Policy, Procedures and Forms for Registration of Disability Service Providers

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers

December 2016

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 1 Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers December 2016

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 2 Department of Health To receive this publication in an accessible format, please phone 03 9096 2745, using the National Relay Service 13 36 77 if required, or email [email protected]

Authorised and published by the Victorian Government, 1 Treasury Place, Melbourne. © State of Victoria, December 2016 This work is licensed under a Creative Commons Attribution 3.0 licence (creativecommons.org/licenses/by/3.0/au). It is a condition of this licence that you credit the State of Victoria as author. Available at http://www.dhs.vic.gov.au/about-the-department/documents-and-resources/policies,- guidelines-and-legislation/human-services-standards

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 3 Contents

Policy for the registration of National Disability Insurance Scheme disability service providers...... 5 Definitions...... 5 Introduction...... 6 Who should register?...... 8 Application for initial registration...... 8 Application for renewal of registration...... 9 Refusal or revocation of registration...... 11 Publication and maintenance of the Register...... 13

Procedures for the registration of disability service providers operating under the National Disability Insurance Agency...... 14 Purpose...... 14 Procedure 1: Registration of new applicants...... 14 Procedure 2: Renewal of registration...... 15 Procedure 3: Reviewing and appealing a decision to refuse or revoke registration...... 16 Procedure 4: Changes to details on the Register...... 17

Further information...... 17

Approved forms for disability service providers...... 18 Application for registration and/or renewal of registration as a National Disability Insurance Scheme disability service provider...... 18 Change of information recorded on the Register of disability service providers...... 25 Removal of information recorded on the Register of disability service providers...... 26

Appendix 2 Conditions of Registration for Local Area Coordination Services ...... 29

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 4 Policy for the registration of National Disability Insurance Scheme disability service providers

Definitions

Application for registration and/or renewal of registration as a disability service provider form means the form set in this policy which is an approved form for the purpose of sections 40(4) and 42(2) of the Disability Act.

Business Day means a day not being a Saturday, Sunday or declared public holiday in Melbourne, Victoria.

Conditions of Registration means: (a) the conditions of registration imposed by the Secretary on disability service providers registered by the NDIA to deliver Local Area Coordination services as set out in Appendix 2; and (b) any other conditions or restrictions placed on a disability service provider by the Secretary under the Disability Act.

Department means the Department of Health and Human Services.

Disability Act means the Disability Act 2006 (Vic).

Disability service has the same meaning as in the Disability Act being a service specifically for the support of persons with a disability by a disability service provider. Services and amenities accessed by people with a disability which are generally accessible in the community and not specifically for persons with a disability (for example health, sporting or recreation services) do not constitute disability services.

Disability service provider or DSP has the same meaning as in the Disability Act being:  the Secretary to the department; or  a person or body registered on the Register of disability service providers.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 5 Independent Review means any assessment, audit or review of a DSP conducted by an Independent Review Body, and includes assessment of the level of compliance with the Standards and any other matters that the department reasonably requires to be investigated to the Secretary’s satisfaction.

Independent Review Body means a body authorised by the Secretary to conduct an independent review.

In scope NDIS registration groups means services that a provider registered with the NDIA intends to provide to people with a disability who reside in Victoria.

Natural person means a person of at least 18 years of age who has not declared bankrupt within the last three (3) years.

National Disability Insurance Agency or NDIA means the National Disability Insurance Agency Launch Transition Agency, a body corporate established pursuant to section 117 of the National Disability Insurance Scheme Act 2013 (Cth).

National Disability Insurance Scheme or NDIS means the National Disability Insurance Scheme established under the National Disability Insurance Scheme Act 2013 (Cth).

Provider or NDIS provider refers to an NDIS approved provide that intends to provider the in- scope NDIS registration groups to people who have a disability residing in Victoria.

NDIA registration means registration as a provider of supports under Part 3 of the National Disability Insurance Scheme Act 2013 (Cth).

NDIA Terms of Business means the NDIA Terms of Business for Registered Providers available from the NDIS website (http://www.ndis.gov.au/providers/vic-registering-providers) as amended from time to time.

Register means the Register of disability service providers established under section 46 of the Disability Act.

Secretary means the Secretary to the department. In this policy, where a power of the ‘Secretary’ is referred to, this is also a reference to that power exercised by the Secretary’s delegate/s.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 6 Standards means the Human Services Standards (gazetted as Department of Human Services Standards), including the governance and management standards of an organisation’s chosen independent review body.

Standards and Regulation Unit means the Standards and Regulation Unit in the Health and Human Services Regulation Branch of the department, which manages compliance with the Standards and registration functions of the Secretary, the contact details for which are included in this document.

Victorian Working Arrangements means the Victorian Quality and Safeguards Working Arrangements for Transition (agreed between the Victorian Government, Commonwealth Government and the NDIA

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 7 Introduction

Purpose The Commonwealth and Victorian Governments have agreed that quality and safeguards are important to effectively support the phasing of service providers to the National Disability Insurance Scheme (NDIS). NDIS participants in Victoria and the community need to be confident that NDIS registered providers are capable of delivering services that are high quality and safe.

All governments and the National Disability Insurance Agency are working on the design of a nationally consistent quality and safeguarding framework. Existing Victorian and Commonwealth quality and safeguarding arrangements will apply until the new framework, including agreed roles and responsibilities, is implemented.

