Complaints management
Complaints management is the system an NDIS provider uses to receive, record, resolve and learn from complaints. Registered providers must let anyone complain, including anonymously, resolve complaints fairly and on time, tell people they can go to the NDIS Commission, protect complainants and keep records for 7 years.
Also called: Complaints management system, NDIS complaints handling, Feedback and complaints management, Complaints and feedback NDIS
Key takeaways
- All registered NDIS providers must have a complaints management system that complies with the NDIS (Complaints Management and Resolution) Rules 2018.
- Anyone can complain, including anonymously, and complainants must not suffer adverse consequences for complaining.
- Providers must tell complainants they can take the matter to the NDIS Commission and help them do so.
- Complaints records must be kept for 7 years and used to identify systemic issues.
- A complaint that describes a reportable incident triggers incident obligations at the same time.
What is complaints management in the NDIS?
Complaints management is the system an NDIS provider uses to receive, record, resolve and learn from complaints about its supports. Every registered provider must have one that lets anyone complain (including anonymously), handles complaints fairly and on time, tells people they can go to the NDIS Commission, protects complainants from adverse consequences and keeps records for 7 years.
The requirements come from Part 2 of the NDIS (Complaints Management and Resolution) Rules 2018, which apply to all registered NDIS providers. Failing to comply is a breach of a condition of registration. The Feedback and complaints management outcome in the NDIS Practice Standards, and a matching standard in the Verification module, are how auditors test it.
Participants and families meet complaints management when something goes wrong with a support. Providers meet it as a policy, a register, a set of trained workers and a periodic review.
What the Complaints Rules require
The Rules are short, but each section translates into something an auditor will look for:
| Requirement | What it means in practice |
|---|---|
| Anyone can complain, including anonymously | Accept complaints from participants, families, workers, advocates and the public, with an anonymous channel |
| An easy, accessible process with support to complain | Several channels and formats, such as Easy Read, and help for people who need it |
| Fair, efficient and timely resolution | Internal timeframes you track against |
| Tell people they can complain to the Commissioner | Commission contact details in acknowledgements and outcome letters |
| No adverse effect for complaining | No retaliation and no changes to services because someone complained |
| Procedural fairness | Hear all sides; an unbiased decision-maker; decisions based on evidence |
| Records kept for 7 years | A complaints register with the complaint, action taken and outcome |
| Data used to find systemic issues | Categorised data, trend reviews, and reporting to the Commissioner on request |
| Trained workers and periodic review | Complaints training at induction and refreshers; a scheduled, minuted system review |
The Quality Indicators Guidelines add that participants should be told how to complain, including to bodies outside the provider and through advocates, and that providers should seek participants' views on how accessible the system is.
How a complaint is handled
A workable procedure follows the same steps whatever the channel:
- 1Receive and recordLog it the day it arrives, whatever the channel.
- 2Check for incidentsIf it describes a reportable incident, start incident obligations too.
- 3AcknowledgeExplain next steps, timeframes and the right to contact the Commission.
- 4Assess and assignDecide seriousness and who handles it — never someone involved.
- 5Investigate fairlyHear the complainant, affected participants and workers.
- 6Decide and communicateExplain the outcome, reasons, actions and review options.
- 7Close and learnRecord actions and link improvements to your continuous improvement register.
The second step is the one most often missed. A complaint can describe a reportable incident, such as alleged abuse or neglect or an unauthorised restrictive practice. If it does, your incident management obligations and notification timeframes apply at the same time. The free reportable incident checker helps staff make that call.
Complaints management vs incident management
Complaints and incidents overlap but are separate systems with separate Rules. A complaint is an expression of dissatisfaction that someone raises with you; an incident is something that happened, whether or not anyone complained.
| Question | Complaints management | Incident management |
|---|---|---|
| Triggered by | Someone expressing dissatisfaction | Something that happened in connection with supports |
| Governing Rules | Complaints Management and Resolution Rules 2018 | Incident Management and Reportable Incidents Rules 2018 |
| Notify the Commission? | Not routinely; data on request | Yes, for reportable incidents within set timeframes |
| Records kept | 7 years | 7 years |
Making it easy to complain
The NDIS Commission lists "Do you know how to make a complaint?" among the questions auditors may ask participants (quality audit process). If the answer is no, the system isn't working, however good the policy. Practical ways to lower the barrier:
- Offer several channels: in person, phone, email, text, a web form and a paper form, plus an anonymous option.
- Match each participant's communication needs, with Easy Read and translated versions.
- Explain the process when the service agreement is signed and again at plan reviews.
- Name an alternative contact so nobody has to complain to the person they are complaining about.
- Tell participants they can have an advocate, and help them find one.
- Train workers to recognise verbal complaints, such as "I don't like the new worker" said over dinner.
Participants can also complain directly to the NDIS Commission, about registered or unregistered providers and their workers. The NDIS Code of Conduct applies to both.
Using complaints data to improve
The Rules require your system to collect statistical and other information so you can review issues, identify and address systemic problems, and report to the Commissioner if asked. Auditors look for evidence that this actually happens, usually in management or board minutes. A simple quarterly review covers:
- the number of complaints by category, site and channel, compared with the last quarter
- average time to acknowledge and to resolve, and any complaints still open past your timeframe
- themes, such as the same issue at several houses or the same worker named repeatedly
- improvements made because of complaints, with evidence they worked
Set clear triggers for escalating a complaint to senior management or the board: complaints about key personnel, allegations of harm, complaints involving several participants, repeat complaints on the same issue, and complaints not resolved within your internal timeframe. Link each improvement to your continuous improvement register so you can show the loop from complaint to change.
