Registration renewal process guide - Information for registered NDIS providers seeking to renew their registration - NDIS Quality and ...
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Registration renewal process guide Information for registered NDIS providers seeking to renew their registration July 2018 Version 1
Contents
What is this guide about? .......................................................................................................... 2
Why do I need to renew my registration with the NDIS Commission? ..................................... 2
What are the requirements to register as an NDIS provider under the NDIS Commission? .... 2
What are the NDIS Practice Standards? .................................................................................... 3
When do I need to renew my registration with the NDIS Commission?................................... 4
Registration expiry date ........................................................................................................ 4
How do I renew my registration? .............................................................................................. 5
Assessing against the NDIS Practice Standards ......................................................................... 5
1. Verification................................................................................................................... 6
2. Certification ................................................................................................................. 6
Proportionate requirements ................................................................................................. 6
What happens after I submit an application to renew registration? ........................................ 7
Can I change my renewal application after it is submitted? ..................................................... 7
Who can I contact about the status of my application?............................................................ 7
More information ...................................................................................................................... 7
Annexure A – Step-by-step guidance for renewal of registration with
the NDIS Commission................................................................................................................. 8
Step 1: Application details..................................................................................................... 8
Step 2: Provider details ....................................................................................................... 10
Step 3: Key Personnel.......................................................................................................... 12
Step 4: Addresses ................................................................................................................ 13
Step 5: Registration groups ................................................................................................. 13
Step 6: Service delivery questions ...................................................................................... 14
Step 7: Self-assessment....................................................................................................... 15
Step 8: Suitability questions ................................................................................................ 16
Step 9: Outlets ..................................................................................................................... 20
NDIS Quality and Safeguards Commission 1What is this guide about?
This guide outlines the process for renewing an NDIS provider registration under the
requirements of the NDIS Quality and Safeguards Commission (NDIS Commission). The
information in this guide is designed to support NDIS provider that were registered with the
National Disability Insurance Agency (NDIA) before 1 July 2018. Organisations in NSW and
SA that wish to provide NDIS services and supports should refer to the Registration Process
Guide.
Why do I need to renew my registration with the NDIS
Commission?
Registered NDIS Providers are required to renew their registration so that the NDIS
Commission can be satisfied that the supports and services to NDIS participants are being
delivered in line with the new quality and safeguarding requirements for the NDIS.
The NDIS Commission will start operating on:
• 1 July 2018 for New South Wales and South Australia;
• 1 July 2019 for all other states and territories except Western Australia; and
• 1 July 2020 for Western Australia.
Until the NDIS Commission is in place in each jurisdiction, NDIS participants, providers and
workers will continue to operate under their state or territory’s existing quality and
safeguards systems and they remain registered with the National Disability Insurance
Agency (NDIA).
What are the requirements to register as an NDIS
provider under the NDIS Commission?
To register as an NDIS provider under the NDIS Commission requirements you will need to
meet relevant parts of the NDIS Practice Standards in relation to the supports and services
your organisation delivers, or is intending to deliver.
The NDIS Commission will also take into account your organisation’s suitability to deliver
NDIS supports and services when making a decision on your registration application.
The registration process is designed to assess the suitability of providers to deliver NDIS
supports and services to NDIS participants, and the providers’ compliance with the NDIS
Practice Standards.
An important part of assessing that compliance is to consider how a provider
operationalises policies and procedures in the course of delivering supports and services.
The process of assessing compliance includes inputs from NDIS participants and other
stakeholders experiencing the services.
NDIS Quality and Safeguards Commission 2The NDIS Code of Conduct also considers the behaviours and conduct of workers (and the
provider) in how it goes about supporting people accessing their services.
Auditors are trained in how to consider the experience of NDIS participants, and the
operational practices of an NDIS provider in receiving supports and services.
These are all important inputs the NDIS Commission’s consideration of any new registration
application, or renewal.