In Victoria, a pre-requisite for delivering the in-scope NDIS registration groups is achieving and maintaining status as a Victorian approved NDIS provider. To gain status as a Victorian approved NDIS provider, a provider must comply with Victoria’s quality and safeguarding requirements. This includes registration as a DSP under the Disability Act for NDIS providers wishing to deliver the in-scope NDIS registration groups to people with a disability residing in Victoria.

This policy sets out the Secretary’s requirements for the registration of DSPs under the Disability Act where providers are not funded by the department.

Key legislative and policy requirements The key legislative and policy requirements underpinning this policy include:  Registration is required for providers that are registered / registering with, or contracted by, the NDIA to deliver in-scope registration groups , including Local Area Coordination services. NDIA providers must be registered as a DSP prior to commencing service delivery in Victoria.  Providers must deliver services to people who reside in Victoria to be eligible for registration as a DSP under the Disability Act.  An application for registration as a DSP must be made in the name of the provider whether a legal entity or a natural person.  The Secretary may impose any conditions or restrictions on the registration, or renewal of registration of a DSP as deemed appropriate, in the Secretary’s absolute discretion. DSPs are also required to comply with the Victorian Working Arrangements, NDIA Terms of Business and, where applicable, any Conditions of Registration.  Entities contracted by NDIA to deliver Local Area Coordination services are required to comply with the Conditions of Registration in Appendix 2, and any conditions or as applicable, when contracted by NDIA to deliver local area coordination services.  Providers that apply for registration as a DSP will be required to demonstrate their capacity to deliver services in compliance with the Standards.  DSPs that apply for the renewal of their registration will be required to demonstrate their compliance with the Standards.  Registration and renewal of registration will be for a period of three years, unless revoked earlier. In exceptional circumstances, the Secretary may exercise discretion to grant DSPs registration for a period greater than three years.  An application for renewal of registration must be submitted to the department no later than sixty (60) Business Days prior to the expiry of a DSP’s current registration, to allow time for the application to be assessed. Applications received after this time may not be assessed prior to the expiry date of the DSP’s current registration and the DSP’s registration may lapse. The application must include confirmation of the DSP’s current certification/accreditation against the Standards.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 8  Information regarding the registration, or the renewal of registration, of a DSP, including but not limited to information relating to any conditions or restrictions imposed on a DSP by the Secretary, will be provided to the Victorian Disability Services Commissioner and the NDIA (as applicable).  NDIS providers also funded by the department to deliver disability services and/or community services are required to renew their registration using the Application for registration and/or renewal of registration as a disability service provider and/or community service. Refer to the Policy, procedures and forms for the registration of Department of Health and Human Services funded disability service providers and community services.

Obligations of DSPs DSPs must:  Comply with the Disability Act including their obligations with respect to complaints, Community Visitors and restrictive interventions as set out in the Disability Act;  Comply with the Standards;  Comply with the Victorian Working Arrangements, NDIA Terms of Business and, where applicable, Conditions of Registration;  Entities contracted by NDIA to deliver Local Area Coordination services are required to comply with the Conditions of Registration in Appendix 2, and any conditions or as applicable, when contracted by NDIA to deliver local area coordination services; and  Advise the Director, Health and Human Services Regulation Branch, Regulation, Health Protection and Emergency Management Division (within fourteen (14) days) of any changes to the details on the Register of disability service providers (Register) or information to be removed from the Register. Put in full.

Who should register? Providers registered / registering as an NDIS provider It is the NDIA’s policy that an NDIS provider that will be delivering in-scope NDIS registration groups to people residing in Victoria must be registered as a DSP prior to commencing to deliver those services.

In-scope NDIS registration groups The following NDIS registration groups require registration under the Disability Act:

Plan Management1 Assist-Life Stage, Transition Support coordination Daily Tasks/Shared Living Assist-Personal Activities Assist - Personal Activities High Behaviour Support Development-Life Skills Participate Community Group/Centre Activities Specialised Disability Accommodation

1 Providers delivering general accountancy services may be exempt from registration under the Act.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 9 Application for initial registration

Application for registration An NDIS provider may register as a DSP by making an application to the Secretary using the Application for registration and/or renewal of registration as a disability service provider form. Applicants seeking to register as a DSP are only required to submit one application form, regardless of the number or types of disability programs and activities provided. The granting of registration as a DSP does not place any obligation on the department to enter into a Service Agreement with a DSP or to provide a DSP with any funding. In addition, a DSP’s registration under the Disability Act is specific to the in-scope NDIS registration groups. A DSP must not make any representations that supports provided by the provider that are outside the in-scope NDIS registration groups are subject to the same quality and safeguards as the in-scope NDIS registration groups .

Demonstration of capacity to comply with the Standards When applying for initial registration as s DSP, NDIS providers will be required to undertake a self- assessment to demonstrate their capacity to comply with the Standards. At its discretion, the department may request the NDIS provider to submit additional evidence for the purpose of assessing whether the provider satisfies the registration requirements for a DSP. Where an NDIS provider does not demonstrate its capacity to comply with the Standards, the Secretary may refuse the application for registration. Refusal of registration as a DSP by the Secretary will result in the NDIA being notified and the provider will lose its status as a Victorian approved NDIS provider for in- scope NDIS registration groups . A self-assessment is not required where a provider has previously achieved accreditation against the Standards either for registration purposes or as a requirement of departmental funding. However, the department may require a provider to vary its certification cycle in order to ensure compliance with the Standards for NDIA registration groups. A newly registered DSP will be required to undertake an independent review within twelve (12) months of its registration being granted or as advised by the department and achieve certification against the Standards.