- Runs in parallel when a complaint describes an incident
- Feedback and complaints management is a core outcome
- A complaints system is a condition of registration
- Must be notified to the Commission even if raised as a complaint
- Breaches can be complained about to the Commission
Common mistakes
- Only logging formal written complaints and ignoring verbal ones.
- No anonymous channel.
- Outcome letters that don't mention the Commission.
- The person complained about handling the complaint.
- No record of the periodic review of the system.
- Treating a complaint about abuse as a customer service issue and missing incident obligations.
- Reading a low complaint count as good news. It can mean people don't know how to complain or don't feel safe to.
- Reference, date received and channel
- Complainant type (participant, family, worker, anonymous, other)
- Participants affected
- Summary and category
- Linked incident reference, if any
- Handler, date acknowledged and date resolved
- Action taken and outcome
- Whether referred externally and any improvement item
Example
Illustrative example (fictional). Mei's brother Tom lives in a shared home supported by a registered provider. During a visit, Tom tells Mei that a worker shouts at him when he is slow getting ready in the morning. Mei phones the provider's complaints line.
The complaints officer logs the call that day, then checks whether it could be a reportable incident. Because it may involve abuse, the provider follows its incident procedure and notifies the NDIS Commission within the required timeframe, while handling the complaint in parallel. The worker is moved to another house while a manager who doesn't supervise them investigates.
Mei receives an acknowledgement explaining the next steps, the expected timeframe and that she can also contact the NDIS Commission. Tom is asked how he wants to be kept informed and chooses to have Mei with him. The outcome, the reasons and the retraining that followed are recorded in the complaints register, and the quarterly review notes a second complaint about morning routines at the same house.
Frequently asked questions
What are the NDIS complaints management requirements?
Registered providers must have a documented, accessible complaints system that lets anyone complain, including anonymously, resolves complaints fairly and on time, tells people they can complain to the NDIS Commission, protects complainants, trains workers, keeps records for 7 years and uses data to fix systemic issues.
How do I make a complaint about an NDIS provider?
You can raise it with the provider first using its complaints process, which must be easy to use and can be anonymous. You can also complain directly to the NDIS Quality and Safeguards Commission, about both registered and unregistered providers.
How long must NDIS providers keep complaints records?
At least 7 years from when each record is made, under the NDIS (Complaints Management and Resolution) Rules 2018. Other Commonwealth, state or territory laws may require some records to be kept longer.
Do unregistered NDIS providers need a complaints system?
The Complaints Rules' system requirements apply to registered providers. Unregistered providers must still follow the NDIS Code of Conduct, and participants can complain to the NDIS Commission about them.
What is the difference between a complaint and an incident?
A complaint is dissatisfaction someone raises with a provider; an incident is something that happened in connection with supports, whether or not anyone complained. A complaint can describe an incident, and then both sets of obligations apply.
Can an NDIS provider stop services because I complained?
No. The Complaints Rules require providers to ensure that people who make complaints, and affected participants, are not adversely affected because a complaint was made.
Related terms
- Incident management systemAn incident management system is the documented policies, procedures and records a registered NDIS provider uses to identify, respond to, record, investigate and learn from incidents connected with its supports. Every registered provider must have one under the NDIS Act and Rules.
- NDIS Code of ConductThe NDIS Code of Conduct is a set of eight legally binding rules of behaviour for all NDIS providers, their key personnel and workers, registered or not. It covers respect for rights, privacy, safe and competent support, integrity, raising concerns, preventing abuse and sexual misconduct, and fair pricing for goods.
- NDIS Practice StandardsThe NDIS Practice Standards are the quality and safety standards that registered NDIS providers must meet and are audited against. Grouped into core, verification and supplementary modules such as SIL, each standard has a participant outcome and quality indicators that auditors use to rate the provider.
- NDIS Quality and Safeguards CommissionThe NDIS Quality and Safeguards Commission (NDIS Commission) is the independent national regulator of NDIS providers and workers. It registers providers, enforces the Code of Conduct and Practice Standards, handles complaints and reportable incidents, and oversees restrictive practices. It does not fund supports.
- NDIS complianceNDIS compliance means meeting the legal obligations on NDIS providers and workers: the NDIS Act and Rules, the Code of Conduct and the NDIA's pricing and claiming rules, plus, for registered providers, conditions of registration such as the Practice Standards, audits and incident reporting.
- Registered NDIS providerA registered NDIS provider is a person or organisation approved by the NDIS Quality and Safeguards Commission, after a Practice Standards audit, to deliver specific NDIS supports. Registration lets them serve NDIA-managed participants and deliver supports such as SIL and SDA, subject to ongoing conditions.
- Reportable incidentA reportable incident is a serious incident, or allegation, connected with NDIS supports that a registered provider must notify to the NDIS Commission: a death, serious injury, abuse or neglect, unlawful contact or assault, sexual misconduct, or an unauthorised restrictive practice. Most are due within 24 hours.
Go deeper
Sources
- legislation.gov.au/F2018L00634/latest/text
- legislation.gov.au/F2018N00041/latest/text
- ndiscommission.gov.au/provider-registration/apply-registration/types-audits
- ndiscommission.gov.au/rules-and-standards/ndis-code-conduct
- ndiscommission.gov.au/rules-and-standards/ndis-practice-standards/verification-module
- ndiscommission.gov.au/rules-and-standards/ndis-practice-standards
General information, not legal, clinical or financial advice. NDIS rules change — check the official source before you act.
Suppora editorial team
NDIS operations and compliance writers
The Suppora editorial team writes practical guides for NDIS providers, checked against the NDIS Commission, NDIA and Fair Work sources cited on each page.
- NDIS Practice Standards
- NDIS pricing and claiming
- SCHADS Award
- Incident management
- Supported Independent Living