Registered NDIS providers are required to:
• comply with new conditions of registration and the NDIS Practice Standards
• as part of their registration application or renewal process, complete a self-assessment
against the NDIS Practice Standards and undergo an audit against the NDIS Practice
Standards by a certified auditing body approved by the NDIS Commission
• comply with the new NDIS Code of Conduct and support their workers to meet its
requirements
• have an in-house complaints management and resolution system and support
participants to make a complaint
• have an in-house incident management system and notify the NDIS Commission of
reportable incidents
• ensure all workers are screened through a new national worker screening process
• meet new behaviour support requirements (if applicable), including reporting restrictive
practices to the NDIS Commission.
The quality indicators that NDIS providers use to demonstrate compliance with the NDIS
Practice Standards depend on the type of organisation, and the supports and services to be
delivered.
What are the NDIS Practice Standards?
NDIS Practice Standards create an important benchmark for providers to assess their
performance, and to demonstrate how they provide high quality and safe supports and
services to NDIS participants. Together with the NDIS Code of Conduct, the NDIS Practice
Standards will assist NDIS participants to be aware of what quality service provision they
should expect from NDIS providers.
The NDIS Practice Standards set out some of the requirements that applicants must comply
with to be registered as an NDIS provider. The NDIS Practice Standards consist of a core
module and several supplementary modules that apply according to the types of supports
and services NDIS providers deliver.
The Core module covers:
• rights and responsibility for participants
NDIS Quality and Safeguards Commission 3• governance and operational management
• the provision of supports, and
• the support provision environment
The supplementary modules cover:
• High intensity daily personal activities
• Specialist behaviour support, including implementing behaviour support plans
• Early childhood supports
• Specialised support co-ordination
• Specialist disability accommodation, and
• Verification
Each module of the NDIS Practice Standards consists of a series of high level, participant
focused, outcomes. Each outcome is associated to a number of quality indicators.
When do I need to renew my registration with the
NDIS Commission?
Providers who are currently registered with the NDIA will have their registration
automatically transferred from the NDIA to the NDIS Commission on the date the NDIS
Commission commences operation in their state or territory.
The NDIS Commission registration renewal function will be available from
1 August 2018.
Registration expiry date
Once your details are transferred to the NDIS Commission you will be provided with a
Certificate of Registration which will detail the period for which the registration will
continue to be in force.
Before that period of registration expires, you must start the renewal of your registration. If
the renewal process is not commenced by that date your registration will lapse.
You will be able to commence renewal six months prior to the expiry of the term for which
your registration is in force. For providers that have registrations transferring from the NDIA
the expiry date applied to your registration will take into account the complexity of the
supports and services you are currently registered for, the legal status of your organisation,
the recency of your last audit, audit findings and other matters as determined by the NDIS
Commission.
NDIS Quality and Safeguards Commission 4How do I renew my registration?
The NDIS Commission registration renewal function will be available from 1 August 2018.
From that date, providers will be able to use the NDIS Commission’s system to manage their
registration, including renewal.
When commencing a registration renewal you will be required to provide information about
your organisation’s:
• contact details,
• corporate structure,
• key personnel (i.e board and senior management),
• service profile and service coverage areas,
• the registration groups you wish to be registered for.
You will also provide some specific detail about the supports and services your organisation
delivers, or is intending to deliver. This detail will help determine which modules, or parts of
the modules of the NDIS Practice Standards apply to your organisation.
Once this part of the form is finalised you will be able to undertake the self-assessment
against the relevant parts of the NDIS Practice Standards, and upload any documents you
are submitting as evidence that you meet the NDIS Practice Standards.
Once these steps are complete you are able to submit your application.
The steps to undertake a registration application are:
1. Submit your 2. Undertake 3. NDIS 4. NDIS 5. Comply with
application to audit against Commission Commission conditions
the NDIS the NDIS assesses notifies you and receive
Commission Practice suitability of outcome certificate of
Standards registration
Annexure A provides a checklist of the high-level information required for your renewal.