An independent review must be undertaken at the provider’s own expense by an independent review body endorsed by the department. NDIS providers are required to achieve and maintain certification against the Standards.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 10 Application for renewal of registration When to renew An application for renewal of registration must be received by the department no later than sixty (60) Business Days prior to the expiry of the DSP’s current registration, to allow time for the application to be assessed. Applications received after this time may not be assessed prior to the expiry date of the DSP’s current registration and the DSP’s registration may lapse. An application for renewal of registration cannot be made after a DSP’s registration has expired. Should this occur a provider will need to reapply for registration as a DSP. DSPs are required to apply for renewal of registration and provide evidence of their compliance with the Standards through current certification/accreditation with an Independent Review Body. NDIS providers also funded by the department to deliver disability services and/or community services are required to renew their registration using the Application for registration and/or renewal of registration as a disability service provider and/or community service. Refer to the Policy, procedures and forms for the registration of Department of Health and Human Services funded disability service providers and community services.

Demonstration of compliance with the Standards To apply for renewal of registration, DSPs must complete an Application for registration and/or renewal of registration as a disability service provider form and demonstrate compliance with the Standards. Compliance may be evidenced by:  successful accreditation against the Standards following an independent review (applications must include the submission of the most recent review report); or  maintenance of accreditation following a mid-cycle /surveillance review (applications must include the submission of the most recent review report). Prior to any decision to renew registration, the department may:  consider the DSP’s performance against legislative and program requirements; and  request the DSP to provide additional evidence.

Period of renewed registration Renewal of registration will be for a period of three (3) years, unless revoked or extended. In exceptional circumstances, the Secretary may exercise discretion to grant DSPs registration for a period greater than three years. In exceptional circumstances, the Secretary may exercise discretion to grant registration as a DSP for a period greater than three (3) years.

Non compliance with the Standards Where a DSP cannot demonstrate compliance with the Standards at the time of applying to renew its registration, the Secretary may in her absolute discretion, refuse the application to renew the DSP’s registration and commence the process of revoking the DSP’s registration. Where a DSP has its registration under the Disability Act revoked for any reason this will result in the provider losing its status as a Victorian approved NDIS provider. Following refusal or revocation of a DSP’s registration, a NDIA provider may re-apply for registration under the Disability Act if it achieves or can demonstrate compliance with the Standards.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 11 Refusal or revocation of registration

Refusal of an application/ renewal for registration A provider’s application for registration or renewal of their registration as a DSP will be refused if the provider:  fails to demonstrate its capacity to deliver NDIS registration groups in compliance with the Standards;  fails to demonstrate its compliance with the Standards;  fails to comply with the Victorian Working Arrangements, NDIA Terms of Business, and, where applicable, any Conditions of Registration;  has ceased to provide the relevant services;  is not providing services to any persons who live in Victoria;  has not had its application endorsed by the NDIA; or  has had its NDIA registration revoked.

Revocation of registration In accordance with section 43(3) of the Disability Act, the Secretary must revoke a DSP’s registration if it ceases to provide disability services. In accordance with sections 43(1) and 43(2) of the Disability Act, the Secretary may revoke the registration of a DSP where the Secretary considers it appropriate to do so, including but not limited to in the following circumstances:  services are no longer being provided to any persons living in Victoria;  the DSP’s NDIA registration has lapsed or has been revoked;  the DSP has failed to comply with the requirements of the Disability Act (including, but not limited to, where an administrator has been appointed pursuant to section 102 of the Disability Act);  in any other circumstances the Secretary considers relevant (for example, the DSP has not adhered to the Victorian Working Arrangements, NDIA Terms of Business and, where applicable, Conditions of Registration. Refer to the relevant sections in the Disability Act for further information. Where a DSP has its registration under the Disability Act revoked for any reason, the provider will no longer be a Victorian approved NDIS provider for the in-scope NDIS registration groups . The provider’s details will be removed from the Register. The provider’s name, the date that the provider’s registration lapsed or was revoked, and the reasons for the provider’s registration lapsing or being revoked, will be inserted on the revoked-lapsed registration section of the Register.

Notice before refusal or revocation of registration Where the Secretary is considering refusing or revoking the registration of a DSP, the department will:  as appropriate, discuss with the provider options to achieve or maintain registration which may include the decision to attach conditions to registration (not applicable to initial registration);  issue the DSP with a notice, including reasons for the proposed decision;  issue the DSP with a notice advising that it has the right to make a submission in writing to the department within fourteen (14) days of the notice being given. This submission can be in any commonly accepted written form from an authorised representative of the provider that may be kept as an official record (for example, letter or email);  consider any submission made by the provider before the Secretary makes her decision;  inform the provider in writing of the decision and the reasons for that decision; and advise the NDIA.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 12 Appealing the decision to refuse/revoke registration Within fourteen (14) days of the Secretary’s decision to refuse or revoke an NDIS provider’s registration as a DSP, a provider may seek to appeal the Secretary’s decision, by making an application in writing, to the Secretary. The Secretary may affirm or overturn its decision to refuse or revoke the provider’s registration as a DSP. Should the Secretary uphold the applicant’s appeal and registration is granted as a result, the NDIS provider’s details will be added to the Register. Where the decision to refuse or revoke an NDIS provider’s registration is not overturned, the provider may apply to the Victorian Civil and Administrative Tribunal (VCAT) for a review of that decision. Such application must be made to VCAT within twenty-eight (28) days after the later of: (a) the day that the Secretary made its decision; or (b) if the provider requests to be provided with a statement of reasons in relation to the Secretary’s decision, the day on which: (i) the statement of reasons is given to the provider; or (ii) the provider is informed that a statement of reasons will not be given. VCAT may affirm or overturn the Secretary’s decision to refuse or revoke registration, or return the matter to the Secretary for reconsideration. Where VCAT upholds the applicant’s appeal and registration is granted as a result, the provider’s details will be added to the Register. Where VCAT rejects the applicant’s appeal, the decision to refuse or revoke a provider’s registration as a DSP will be confirmed. The NDIA will be advised accordingly.

