What evidence does an auditor or the regulator ask for under NDIS Practice Standards Core 13.1 to Core 13.4?

Complaints management and resolution policy and procedure; Complaints register with dates received, acknowledged, actions and outcomes; Sample complaint files showing both sides heard and reasons given; Easy Read complaints information with NDIS Commission contact details; Handbook or service agreement section on feedback and complaints; Records of advocacy offered during complaints; Periodic complaints trend analysis reported to management or the board; Participant survey results on the accessibility of the complaints process; Policy review records showing changes made from complaints; Traini

Rules / NDIS Practice Standards and Quality Indicators

Practice StandardsNDIS Practice Standards and Quality Indicatorsndis-practice-standards--core-complaints

Requirement

Core module: Complaints

The Core module outcome complaints: every quality indicator the NDIS Practice Standards set for it (Core 13.1 to Core 13.4), what an auditor asks to see under each, the common gaps, and a free worksheet to fill in.

Clause

NDIS Practice Standards Core 13.1 to Core 13.4

Regulator

NDIS Quality and Safeguards Commission

Edition held

Rules Schedules 1 to 8, Compilation No. 6 (F2026C00527) and Quality Indicators Guidelines Compilation No. 3 (F2026C00528), in force 1 July 2026

Checked current

6 October 2026, Federal Register: both compilations are the latest version on 6 October 2026

Who it applies to

Registered NDIS providers audited by certification: registered for early childhood supports, specialist behaviour support, implementing behaviour support plans or regulated restrictive practices, or specialised support coordination. An individual or partnership whose only certification requirement is early childhood supports meets only Core clause 7 (freedom from abuse) and Module 3 (Rules s 20(4) and (5)).

Every clause in the standards library

NDIS Practice Standards and Quality Indicators on the standards library

Under review, not in force

The NDIS Commission's review of the Practice Standards (a proposed quality framework and changes to the standards and how they are assessed) is still being considered; nothing from it is in force.

Core 13.1Complaints: proportionate, fair system complying with the complaints rulessource

Requirement, our statement of the clause

The provider keeps a complaints management and resolution system proportionate to its supports and size that follows procedural fairness and natural justice and meets the NDIS (Complaints Management and Resolution) Rules 2018.

Evidence that typically shows this

Complaints management and resolution policy and procedure
Complaints register with dates received, acknowledged, actions and outcomes
Sample complaint files showing both sides heard and reasons given

Common gap to check

No timeframes for acknowledgement and resolution
Complaints about staff investigated by the person complained about

Core 13.2Complaints: participants told how to complain, including externally, without fearsource

Requirement, our statement of the clause

Each participant is told how to give feedback or complain, including to bodies outside the provider such as the NDIS Commission, and about their right to an advocate; anyone who gives feedback or complains is supported and not disadvantaged.

Evidence that typically shows this

Easy Read complaints information with NDIS Commission contact details
Handbook or service agreement section on feedback and complaints
Records of advocacy offered during complaints

Common gap to check

External complaint avenues missing from participant information
Participants report fearing loss of service if they complain

Core 13.3Complaints: continuous improvement in complaints and feedback managementsource

Requirement, our statement of the clause

The provider shows continuous improvement in feedback and complaints handling by regularly reviewing its policies and procedures, asking participants how accessible the system is, and using what it learns across the organisation.

Evidence that typically shows this

Periodic complaints trend analysis reported to management or the board
Participant survey results on the accessibility of the complaints process
Policy review records showing changes made from complaints

Common gap to check

Complaints closed one by one with no trend review
Never asking participants whether the system works for them

Core 13.4Complaints: workers aware of the system, trained and following itsource

Requirement, our statement of the clause

All workers know about, are trained in and follow the required complaints handling procedures. Where an incident is also the subject of a complaint, the obligations in ss 73W and 73X of the NDIS Act and the complaints rules apply.

Evidence that typically shows this

Training records on complaints handling for all workers
Induction checklist covering how to receive and escalate a complaint
Worker interview or quiz results on complaints procedure

Common gap to check

Front-line workers do not record verbal complaints
New casual workers not trained before their first shift

Worksheet: what your practice holds, and where

Ref	Held (yes, partly, no, not applicable)	Where it is kept	Owner	Last reviewed	Next review
Core 13.1
Core 13.2
Core 13.3
Core 13.4

Download the worksheet (CSV)Print the worksheet (A4)

Completing this worksheet records what your practice holds and where. It does not make a practice compliant or ready for audit, and it is not legal advice.

Related requirements

NDIS Practice Standards and Quality Indicators

Core 12.1 to Core 12.4Core module: Information management
Core 14.1 to Core 14.4Core module: Incident management
Core 11.1, Core 11.2, Core 11.3Core module: Quality management
Core 15.1 to Core 15.10Core module: Human resources
Core 10.1 to Core 10.6Core module: Risk management
Core 16.1 to Core 16.5Core module: Continuity of supports
Core 9.1 to Core 9.8Core module: Governance
Core 16A.1 to Core 16A.9Core module: Emergency and disaster
Every page of this instrument

The same topic in other instruments (complaints)

NDIS Act s 73WImplement and maintain a complaints management and resolution system
Complaints Rules Part 3Act on what the Commissioner requires in dealing with a complaint
Complaints Rules s 7Implement and maintain a complaints management and resolution system that meets the Rules
Complaints Rules s 8(1), (2)Anyone can complain, easily, with support
Children guidance Q-4Make it safe for families to raise concerns and complain
Ahpra shared Code of conduct 4.6Complaints

See every requirement for your practice See the specimen practice