Reviewing this annexure prior to commencing the renewal process will assist you in
undertaking the process as efficiently as possible.
Assessing against the NDIS Practice Standards
All providers renewing registration will be required to undertake an audit against the
applicable NDIS Practice Standards.
Under the new NDIS Commission, there will be two ways to assess whether your
organisation meets the relevant NDIS Practice Standards:
NDIS Quality and Safeguards Commission 51. Verification
Verification is for individual sole traders and partnerships delivering lower risk or less
complex services. When registering through verification, NDIS Providers supply
documentation against the four outcomes within the Verification Module of the NDIS
Practice Standards.
The documentation is in relation to their identity, professional qualifications, experience,
ongoing professional development, criminal and character checks, insurances and
completion of the NDIS mandatory worker orientation program. Evidence of systems and
processes to manage work health and safety, incidents and complaints is also required,
proportionate to the size of the organisation.
These documents are checked through a desktop audit undertaken by an approved quality
auditor.
2. Certification
Certification is for higher risk, more complex services and supports, and for organisations
that are formed as a ‘body corporate’.
A body corporate is most often a company or an incorporated association. It is incorporated
under a statute (for example, the Corporations Act 2001 (Cth) or the Associations
Incorporation Act 2009 (NSW)) and has a separate legal identity from its shareholders or
members. A company or incorporated association can usually be identified from its legal
name (as opposed to a business or trading name), by the suffix ‘Pty Ltd’, ‘Ltd’ or ‘Inc’.
A certification audit is required to examine a body corporate’s governance and operational
management processes of the provider and their ability to deliver quality services.
Proportionate requirements
Registration requirements under the NDIS Commission and the NDIS Practice Standards are
designed to be proportionate. What this means is that a smaller provider with fewer
workers and participants is not expected to present the same evidence as a national
provider with a large workforce and many participants. Auditors will make sure that the way
the NDIS provider demonstrates the meeting of each standard is appropriate to their size,
scale and the supports they deliver.
The NDIS Commission has overall responsibility for ensuring that the assessment methods
used are proportionate and focus on a provider’s capability and capacity to manage quality
within their organisation, focusing on the outcomes for NDIS participants.
NDIS Quality and Safeguards Commission 6What happens after I submit an application to renew
registration?
Once you have submitted your registration renewal application with the NDIS Commission,
you will receive confirmation of your submission in an email. The NDIS Commission’s system
will also generate an ‘initial scope of audit’ document based on the information provided on
the registration renewal application. This document will assist you to engage an approved
quality auditor to assess your organisation against the relevant modules, or parts of the
modules of the NDIS Practice Standards. Once the audit is complete, your auditor will report
the audit outcomes to the NDIS Commission.
The NDIS Commission will assess your application based on the audit outcomes and an
assessment of the suitability of your organisation, and your organisations key personnel.
Can I change my renewal application after it is
submitted?
Once you have submitted your application you will not be able to make any changes to the
information provided. The quote(s) provided by an approved quality auditor will be based
on the information which you provides as part of your renewal application. You are not able
to update this information prior to selecting an approved quality auditor, and, once you
have selected one, requesting them to change this information may impact on the quote
provided, the timing or the duration of the audit. It is important that the information you
enter in the renewal application is as complete and accurate as possible. You can discuss the
required changes with your approved quality auditor once they are associated with your
registration record on the NDIS Commission’s system.
Who can I contact about the status of my application?
The NDIS Commission will not be able to make a determination on the registration renewal
application until after the approved quality auditor has provided the audit outcomes to the
NDIS Commission.
To find out about the status of your registration renewal application after your audit has
been finalised an the auditor has provided the audit outcomes to the NDIS Commission
contact the Registration Team by email to: registration@ndiscommission.gov.au.