Future applications for registration Following a decision to refuse or revoke registration, it is open to a provider to re-apply for registration as a DSP. A subsequent application is only likely to be successful if the reasons for refusal or revocation have been addressed and evidence is submitted to satisfy the criteria for registration.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 13 Publication and maintenance of the Register Details of the Register available to the public In accordance with the Secretary’s obligations under the Disability Act, the Register will be available to the public on the department’s website. Details available to the public in the Register include: Name: The name of the legal entity. Any other business names used by the provider under which the in- scope NDIS registration groups are being provided (if applicable). Address: The street and postal address of the legal entity or natural person. Contact information: Contact information for the provider including phone and email. Category of registration: National Disability Insurance Agency. Revocation date (where applicable): The date registration was revoked. Reason for revocation: The reason for revocation, which may be for example, ‘no longer funded’, ‘change of legal entity’, ‘no longer providing in scope registration groups’, ‘commenced new period of registration’, ‘failed to meet Standards’, ‘failed to meet Conditions of Registration’ etc. The Register is, from the date of publishing, located on the department’s website at: http://www.dhs.vic.gov.au/for-service-providers/disability/service-quality-and-improvement/registration- requirements-for-disability-service-providers

Changes to information on the Register A DSP must notify the department in writing within fourteen (14) days of any changes to, or the removal of, any details kept on the Register. Such notification may be provided to the department by:  submitting a Change of information recorded on the register of disability service providers form; or  submitting a Removal of information recorded on the register of disability of service providers form; or  sending: o a letter from an authorised representative of the DSP on the DSP’s letterhead; o an email from an authorised representative of the DSP; or o any commonly accepted written form from the DSP’s authorised representative that can be kept as an official record. The Register is regularly updated to ensure that the list of registered DSPs available to the public is current.

Changes to category of registration A DSP must lodge an Application for registration as a disability service provider form where any changes to its funding/registration arrangements with the department requires a change to its category of registration. For example, an NDIS provider which secures funding from the department and enters into a Service Agreement with the department must lodge an Application for registration as a disability service provider form for approval to change its category of registration. A DSP is required to inform the Standards and Regulation Unit, using the correct form, of any proposed changes to its category of registration within fourteen (14) days.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 14 Procedures for the registration of disability service providers operating under the National Disability Insurance Agency

Purpose The purpose of these procedures is to provide DSPs with information on how to:  apply for registration and renewal of registration;  respond to a notice of intent to refuse or revoke registration;  appeal a decision to refuse or revoke registration;  change their details on the Register; and  remove their details from the Register.

Procedure 1: Registration of new applicants

Applying for registration To apply for registration, an applicant will need to undertake the following steps: 1. Complete an application form using the Application for registration and/or renewal of registration as a disability service provider form. 2. Send the completed application form to the department’s Director, Health and Human Services Regulation Branch, Regulation, Health Protection and Emergency Management Division. 3. Await written notice from the Standards and Regulation Unit as to the outcome of the application. The applicant may be asked to provide additional information to support the application and enable the assessment to be completed. The outcome of the application will be either a:  Notice of registration (specifying conditions where necessary) with Certificate of registration; or  Notice of intent to refuse registration. 4. Where the applicant receives a Notice of registration:  this means that registration has been granted; and  the successful applicant can commence the delivery of services. The successful applicant’s details will be added to the Register of disability service providers and NDIA will be notified accordingly. 5. Where the applicant receives a Notice of intent to refuse registration:  the applicant can within fourteen (14) days of the date of the notice provide additional information to the department to support the initial application. The department may, in its absolute discretion, provide an extension of this time;  where this is not received, the Secretary will make the decision based on the information the department has, and issue a Notice of refusal of registration;  where further information is received, this will be considered before the decision is made; and  the applicant may lodge an appeal with the department and (as required) a further appeal to VCAT. Refer to Procedure 3 - Reviewing and appealing a decision to refuse or revoke registration.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 15 Where a Notice of refusal of registration is issued, the details of the applicant will not be entered on the Register and NDIA will be informed.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 16 Procedure 2: Renewal of registration

Who should use this procedure An application for renewal of registration will only be relevant for DSPs that intend to continue to deliver in-scope NDIS registration groups to people with a disability residing in Victoria.

