You need to log into the Commission’s applications portal and complete your registration application. You began this application in step 2 to help you confirm the modules you needed to comply with. 

 You now need to complete the self-assessment aspect of this application.  

The ‘Spiels’ you have been writing for each section are what you should enter into the self assessment.   

• Verification – Upload as many of the documents you’ve referred to within your Spiels as evidence noting the portal places some restrictions on how much data you can upload. You can still note additional documents within your self-assessment / Spiels so the auditor can easily see what you have available. You can send additional documents to the auditor once you are engaging with them.  
• Certification – it is recommended you upload the List of Provider Documents Per Standard (provided in the Certification Overview) and Certification Document Control Register (provided in the Quality Management standard).  
• The portal places restrictions on how much data you can upload so then choose some key policies, registers/plans/calendars, audits/surveys and meeting minutes.  

After you submit your self-assessment, application and evidence, you should receive an ‘initial scope of audit’ document by email from the NDIS Commission. This will summarise the registration requirements that apply to your organisation and inform the quote auditors will provide you in Step 7.  

Steps 7-11 are well summarised and required information embedded on the NDIS Commissions website here: Registration requirements, process and timeline | NDIS Quality and Safeguards Commission (ndiscommission.gov.au) with some additional explanations within the steps below if required. 

Step 7: Select an approved quality auditor 

You now have to engage an approved quality auditor to undertake the audit.  

The Commission provides a list of approved auditors you must choose from. 

You will likely want to request a quote from more than one auditor before confirming their services.  

Auditors will use the ‘initial scope of audit’ document you received to quote for their services. You can also discuss your specific needs and circumstances with auditors to negotiate the best value. Auditor feedback is that the more organised a provider looks when submitting their application for quotation, the more favourable the quote will be, so it pays to be well organised. 

• Once you have selected an auditor they will ask you to send all your documents to them. 
• For Certification: At the end of the Register there are samples of the other types of evidence you will need for the auditor. 

At this stage the auditors will generally ask you to submit all your documents for audit. However, some may just ask for a few, along with your Document Control Register. They will then select documents for you to send from this register and from the information you have discussed in your ‘spiels’. 

During the audit, the auditor will be looking for evidence of compliance. They want to know that you are doing what you say you do and that this meets the standards. 

• For Verification – audits will most likely entail a ‘desktop’ or ‘remote’ review of your documents. A follow-up phone call may be necessary to clarify points or seek further evidence. For larger organisations the auditor may also want to talk to one of more of your team to ensure your systems are being implemented across the organisation. 
• For Certification – audits will most likely entail a ‘desktop’ or ‘remote’ review of your documents followed by one or more on-site audits. The auditor will also want to talk to: 
• Your participants and/or their representatives e.g., to determine that they are informed about the supports provided, their rights are being respected, they are being listened to, their needs are met and their goals are being achieved 
• Your team to ensure your systems are being implemented across the organisation e.g., meetings & training occur, feedback / complaints are welcomed and well managed, workers have supervision and feel supported. 

If there are gaps in your compliance, the auditor will make ‘findings of non-conformity’ about this and issue you with ‘corrective actions’. These are what you must do to show you comply with the Practice Standards. Hopefully, if you have followed the steps and implemented the systems you will have very few, if any, corrective actions. Auditors will help you understand these findings and the required actions you need to take. 

Once you have completed any required corrective actions the auditor will submit the outcome of their audit to the NDIS Commission through an online portal. 

• The NDIS Commission will consider the outcomes of the audit as submitted by the auditor you engaged.  
• The Commission will then conduct a suitability assessment of your organisation and key personnel before they make a final decision as to whether your application to become a registered provider has been successful or not.  
• The Commission will then contact you to let you know the outcome of your application and the reasons for the decision. 
• The timeframe depends on various factors, including the size and scale of your organisation, as well as the complexity and range of the supports and services you deliver. 

For successful applicants: you will receive 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. 

For unsuccessful applicants: you may contact the NDIS Commission to request a review within three months of the decision. If your application is still unsuccessful following the review, you may seek a further review by the Administrative Appeals Tribunal.