Step 1 – renew your registration or to apply for a new NDIS registration
To renew or make an application for NDIS registration, you need to complete an online NDIS-registration application form within the ‘NDIS Commission portal’ – a secure website for providers to manage their interactions with the Commission and services with their clients (go to the NDIS provider application form).
1) Select your registration groups 2) Complete a self-assessment against the NDIS Practice Standards and Quality Indicators relevant to the supports and services you deliver to NDIS participants
The self-assessment part of your application is important because:
- It allows you to map out how your business will be ready for the NDIS
- It allows the NDIS commission to assess and confirm the scope of your audit
When you have completed your self-assessment, submit your online application form. Once you hit ‘submit’ your application cannot be retrieved. The NDIS Commission will email you an “initial scope of audit and self-assessment summary” which summarises your NDIS-registration requirements and will confirm if you are to undergo a verification or certification audit.
Step 2 – contact Certifii to request a quote for a certification audit
Within your NDIS myplace provider portal, select Certifii as your approved quality auditor and request a quote for a certification audit – you can contact us via the details provided in the portal or contact us directly.
We will confirm your scope of audit to ensure we provide you with a quote that accurately reflects the size and scale of your organisation and the complexity of services offered. If you receive quotes from more than one quality auditor, be sure to scrutinise them carefully to ensure you are comparing like with like – different auditors use different methods to calculate and display costs, particularly in relation to client support. Certifii quotes for your midterm audit (which is optional) this may make our quote seem more costly but we are looking at the 3 year cost rather than just initial audit cost.
Step 3 – accept Certifii quote and commence audit planning
Accept Certifii’s quote and start working with your Certifii-assigned Audit Support Coordinator to start planning for your certification audit. We will review your scope of audit and confirm details such as your registration groups, number of workers and participants, etc. If any variations are found, you are required to complete a 'variation of registration form' for submission to the NDIS Commission to ensure your record on the Commission's system is accurate.
It is your responsibility to ensure Certifii is advised of any changes to your scope of audit. All certification audits comprise a stage 1 audit and stage 2 audit, and a mid-term audit.
Step 4 – stage 1 audit and findings
The stage 1 audit is a desktop review of the information and documentation you provided in the self-assessment section of your NDIS registration application. It is completed by the auditor electronically with no requirement for a site visit. The auditor will review your self-assessment responses and documents you provided, and any prior NDIS verification or certification outcomes, corrective actions and audit reports – this process highlights any areas of concern that may impact on conformity against the Standards when we carry out the stage 2 audit.
To help you prepare for the stage 2 audit by addressing any areas of concern we will provide you with a report of the auditor’s findings seven calendar days after the completion of the stage 1 audit. You have the opportunity to address any areas of non-conformities before stage 2 audit. This should help you prepare for the stage 2 audit. The stage 2 audit must commence within three months of the stage 1 audit. Stage 2 is the on-site, face-to-face audit that occurs at your business premises.
Step 5 – prepare for stage 2 audit
The stage 2 audit is an on-site audit and must commence within three months of the stage 1 audit. Certifii will work with you to develop a mutually agreed audit plan that is proportionate to the size and scale of your organisation, sites that will be visited, and that clearly sets out the agenda and key assessment items for the day(s) of the audit.
The NDIS framework uses an ‘opt-out’ sampling methodology which requires you to inform all of your participants that they are automatically enrolled in the audit process. Should a participant not want to participate, that choice is required to be documented and the auditor advised.
Step 6 – stage 2 audit and reporting
The auditors will arrive at the agreed location and carry out the audit according to the audit plan you approved. The audit will include evaluation of your systems and processes to meet the NDIS Practice Standards by – for example – observing practices, reviewing records and documents, and speaking with participants and workers.
The auditor will provide you with a verbal and documented summation of the stage 2 audit, including preliminary audit findings at the closing meeting. A detailed report will provided within 7 calendar days. You have the opportunity to review and provide feedback on the draft report prior to it being finalised and submitted by Certifii to the NDIS Commission no more than 28 days after the stage 2 audit. Certifii submits the final report to the NDIS Commission to be included in their assessment of your application (which includes the audit report). The Commission will make a decision and advise you if your application has been successful.
Critical risk and non-conformities
Critical risks are extremely serious and will be actioned with the utmost urgency. In the case of critical risk relating to criminal acts of child protection concerns, the audit team leader will notify the NDIS Commission and any relevant authorities (such as the police) of the risk immediately.
If a critical risk is not one of the above, the audit team leader shall notify the NDIS Commission of the risk within 24 hours. If major and minor non-conformities are identified, the service provider must develop a corrective action plan within seven business days of written notification from Certifii. Certifii will advise service providers of key timelines for addressing instances of non-conformity, with on-site audit(s) undertaken as appropriate. To report a breach by a service provider, contact the NDIS Commission.
Step 7 – certification (the NDIS Commission makes the decision)
Successful applicants will receive from the NDIS Commission a 'certificate of registration' outlining the services or supports you are registered to provide, the period of registration, and any conditions you must follow to keep your registration. You will be listed on the NDIS provider register and participants of all types can now access your services. You will be required to undergo a recertification audit in three years no earlier than six months prior to your NDIS registration renewal date with a mid-term audit in between.
Provisional audit – qualified certification decision
An NDIS provider will be subject to a provisional audit if they have registered with the NDIS Commission and developed systems and processes to deliver NDIS supports and services but do not yet have any participants or not yet commenced NDIS service delivery. The audit is designed to check that you are ready by reviewing your documentation, processes and systems.
A provisional audit consists of a stage 1 audit (off-site desktop review), and an initial stage 2 (on-site) with modifications to reflect that you have not commenced providing services – for example by not undertaking interviews with participants or doing file audits. The outcome of a provisional audit is a ‘qualified certification decision’, which will then require the service provider to undertake additional steps to achieve full certification.
Step 8 – mid-term audits
Providers undergoing certification are required to undergo a mid-term audit to be carried out no later than 18 months after the beginning of the period for which the provider’s registration is in force. Exemptions for mid-term audits apply if the provider is:
- A partnership or sole trader that is registered for only Module 3 (Early Childhood Supports), or Module 5 (Specialist Disability Accommodation), or
- A transitioned provider.