Steps for renewing registration To apply for renewal of registration, an applicant will need to undertake the following steps: 1. DSPs that apply to renew their registration will be required to demonstrate their compliance with the Standards. Applicants must complete an application form for renewal of registration using the Application for registration and/or renewal of registration as a disability service provider form. An application form for renewal must be received by the department no later than sixty (60) Business Days prior to the expiry of the DSP’s current registration. Application received after this time may not be considered and the DSP’s registration may lapse. Where a provider delivers both disability and community services, an application form for renewal must be received no later than sixty (60) Business Days prior to the expiry of its registration as a DSP or community service (whichever comes first). 2. Send the completed application form to the department’s Director, Health and Human Services Regulation Branch, Regulation, Health Protection and Emergency Management Division. 3. Await written response from the Standards and Regulation Unit as to the outcome of the application for renewal. This will be either in the form of a:  Notice of renewal of registration (specifying any conditions where necessary); or  Notice of intent to refuse renewal of registration. 4. Where the applicant receives a Notice of registration, the applicant may continue to provide services as per the terms of the renewal and the NDIA will be advised. 5. Where the applicant receives a Notice of intent to refuse registration:  the applicant can within fourteen (14) days of the notice, provide additional information to support the initial application. The department may, in its absolute discretion, provide an extension of this time to submit any additional information.  where this is not received, the Secretary will make the decision based on the information the department has, and issue a Notice of refusal of registration.  where further information is received, this will be considered before the decision is made.  the applicant may lodge an appeal with the Secretary and (as required) a further appeal to VCAT. Refer to Procedure 3 - Reviewing and appealing a decision to refuse or revoke registration. 6. Where a Notice of refusal of registration is issued, the provider’s details will be removed from the Register. The provider’s name, the date that the provider’s registration lapsed or was revoked, and the reasons for the provider’s registration lapsing or being revoked, will be inserted on the revoked- lapsed registration section of the Register. The department will also notify the NDIA.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 17 Procedure 3: Reviewing and appealing a decision to refuse or revoke registration

Steps for appealing a decision Where an applicant receives a notice of intention to refuse or revoke its registration as a DSP, the following steps may be undertaken: 1. If the applicant receives a notice from the department which contains a notification of intent to refuse or revoke registration, the applicant may, within fourteen (14) days of receiving this notice, submit further information as evidence of eligibility for registration. The department may, in its absolute discretion, grant the applicant an extension of time in which the applicant may submit additional information. This submission can be in any commonly accepted written form from an authorised representative of the applicant that may be kept as an official record (for example, letter or email). Submissions must be made to the department’s Director, Health and Human Services Regulation Branch, Regulation, Health Protection and Emergency Management Division. 2. If a submission is made, the applicant should await written advice from the Department as to the outcome of the submission. The applicant will receive a:  Notice of registration/renewal; or  Notice of refusal of registration/renewal; or  Notice of revocation of registration. If no submission is made to the department within fourteen (14) days, and the department has not granted the applicant an extension of time to submit additional information, the Secretary will make a decision based on the information available to the department, and refuse or revoke registration. 3. If the applicant receives a notice advising that its application for registration has been refused or revoked, the applicant may, within fourteen (14) days of receiving this notice, appeal the decision in writing to the Secretary. Where the decision to refuse or revoke an applicant’s registration is not overturned by the Secretary, the applicant may apply to the Victorian Civil and Administrative Tribunal (VCAT) for a review of that decision, within twenty-eight (28) days of the later of: (a) the day that the decision is made; or (b) if the applicant requests to be provided with a statement of reasons in relation to the Secretary’s decision the day that statement is given to the applicant or the day that the applicant is informed that a statement of reasons will not be given The applicant should contact VCAT for further information on this process. 4. Should the Secretary or VCAT uphold the applicant’s appeal and registration is granted as a result, the provider’s details will be added to the Register. 5. Should the Secretary or VCAT reject the applicant’s appeal, the decision to refuse or renew registration will be confirmed, and the NDIA will be advised accordingly. 6. Where an applicant’s registration as a DSP has been revoked or not renewed, regardless of whether an appeal is lodged, the provider may re-apply for registration. Such application is unlikely to succeed unless the original reasons for refusal/revocation have been addressed and evidence is submitted to satisfy the criteria for registration.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 18 Procedure 4: Changes to details on the Register

Steps for informing the department of changes to information on the Register A DSP is required to notify the department’s Director, Health and Human Services Regulation Branch, Regulation, Health Protection and Emergency Management Division, in writing within fourteen (14) days, of any changes to their details, as recorded on the Register. This can be done either by:  submitting a Change of information recorded on the register of disability service providers and/or community service form; or  sending: o a letter from an authorised representative of the DSP on the DSP’s letterhead; o an email from an authorised representative of the DSP; or o any other commonly accepted written form from an authorised representative of the DSP that can be kept as an official record . Steps for informing the department of removal of information from the Register A DSP is required to notify the department’s Director, Health and Human Services Regulation Branch, Regulation, Health Protection and Emergency Management Division, in writing within fourteen (14) days, of any request to remove their information as recorded on the Register. This can be done either by:  submitting a Removal of information recorded on the register of disability service providers and/or register of community service form; or  sending: o a letter from the DSP’s authorised representative on the DSP’s letterhead; o an email from the DSP’s authorised representative; or o any other commonly accepted written form from the DSP’s authorised representative that can be kept as an official record.

Further information

Should there be any questions regarding this documentation, please contact: Standards and Regulation Unit Health and Human Services Regulation Branch Regulation, Health Protection and Emergency Management Division Department of Health and Human Services Tel: 03 9096 2745 Email: [email protected]

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 19 Approved forms for disability service providers

Application for registration and/or renewal of registration as a National Disability Insurance Scheme disability service provider

Information for applicants This form and the policy and procedures for the registration as a disability service provider may be accessed from the Department of Health and Human Services’ (department) website. There are no fees associated with making an application for registration or renewal of registration as a disability service provider (DSP). Only one application for registration or renewal of registration is required per provider. Providers applying for initial registration under the Disability Act 2006 are required to submit a completed application form and self-assessment report and quality improvement plan, along with the file audit tools, to demonstrate capacity to meet the Human Services Standards (gazetted as Department of Health and Human Services Standards) (Standards). DSPs are required to apply for renewal of their registration by lodging an Application for registration and/or renewal of registration as a DSP no later than sixty (60) Business Days prior to the expiry date of their current registration. Applications received after this time may not be assessed prior to the expiry date of the DSP’s current registration and the DSP’s registration may lapse. All questions in this application form must be answered unless otherwise advised by the department. Applicants must provide sufficient evidence to meet the registration criteria to the Secretary’s satisfaction. The signature of the person making the application must be recorded and witnessed where indicated on the form. For further information, contact the Standards and Regulation Unit Helpdesk on (03) 9096 2745 or email [email protected] or visit the Department of Health and Human Services Standards webpage which is accessible via the Funded Agency Channel at www.dhs.vic.gov.au/funded-agency- channel under ‘About Service Agreements’. Submit the completed form to the department’s Director, Health and Human Services Regulation Branch, Regulation, Health Protection and Emergency Management Division by email to: [email protected].

