Document ID: chunk:federal_register_of_legislation:F2018N00155:reg:5:p7
Version: federal_register_of_legislation:F2018N00155
Segment Type: reg
Provision Reference: reg 5 (pt 7/13)
Character Range: 20633–23521

fairness steps in dealing with a complaint that alleges inappropriate conduct by a worker
    (1)                A registered NDIS provider that is intending to investigate or act upon a complaint it has received that expressly or implicitly alleges inappropriate conduct by a worker should have regard to the following procedural fairness steps:

       (a)    Identify whether any information that may be taken into account in resolving the complaint was provided on a confidential basis or may be confidential in nature, and if so –

              1. consider how confidentiality can be maintained consistently with affording procedural fairness to the worker, and
              2. if it may be difficult practically to maintain confidentiality in resolving the complaint, consult with the person who provided the information to inform them of this difficulty and ascertain if they wish the complaint to proceed.

       (b)    Identify if the allegation relates to the behaviour of more than worker, and whether the same (or different) procedural fairness steps should apply to each worker.

       (c)    Consider who is an appropriate person within the registered NDIS provider's organisation to manage the complaint, and whether more than one person should discharge the role of examining the complaint, consulting with interested parties, ensuring that procedural fairness is provided to the worker, and making a decision on the complaint. More than one person may manage the complaint for organisational reasons or to avoid conflicts of interest or the appearance of bias.

       (d)    Identify the training, policies, procedures and any other relevant systems of work provided to the worker in the context of the supports or services in which the allegation arose.

       (e)    Determine an appropriate process for managing the complaint, having regard to the matters considered in paragraphs (a), (b) and (c), and aspects of this instrument.

       (f)     Inform the worker of the issue to be investigated, and the allegation(s) made against the worker. There is no formal requirement as to how the notice is to be given or the issues are to be framed – though the prudent course is to give notice in writing if the matters or potential sanctions under consideration are serious in nature.

       (g)    Inform the worker how the matter will be investigated, including who is conducting the investigation, how long it is expected to take, and how the investigation will be reported.

       (h)    Adequate details of any allegation should be given to enable the worker to respond in a constructive manner – for example, tell the worker what they are alleged to have done or omitted to do, when the incident occurred, and of any evidence that tends to confirm the allegation. Draw the worker's attention to any issue that may be critical to the outcome but which may not