More information
For more information about NDIS Provider Registration please visit the NDIS Commission
website at: www.ndiscommission.gov.au
NDIS Quality and Safeguards Commission 7Annexure A – Step-by-step guidance for renewal of registration with the NDIS
Commission
This annexure provides step-by-step guidance for the renewal of your provider registration. You should review this information as you work
your way through the registration renewal application within the NDIS Commission’s system.
Step 1: Application details
In this section you will provide information about your service delivery. The answers to these questions will help the NDIS Commission
determine the size and scope of services and supports delivered.
Number of participants Number of staff employed Participant groups Age groups
currently getting service?
This should be the number of This should be the number of Select which of the listed Select which of the listed age
NDIS participants you provide workers you engage to deliver participant groups you deliver to, groups you deliver to, or intend
services and/ or supports to. If NDIS supports and services. or intend to deliver to (choose all to deliver to (choose all that
you are preparing to deliver new Workers include employees, that apply). apply).
supports and services, please volunteers and contractors. If
respond based on expected you are unsure, enter an
numbers. If you are unsure, estimation however please be
enter an estimation, however aware that this information may
please be aware that this be taken into account by an
NDIS Quality and Safeguards Commission 8Number of participants Number of staff employed Participant groups Age groups
currently getting service?
information may be taken into approved quality auditor when
account by an approved quality providing a quote for services.
auditor when providing a quote
for services.
NDIS Quality and Safeguards Commission 9Step 2: Provider details
In this section you will provide information about your organisation, including corporate structure and the primary contact in relation to the
registration renewal application and also in relation to the registration
Provider details Contact details Parent entity details
a) Provider business name: If the provider “The provider” is the organisation (including Enter the parent entity’s Australian Business
has a business name registered, you sole providers) which is delivering, or Number (ABN) (where applicable).
can enter the name here. If the intending to deliver, NDIS supports or
provider has not registered a business services. Please provide the details of the
name, enter the provider’s legal name. primary contact for the registration renewal
b) Australian Company Number: Enter the application. The primary contact must have
ACN. the authority to act on behalf of the provider
c) Whether the organisation is for profit: in relation to the registration renewal
Check this box if the organisation is for application.
profit. A not-for-profit (NFP)
organisation is an entity that is • Primary contact phone number
operating for its purpose and not the • Primary contact fax
profit or gain (either direct or indirect) • Primary contact email address
of its individual members. For further • Provider web address
details about not-for-profit
organisations refer to the Australian
Tax Office website.
d) Whether the organisation is an
approved charity: Check this box if the
provider is registered as a charity with
NDIS Quality and Safeguards Commission 10Provider details Contact details Parent entity details
the Australian Charities and Not-for-
profit Commission (ACNC).
NDIS Quality and Safeguards Commission 11Step 3: Key Personnel
In this section you will provide information about your organisation’s key personnel. Key Personnel are the individuals who hold key executive,
management or operational positions in your organisation, such as Directors, Managers, Board Members, Chief Executive Officer or
Chairperson. You must include all Key Personnel on your application. This information will form part of the NDIS Commission’s suitability
assessment.
Key Personnel
“Key Personnel” means individuals who hold key executive, management or operational positions in your organisation, such as Directors,
Managers, Board Members, Chief Executive Officer or Chairperson. You must include all Key Personnel on your application.
If any Key Personnel hold multiple positions within your organisation, please select the most senior position they hold.
For each key personnel please provide:
• Full name and title
• Date of birth
• Position
• Role (e.g. general staff, data management)
• Business name (if applicable)
• ABN (if applicable)
• Percentage share
• Email address
• Phone
NDIS Quality and Safeguards Commission 12Step 4: Addresses
In this section you will provide address details for your organisation.
Addresses
Update the physical and / or postal address for the provider. You will also need to provide the date that that your organisation first moved
to that address (if unsure please estimate).