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 20 PART 1: Applicant details

1.1 The Applicant Insert the full name of the person making the application

Insert the full name of the provider2

Insert ABN or ACN

Insert the street address of the legal entity Insert the postal address of the legal entity

For natural persons, insert the residential street address

For natural persons, insert the postal address

Insert addresses of all Site address NDIA registration group/s sites and NDIA registered groups to be delivered from each site3 Insert the contact Telephone number details of the provider Email address Officer in Charge - Name Officer in Charge - Position

2 For organisations, the name of the legal entity must be included. See 2.3 for Business / Trading Names.

3 Organisations must advise the Standards and Regulation Unit of changes to its registered groups. Where applicable, attach a copy of your NDIA registration certificate.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 21 PART 2: Applicant status 2.1 Category of registration: National Disability Insurance Agency disability service provider (under the Disability Act 2006).

Registration should only be applied for where an organisation is already registered with the National Disability Insurance Agency, or has been approved for registration with the National Disability Insurance Agency pending registration under the Disability Act 2006.

2.2 Will any of the in-scope NDIS registration groups be delivered by the Applicant under a different business / trading name?

 Yes (see below)  No If yes, list the names and contact details of each business / trading name and the registration groups to be delivered) by each business name

2.3. Does your organisation currently subcontract or intend to subcontract any part of its NDIS funded registration groups that are in scope of Victoria’s quality and safeguards arrangements?

 Yes (see below)  No If yes, please provide for each subcontractor:  details of the legal entity name, street and postal address and contact details of all the sub- contractors  NDIS registration groups to be subcontracted  quality assurance, safeguards and governance structures that are or will be put in place to ensure the subcontractor/s complies with the same statutory and regulatory requirements to which your organisation is subject under the NDIA Terms of Business, including the Victorian quality and safeguards requirements set out in the Guide to Suitability.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 22 Part 3 Accommodation services NOTE Accommodation and support services are connected under Victorian legislation. Specific contractual arrangements between providers are required where long-accommodation and support are to be provided by two separate entities. NDIS Providers already registered under the Disability Act 2006 (for non-accommodation services) are not approved to deliver residential services in-scope of the Act pending satisfactory completion of fire-risk audit and Disability Worker Exclusion Scheme requirements.

3.1. Is your organisation providing or intending to provide accommodation services?

 Yes (see below)  No

Service details: only complete this section if you provide or intend to provide accommodation services (this table is required to be completed for every service site address)

Insert service site address

Is this site specialising in services for a particular client or client group? For example, services for people with mental illness, people with disability or complex behaviour support needs. Number of clients to be provided accommodation at this address Number of beds provided at this address Is the accommodation provided at this service site short stay, long stay (including respite), long stay/ residential or other (if other please give description)? Is the accommodation privately owned or leased? Please provide details Is the accommodation owned by a not for profit community organisation? Will the accommodation include provision of support (for example assistance with daily living)?

Will rostered support be provided at this service site? If yes, please provide details. For example: 24 hour rostered support, sleep over, active nights.

Will the support be provided by the same entity as the

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 23 accommodation owner (or lease holder if the accommodation is leased)?

Is the accommodation provider registered with the NDIA?

PART 4: Compliance with the Standards 4.1 Has the Applicant and/or its business names undertaken a self-assessment or independent review against the Standards?

 Yes (see below and provide suitable evidence for example, certificate of accreditation/report)

 No Date of self- Date of independent Name of Date Name of assessment review independent achieved organisation/business review body (if compliance name/sub-contracted applicable) with agency Standards

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 24 PART 5: Declarations 5.1 Declaration of Applicant In making this application I:  declare that the information contained in this application form is true and correct;  declare that the Applicant is currently registered as a provider with the National Disability Insurance Agency;  agree to provide to the department, upon request, all necessary supporting information to demonstrate compliance with the Standards;  agree to the Secretary revoking the current period of registration (as applicable) in order to commence a new period of registration  understand that the Applicant is required to comply with the Victorian Working Arrangements, NDIA Terms of Business and, where applicable, any Conditions of Registration;  understand that the department may undertake Disability Worker Exclusion Scheme4 checks and require the Applicant and its personnel to obtain Police Record Checks and may contact the Applicant in relation to these checks;  acknowledge that the Applicant’s registration under the Disability Act 2006 (Vic) does not place any obligation on the department to enter into a service agreement with the Applicant or to provide the Applicant with any funding;  acknowledge that an Applicant’s registration under the Disability Act 2006 (Vic) is specific to the in- scope registration groups ;  agree that the Applicant will not make any representations that services provided by it, that are outside the scope of the in-scope NDIS registration groups, are subject to the same quality and safeguards as the in-scope NDIS registration groups;  understand and agree that information provided in this application form and any other relevant information about the Applicant may be shared between the department and the National Disability Insurance Agency and between the department and the Department of Education and Training (where applicable);  understand and agree that a copy of the registration letter and any other relevant information about the Applicant may be shared between the department and the Disability Services Commissioner (where applicable);  acknowledge and agree that the department may visit and inspect the Applicant’s premises, in order to satisfy the Secretary that the Applicant is able to provide services for persons with a disability in accordance with section 41(1) of the Disability Act 2006 (Vic);  confirm, where applicable, that I am authorised to apply for registration as a DSP on behalf of the Applicant; and  Understand that the name, street and postal address and contact details of the Applicant will be made available for public inspection on the Register of disability service providers in the event the Applicant is granted registration. This includes the publication of a private address for natural persons where the postal address and private address are the same.

