NDIS Complaints Management and Resolution Policy Template

What's in this template?

This free NDIS Complaints Management and Resolution Policy template is aligned to Core Module 1 of the NDIS Practice Standards (Version 4, November 2021). It provides a comprehensive framework for managing participant complaints in accordance with the NDIS Quality and Safeguards Commission's requirements, covering complaint receipt, investigation, resolution, external escalation, and continuous improvement.

The template covers 19 sections:

1. Purpose — commitment to transparent, accessible, and fair complaint management aligned to NDIS Practice Standards
2. Scope — all complaints from participants, families, advocates, and stakeholders; all aspects of NDIS-funded service delivery
3. Legislative and Regulatory Framework — NDIS Act 2013, Practice Standards, Code of Conduct, Complaints Management Rules, Privacy Act, Disability Discrimination Act
4. Guiding Principles — accessibility, person-centred approach, fairness, confidentiality, timeliness, no retribution, continuous improvement
5. How to Make a Complaint — multiple channels (verbal, written, electronic, through an advocate), accessible formats, Easy Read
6. Roles and Responsibilities — Complaints Officer, Key Personnel/Responsible Person, all workers
7. Receiving and Recording Complaints — active listening, communication supports, complaints register
8. Acknowledgement and Initial Assessment — 2 business day acknowledgement, severity assessment, mandatory reporting check
9. Investigation — evidence gathering, participant interviews, root cause analysis, 21-day target
10. Resolution and Response — communication of findings, resolution options (apology, procedure change, training, reassignment)
11. NDIS Quality and Safeguards Commission — contact details, complainant rights to external escalation at any time
12. Reportable Incidents and Mandatory Reporting — cross-reference to incident management, 24-hour notification obligations
13. Complaints Register — what to record, 7-year retention, secure storage
14. Reporting, Analysis, and Continuous Improvement — quarterly review, trend analysis, governing body reporting, annual system review
15. Support for Complainants — advocacy services, accessible formats, no adverse action
16. Support for Workers — EAP, fair process, debriefing
17. Training — induction, annual refresher, reportable incident recognition
18. Related Policies — cross-references to Incident Management, Risk Management, Privacy, Participant Rights
19. Review History — version control and approval

Editable placeholder fields

• {{practice_name}}, {{abn}}, {{ndis_registration_number}}, {{practice_address}}, {{phone}}, {{email}}
• {{responsible_person}} — key personnel / responsible person
• {{complaints_officer_name}} and {{complaints_officer_email}}
• {{review_date}}, {{next_review_date}}

NDIS Practice Standards requirement

Core Module 1 — Complaints Management requires that each participant has access to a complaints management and resolution system. The NDIS Quality and Safeguards Commission's Verification Module Required Documentation Guide specifies that registered providers must demonstrate:

• A documented complaints management policy that is accessible to participants
• Participants are informed about how to make a complaint at the commencement of supports, including their right to contact the NDIS Commission directly
• Complaints are acknowledged, investigated, and resolved in a timely manner
• Complaints data is recorded, analysed, and used to drive improvements
• Workers are trained in the complaints process
• No adverse action is taken against anyone who makes a complaint

During a verification audit, auditors will typically review the complaints policy, check the complaints register for evidence of complaints being managed, ask participants whether they know how to complain, and ask workers to describe the process.

The relevant legislation includes the NDIS Act 2013, the NDIS (Complaints Management and Resolution) Rules 2018, and the NDIS Code of Conduct, which requires workers and providers to prevent and respond to violence, abuse, neglect, exploitation, and discrimination.

How to customise this template

1. Download the Word document and fill in all {{placeholder}} fields with your organisation's details
2. Add your NDIS registration number — this appears on the title page and confirms your registration status
3. Appoint a Complaints Officer — nominate the person responsible for managing complaints and add their contact details
4. Add state/territory legislation — Section 3 has a prompt to add relevant state or territory disability legislation
5. Set up your complaints register — spreadsheet, database, or incident management software
6. Create accessible versions — prepare an Easy Read summary of the complaints process for participants
7. Display complaints information in service delivery locations and on your website
8. Include complaints information in service agreements — participants must be told how to complain at the start of services
9. Brief all workers on the process, particularly frontline support workers who interact directly with participants

Frequently asked questions

Is a complaints management policy required for NDIS registration?

Yes. All registered NDIS providers must have a complaints management and resolution system as part of Core Module 1 of the NDIS Practice Standards. This applies to both verification and certification audit pathways. The NDIS Quality and Safeguards Commission expects a documented policy, an accessible complaints process, and evidence that complaints are investigated and used for improvement.

What is the difference between a complaint and a reportable incident?

A complaint is an expression of dissatisfaction about any aspect of your services. A reportable incident is a specific type of incident (death, serious injury, abuse, neglect, unlawful contact, or unauthorised restrictive practice) that must be reported to the NDIS Commission within 24 hours. A complaint may reveal a reportable incident — if it does, you must follow both your complaints process and your incident management obligations.

Can participants complain directly to the NDIS Commission?

Yes. Participants can contact the NDIS Quality and Safeguards Commission at any time, including before, during, or after your internal complaints process. You must inform participants of this right. The Commission's complaints line is 1800 035 544.

How often should we review our complaints policy?

The NDIS Practice Standards expect policies to be regularly reviewed. ClinicComply recommends reviewing the complaints policy at least annually, or sooner if there are significant changes to your services, staffing, or regulatory requirements. Complaint trend data from your quarterly reviews should inform updates to the policy.

What does "no retribution" mean in practice?

It means that participants, families, and advocates must not experience any negative consequences for making a complaint. This includes changes to their supports, reduced service quality, or any form of intimidation. Workers who report complaints in good faith are also protected. The NDIS Code of Conduct explicitly prohibits retribution.

Do we need Easy Read versions of our complaints process?

The NDIS Practice Standards require that complaints information is accessible to participants. For many NDIS participants, this means providing information in Easy Read format, using visual supports, or offering information in community languages. Your policy should describe how you make the complaints process accessible for your specific participant group.