is not a client/injured worker or staff member of disability service provider. A third party may be involved in witnessing an incident or making an allegation. Where a third party is involved in an incident or allegation, the provider should notify them that the information will be shared with the TAC or WorkSafe.

Additional information

Reporting illness

An illness is described as: an unforeseen illness that is not described in the client’s care plan.

In the case of an illness or change in health of a client or injured worker, providers should contact the relevant TAC or Worksafe claims person to discuss any support needs. Where appropriate, ongoing care plans should be amended and outline how the provider will support the client or injured worker’s ongoing health and support needs.

Reporting Restrictive Practice

Certain disability providers are required to report Restrictive Practice to the TAC. Please refer to the TAC's Restrictive Practice Policy for further information.

Reporting alleged criminal acts

It is an expectation that disability service providers report alleged criminal activity to the police as soon as possible once being made aware of the allegation.

Reporting to the Coroner

In addition to reporting client or injured worker deaths through the incident reporting processes, a statutory obligation to report deaths to the Coroner may also apply. A ‘reportable death’ to the Coroner includes deaths that appear to be unexpected, unnatural or violent or to have resulted, directly or indirectly, from accident or injury.

For more information, please visit the Coroners Court website.

Third party information

A Serious incident and restrictive practice form may include personal information obtained from a third party. A third party includes someone who is not a client/injured worker or staff member of disability service provider. A third party may be involved in witnessing an incident or making an allegation. Where a third party is involved in an incident or allegation, the provider should notify them that the information will be shared with the TAC or WorkSafe.

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