4 Refer to the Department of Health and Human Services safety screen policy available from the departments website at: http://www.dhs.vic.gov.au/facs/bdb/fmu/service-agreement/4.departmental-policies-procedures-and-initiatives

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 25 Signature of person making application Signature of witness

Name: Name:

Date: Date:

Application to be submitted by email to: Director, Health and Human Services Regulation Branch, Regulation, Health Protection and Emergency Management Division at [email protected].

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 26 Change of information recorded on the Register of disability service providers I, ______ advise of changes to the details held on the Register of disability service providers for

______ of ______

______

Changed registration details are:

Name of registered entity:

______

Addresses:

______

Telephone: ______Email: ______

Name of business name:

______

Addresses:

______

Other change/s required: ______

______

Signature of person making application: ______

Date of application: ______

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 27 Removal of information recorded on the Register of disability service providers

I, ______

Request removal from the Register of disability service providers for

______ of ______

______

Please provide your reason/s for requesting removal from the Register/s: ______

______

Signature of person making application: ______

Date of application: ______

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 28 Appendix 1 Disability Act 2006, Sections 40-48: Registration of disability service providers 40 **Application for registration as a disability service provider 1 A person may apply to the Secretary for registration of the person as a disability service provider. 2 A person may apply to the Secretary on behalf of an unincorporated body for registration of the unincorporated body as a disability service provider. 3 The Secretary may require a person or an unincorporated body who has applied for funding under this Act to apply for registration as a disability service provider before any funds are provided. 4 An application for registration as a disability service provider must be in the form approved by the Secretary.

41 Registration 1 The Secretary may register a person or an unincorporated body as a disability service provider if the Secretary is satisfied that: a the person or unincorporated body can provide a service for persons with a disability; and b the service can be provided in compliance with the requirements of this Act. 2 The Secretary may impose any conditions or restrictions that the Secretary considers appropriate on the registration of a disability service provider. 3 Without limiting the generality of sub-section (2), the Secretary may impose conditions with respect to staffing arrangements and the appointment, numbers and qualifications of persons to be employed or engaged by the disability service provider in the provision of disability services. 4 Unless revoked, the registration of a disability service provider has effect for a period of 3 years or a longer period as determined by the Secretary in each case.

42 Renewal of registration 1 A registered disability service provider may apply to the Secretary for renewal of registration as a disability service provider. 2 An application for renewal of registration as a disability service provider must be in the form approved by the Secretary. 3 Unless revoked, the renewal of registration of a disability service provider has effect for a period of 3 years or a longer period as determined by the Secretary in each case

43 Revocation of registration 1 The Secretary may revoke the registration of a disability service provider if the Secretary considers it appropriate to do so. 2 For the purposes of sub-section (1), the Secretary may have regard to the following - a the Secretary has ceased providing funding to the disability service provider; b the Secretary has terminated a contract with the disability service provider for the provision of disability services; c the disability service provider has failed to comply with requirements under this Act; d any other circumstances that the Secretary considers relevant. 3 The Secretary must revoke the registration of a disability service provider if the disability service provider has ceased to provide disability services.

44 Notice before refusal or revocation 1 The Secretary must not refuse an application under section 40 unless the Secretary has given a notice in writing to the person making the application in accordance with sub-section (3) and has considered any submission made by the person. 2 The Secretary must not refuse an application under section 42 or revoke the registration of a disability service provider under section 43(1) unless the Secretary has given a notice in writing to the disability service provider in accordance with sub-section (3) and has considered any submission made by the disability service provider. 3 The notice must specify - a the proposed decision and the reasons for the proposed decision; b that the person or the disability service provider may make a submission in writing within 14 days of the notice being given.

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 29 45 Application for Review 1 A person or a disability service provider may apply to VCAT for a review of a decision by the Secretary - a to refuse an application under section 40; or b to refuse an application under section 42; or c to revoke the registration of a disability service provider under section 43(1). 2 An application for review must be made within 28 days after the later of - a the day on which the decision is made; or b if, under the Victorian Civil and Administrative Tribunal Act 1998, the person or the disability service provider requests a statement of reasons for the decision, the day on which the statement of reasons is given to the person or the disability service provider or the person or the disability service provider is informed under section 46(5) of that Act that a statement of reasons will not be given.

46 Register of disability service providers 1 The Secretary must keep a register of disability service providers. 2 The Secretary must make available for public inspection a list of disability service providers. 3 The Secretary must include the following information in the register of disability service providers in respect of each disability service provider - a the name of the disability service provider; b the address of the disability service provider; c contact information for the disability service provider. 4 The Secretary is not required to include the details of any natural person in the register of disability service providers.

47 Disability service provider to notify changes A disability service provider must notify the Secretary in writing within 14 days if there is a change to the information recorded in the register of disability service providers in respect of that disability service provider.

