How to Identify and Report Misconduct in the NDIS

Misconduct can come in a wide variety of forms and it’s not always easy to spot. But when it comes to working in the NDIS, there is a higher expectation for vigilance.

What Is Misconduct?

Misconduct is usually defined as improper or unacceptable behaviour, especially as it relates to a professional working in their field of business.

This definition is quite broad. Misconduct could describe a worker failing to meet their employer’s dress code, or on the other hand it could be used for illegal acts like fraud or sexual abuse.

In ‘protected settings’ such as healthcare, aged care and the NDIS where some people may be more vulnerable to negative outcomes resulting from misconduct, it’s important to understand what might constitute an act of misconduct and the appropriate steps that need to be taken in reporting it.

5 Common Types of Misconduct

Professional Misconduct

Professional misconduct can describe any inappropriate or illegal behaviour by a worker in their place of work. It could be a minor act that contravenes a specific company policy, or more serious acts like bullying, verbal or physical abuse.

Sexual Misconduct

Sexual misconduct relates to acts that are specifically sexual in nature whether they are verbal, physical or otherwise. For example, sexual misconduct might describe a worker who sends their client pornographic images.

Fraud

Fraud generally relates to an act of deception designed at resulting in personal gain and is usually financial in nature. It could describe a job applicant lying about their credentials, or a service provider consistently and knowingly booking more hours against a job.

Theft

Theft is defined as a person wrongfully acquiring some else’s property. In some professional circumstances, it’s unacceptable for a worker to receive a gift or tip from their client, and doing so anyway may constitute theft even if the client gave their consent.

Abuse

Abuse is used to describe the act of causing someone harm or distress, whether physical, mental or even financial. Like misconduct, it’s a broad term that can be used to describe a variety of acts, such as sexual abuse, mental abuse and much more. Unlike misconduct, which tends to relate specifically to workplace-related behaviours, abuse can describe acts both inside and outside of professional settings.

Whose Responsibility Is It to Report Misconduct?

Whether you’re a client, customer, employee or manager of an organisation, it’s everyone’s responsibility to report incidences of misconduct. The more serious or potentially damaging the incident, the more important it is to report it.

The NDIS has clear guidelines regarding what constitutes a reportable incident, including some things that aren’t misconduct, such as the death or injury of a person with a disability (which may occur without any misconduct having occurred, but needs to be reported anyway).

When misconduct occurs that isn’t considered a reportable incident by the NDIS, it is still worthwhile reporting it to any other organisations involved. This may include a Plan Manager, support coordinator or a business engaged with providing support services to a person with disability.

Every business that’s registered with the NDIS is required to have a clear incident reporting process in place.

How to Tell If an Incident Has Occurred

Generally speaking, an incident of misconduct, just like in the case of a crime, can be suspected or alleged before being proven to have occurred.

• A suspected case of misconduct is when someone sees indirect signs that misconduct has occurred, but didn’t witness it and hasn’t yet made a claim that an incident took place.
• An alleged case of misconduct is when someone makes a claim or reports an incident, but it has not yet been proven to have occurred.

For an incident to result in action, whether it’s by the NDIS, the police or an employer, an investigation will need to take place that gathers and takes into account the relevant evidence, including things like recorded communications, doctors’ reports or financial reporting – it all depends on the specific nature of the alleged incident.

Some cases of misconduct are much harder to identify than others, but if you work with participants in the NDIS, there are several key signs to watch out for as ‘red flags’:

• The participant or their representative makes a disclosure – this is the most obvious red flag, where a participant or someone acting on their behalf tells you that an incident has occurred.
• The participant appears withdrawn or their behaviour changes – an uncharacteristic change of mood or physical appearance may indicate misconduct or even abuse by someone they know.
• Something’s ‘just not right’ – working with the same person or people for a long time can provide a lot of insight into what’s regular and what’s out of place. When things suddenly change, such as items or money going missing or property is damaged, it could be an indicator of misconduct.

Key Steps to Reporting an Incident

If there’s reason to suspect an incident has occurred, you’ve received a complaint or allegation of misconduct, or even witnessed one first-hand, there are several clear steps to take.

1. Consider the Immediate Safety of All Involved

If anyone’s in need of medical assistance or there’s an immediate possibility of harm, be sure to call 000 without delay.

Steps should also be taken to make sure you and any others involved out of harm’s way before proceeding further.

2. Collect and Protect Evidence

When an incident has occurred or disclosure of an incident has been made, it’s important to record relevant details wherever possible.

That means talking to parties involved and writing down their exact words as they say them, noting the times, dates and any other relevant information that could prove useful for a potential investigation.

If there is physical evidence of an incident, such as damaged property, take care not to disturb the evidence in any way, this includes refraining from cleaning clothing or bedlinen.

The NDIS also recommends that, in the case of an alleged sexual assault, ‘try to delay the victim bathing or showering until the police arrive’.

If you’re working for an organisation that has specific incident management procedures, be sure to follow them to the letter.

Take the time to communicate with others who may be impacted by the incident, particularly to the participant if they were involved. Be sure to explain why you’re recording the information and that you are required to make the report.

3. Report to All Relevant Authorities

If the incident can be considered reportable by the NDIS, then you should contact the NDIS Quality and Safeguards Commission as soon as possible. You should also contact the police without delay should the incident be criminal in nature.

Employees of service providers should report to their employing organisation regardless of whether the incident is considered reportable or not, so that accurate details are maintained. If the situation escalates to become a reportable incident in the future, these reports will be useful for providing additional context to future investigations.

For clients and representatives of Capital Guardians, any and all incidents can be reported through our online form.

Where to Go for More Information

All NDIS providers and their employees must read and uphold the NDIS Code of Conduct regardless of whether they’re registered or not. This contains information and procedures relating to incident management and reporting.

You can find out more about the NDIS procedures for incident management and reportable incidents on the Commission’s website.

DSC also has a handy article explaining reportable incidents and incident management.

If you have any concerns about potential misconduct that isn’t reportable, it’s advised you discuss it with other NDIS experts in your network, which may include support coordinators and plan managers.