• Physical address
• Postal address
Step 5: Registration groups
In this section you will list all the registration groups that you are delivering, or intending to deliver, NDIS supports and services under.
The Registration Groups which you select will determine the relevant sections of the NDIS Practice Standards that you will be assessed
against as part of the NDIS Commission’s renewal process. You will be required to provide supporting evidence in regards to the supports
and services delivered as part of the audit process. If you are unsure which Registration Groups apply to the supports/services that your
organisation delivers, more information is available in the NDIA’s Guide to Suitability.
Registration Groups
• Add or remove registration groups which the provider wishes to be registered for.
NDIS Quality and Safeguards Commission 13Step 6: Service delivery questions
In this section you will answer specific questions in relation to the NDIS supports and services delivered by your organisation. The
answers to these questions assist in tailoring the relevant modules, or parts of the modules of the NDIS Practice Standards that your
organisation will be assessed against.
Service Delivery
Please answer yes or no to the below questions.
Services delivered by the provider including:
• Day-to-day management of medications
• Disposal of waste, infectious or hazardous substances
• Use of restrictive practices
• Complex bowel care (enema)
• Tracheostomy management
• Urinary catheter management
• Complex wound management
• Sub-cutaneous injections
• Enteral (PEG, nasogasric tube) feeding and management
• Ventilator management
NDIS Quality and Safeguards Commission 14Step 7: Self-assessment
In this section you will be required to provide your self-assessment against the applicable NDIS Practice Standards. When providing the self-
assessment response you need to consider the applicable quality indicators, as outlined in the National Disability Insurance Scheme (Quality
Indicators) Guidelines 2018.
Based on your organisation’s service delivery profile, the Registration Groups you selected, and your responses to the service delivery
questions, the renewal form will display the applicable NDIS Practice Standards relevant to your organisation.
Your self-assessment responses will inform the desktop audit undertaken by approved quality auditors. Documents should be uploaded
to support the claims made in the self-assessment responses (where applicable).
Note for the verification module, please state your profession in the first self-assessment response. Please also refer to the Verification
Guidelines for information on documentary evidence required.
Self-assessment
• Provide your self assessment response against each of the applicable standards.
NDIS Quality and Safeguards Commission 15Step 8: Suitability questions
In this section you will answer a series of questions about your organisation and your organisation’s key personnel listed at Step 3. The answer
to these questions will inform the NDIS Commission’s suitability assessment. The responses will be assessed on a case-by-case basis.
Has the provider ever been in receivership, subject to a winding up order and/ or under administration?
This includes where the provider:
• Is under external administration (or equivalent in home jurisdiction)
• Is subject to a winding up order or an application for winding up (or equivalent in home jurisdiction)
• Has a receiver or receiver and manager been appointed to the company (or equivalent in home jurisdiction)
• Has a company administrator been appointed to the company (or equivalent in home jurisdiction)
• Is the company currently subject to a deed of company administration (or equivalent in home jurisdiction)
• Has received notice that action for the involuntary cancellation of its incorporation had commenced or is proposed?
Have any of the provider's Officeholders ever been convicted of an indictable offence
This includes convictions of indictable offences against a law of the Commonwealth, State or Territory or other jurisdiction (including
foreign country).
Where the answer is yes, please indicate which Key Personnel was convicted, and the nature of the conviction.
NDIS Quality and Safeguards Commission 16Is the provider, or any of the provider's Officeholders or Directors an insolvent under administration, or been an insolvent under
administration (or equivalent in home jurisdiction)?
Where the answer is yes, please provide details of the insolvency, including Key Personnel (where relevant).
Has the provider, or any of the provider’s Officeholders or Directors commenced bankruptcy proceedings?
Where the answer is yes, please provide details of the bankruptcy, including Key Personnel (where relevant).
Have any of the Officeholders or Directors been disqualified as a director of a company, and /or disqualified from managing
corporations?