48 Certain persons or bodies deemed or may be deemed to be registered as disability service providers 1 A person or body receiving funds for the provision of a disability service under the Intellectually Disabled Persons’ Services Act 1986 or the Disability Services Act 1991 immediately before the commencement of section 222 is deemed to be registered as a disability service provider under this Act. 2 Unless revoked in accordance with section 43, a registration by virtue of sub-section (1) continues in effect until the agreement under which the funds are provided ends or is terminated. 3 The Secretary may deem a person or body to be registered as a disability service provider under this Act if the person or body – a is a community service within the meaning of section 3(1) of the Children, Youth and Families Act 2005; and b provides a service specifically for the support of persons with a disability who are children

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 30 Appendix 2 Conditions of Registration for Local Area Coordination Services

Entities contracted by NDIA to deliver Local Area Coordination services are required to comply with the Conditions of Registration listed below and any other conditions or restrictions placed on registration by the Secretary.

Failure to comply with the Conditions of Registration will result in revocation of a DSP’s registration under the Disability Act 2006 (Act) (Vic) and loss of the provider’s status as a Victorian approved NDIS provider for services in scope of the Disability Act.

Table 1 – Conditions of Registration for Local Area Coordination services

Legislation, Standards, policies and location guidelines

Victorian approved NDIS providers must ensure that Victorian Statute Book services are provided in compliance with all applicable Victorian and Australian Laws. This may include, but is http://www.legislation.vic.gov.au/ not limited to:  Disability Act 2006 (Vic) Fact sheets regarding the Disability Act are available  Mental Health Act 2014 (Vic) from the department’s website at:  Children, Youth and Families Act 2005 (Vic) http://www.dhs.vic.gov.au/about-the-  Charter of Human Rights and Responsibilities Act department/documents-and-resources/policies,- 2006 (Vic) guidelines-and-legislation/disability-act-2006-  Privacy and Data Protection Act 2014 (Vic) information-sheets-for-service-providers  Health Records Act 2001 (Vic)  Public Records Act 1973 (Vic), including applicable standards established by the Keeper of Public Records (Public Record Office Victoria)  Associations Incorporation Reform Act 2012 (Vic)  The Australian Consumer Law (Cth)  Corporations Act 2001 (Cth)  National Disability Insurance Scheme Act 2013 (Cth)  Victorian Charter of Human Rights and Responsibilities

Victorian Charter of Human Rights and Responsibilities http://www.dhs.vic.gov.au/facs/bdb/fmu/service- –[policies and guidelines supporting implementation of agreement/4.departmental-policies-procedures-and- the Act] initiatives/4.9-victorian-charter-of-human-rights-and- responsibilities

Carers Recognition Act, 2012 http://www.dhs.vic.gov.au/facs/bdb/fmu/service- agreement/4.departmental-policies-procedures-and- initiatives/4.23-carers-recognition-act

Privacy, data protection and protected disclosures http://www.dhs.vic.gov.au/facs/bdb/fmu/service- agreement/3.-terms-and-conditions/3.17-privacy-data- protection-and-protected-disclosures

Funded Organisation Performance Monitoring http://www.dhs.vic.gov.au/facs/bdb/fmu/service- framework agreement/4.departmental-policies-procedures-and- initiatives/4.10-funded-organisation-performance- monitoring-framework

Assignment and subcontracting http://www.dhs.vic.gov.au/facs/bdb/fmu/service- agreement/3.-terms-and-conditions/3.10-assignment-

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 31 and-subcontracting Fire risk management guidelines http://www.dhs.vic.gov.au/facs/bdb/fmu/service- agreement/4.departmental-policies-procedures-and- initiatives/4.1-fire-risk-management

Policy, procedures and forms for the registration of http://www.dhs.vic.gov.au/about-the- disability service providers registered/registering with department/documents-and-resources/policies,- the National Disability Insurance Agency guidelines-and-legislation/national-disability-insurance- (Registration Policy) agency-disability-service-providers

Human Services Standards policy http://www.dhs.vic.gov.au/about-the- department/documents-and-resources/policies,- guidelines-and-legislation/human-services-standards

Critical incident management and reporting http://www.dhs.vic.gov.au/funded-agency- channel/about-service-agreements/incident- reporting/human-services

Staff Safety screening http://www.dhs.vic.gov.au/facs/bdb/fmu/service- agreement/4.departmental-policies-procedures-and- initiatives/4.6-safety-screening-for-funded- organisations

Emergency preparedness policy http://www.dhs.vic.gov.au/facs/bdb/fmu/service- agreement/4.departmental-policies-procedures-and- initiatives/4.19-emergency-preparedness-policy-for- clients-and-services

Complaints management policy http://www.dhs.vic.gov.au/facs/bdb/fmu/service- agreement/4.departmental-policies-procedures-and- initiatives/4.5-complaints-management

Vulnerable people in emergencies http://www.dhs.vic.gov.au/facs/bdb/fmu/service- agreement/4.departmental-policies-procedures-and- initiatives/4.18-vulnerable-people-in-emergencies

Senior Practitioner-Disability- Resources and guides http://www.dhs.vic.gov.au/for-service- providers/disability/service-quality-and- improvement/disability-act-2006-for-service- provider/Restrictive-interventions-and-compulsory- treatment/related-resources-holder8/restrictive- intervention-data-system-ebehaviour-support-plan

Policy, procedures and forms for the registration of National Disability Insurance Scheme disability service providers - December 2016 Page 32