This includes where the Applicant’s Key Personnel have been disqualified from managing corporations under Part 2D.6 of the
Corporations Act 2001.
Where the answer is yes, please provide details, including name of relevant Key Personnel.
NDIS Quality and Safeguards Commission 17Has the provider or any of the provider's Officeholders been the subject of any investigation, adverse findings or enforcement by any
regulator, including authorities responsible for the quality or regulation of services for people with disability?
This includes any adverse findings, or enforcement action by:
• a Department of, or an authority or other body established for a public purpose by, the Commonwealth, a State or a Territory,
including those with responsibilities relating to the quality or regulation of services provided to people with disability, older
people or children;
• the National Disability Insurance Agency
• the Australian Securities and Investment Commission;
• the Australian Charities and Not for profits Commission;
• the Australian Competition and Consumer Commission;
• the Australian Prudential Regulation Authority;
• the Australian Crime Commission;
• AUSTRAC;
• a work health and safety authority of a State of Territory;
• a body of a State or Territory that has similar responsibilities to those mentioned above
• Enforcement actions may include:
• Banning orders
• Cancellation of NDIS registration
• involuntary cancellation of an entity’s incorporation status
NDIS Quality and Safeguards Commission 18Has the provider or any of the provider's Officeholders been the subject of any investigation, adverse findings or enforcement by any
regulator, including authorities responsible for the quality or regulation of services for people with disability?
• Any other compliance or enforcement activity
Where the answer is yes, please provide details, including key personnel (where relevant).
Have any of the provider's Officeholders, or the provider overall, been the subject of any findings or judgment in relation to fraud,
misrepresentation or dishonesty?
This includes where the Applicant’s Key Personnel, or the Applicant overall has:
• been the subject of any findings or judgment in relation to fraud, misrepresentation or dishonesty in any administrative, civil or
criminal proceedings, or is currently party to any proceedings that may result in the applicant being the subject of such findings or
judgment
• been disqualified from managing corporations under Part 2D.6 of the Corporations Act 2001
Where the answer is yes, please provide details, including key personnel (where relevant).
NDIS Quality and Safeguards Commission 19Step 9: Outlets
In this section you will provide information about your organisation’s outlets. You will be asked to add, remove or update any provider outlets.
Outlets include premises where a participant’s supports and services are provisioned and managed on a daily basis. This may include those
premises where participants live in a group home setting. For mobile outlets the address may be the registered business address or the
location where the service delivery is administered (for example a clinic or office). If your mobile outlet address is your home, you may choose
not to display this publicly.
This information helps the NDIS Commission determine the size and scope of services and supports delivered by your organisation. The NDIS
Commission may publish this information on the NDIS Provider register.
Outlet details
• Outlet name: Please enter the name of the outlet.
• Outlet type: Outlets can be either fixed “Physical” offices (like a clinic, group centre or shopfront), or “Mobile” (if the Applicant
delivers supports and services in participant homes or other non-fixed addresses).
• Hide address: If you choose to hide the address of the outlet, the address will not be published with the rest of the outlets details
on the provider register.
• Display publically: If you choose to display the outlet publicly the outlet will be published on the provider register. The NDIS
Commission will not display address information about “Mobile” Outlets, even if you’ve chosen to display the Outlet publicly.
• Contact name: Please enter the primary contact for the outlet.
• Phone number: Please enter the primary phone number for the outlet.
• Email address: Please enter the primary email address for the outlet.
NDIS Quality and Safeguards Commission 20Outlet Address
• The business address must be completed in full and not be a PO Box.
• For example: Level 1 Main Building 220 Business Street Canberra City ACT 2601
Outlet Operating hours
• Click on the clock on each day to enter the operating hours.
Outlet Service area
• Please enter the service area type, service area state and service area.
Outlet Registration groups
• Please enter the registration groups, support items and professions available to participants at this outlet.
NDIS Quality and Safeguards Commission 21You can also read
