NEIS Referral and Eligibility Guideline
Document change history
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01 07 15
01 07 15
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Original version of document.
Explanatory Note
All capitalised terms have the same meaning as in the jobactive Deed 2015–2020. In this document,
‘must’ means that compliance is mandatory and ‘should’ means that compliance represents best
practice and that compliance is discretionary.
Disclaimer
This Guideline is not a stand-alone document and does not contain the entirety of Employment
Services Providers’ obligations.
It must be read in conjunction with the Deed and any relevant Guidelines or reference material issued
by Department of Employment under or in connection with the Deed.
Summary
This Guideline provides an overview of the New Enterprise Incentive Scheme (NEIS) and sets out the
obligations for Employment Providers and Disability Employment Services Providers (referred to as DES
Providers) in assessing and referring eligible job seekers to NEIS.
This Guideline also gives NEIS Providers an overview of their responsibility to ensure that eligible and
suitable job seekers are commenced in NEIS.
NEIS Allowance and NEIS Rental Assistance are paid to eligible NEIS Participants by the Department
during their participation in NEIS Assistance, in accordance with the NEIS Participant Agreement.
Note: NEIS business idea means the idea of a Stream Participant or DES Participant, as relevant, for a
self-employment business.
Policy Intent
NEIS assists eligible job seekers to start and run their own small businesses by providing accredited
small business training, business advice and mentoring for up to 52 weeks and, if eligible, income
support for up to 39 weeks. The Employment Provider or DES Provider should discuss participation in
NEIS Services with job seekers interested in self-employment. Participation in NEIS Services is
competitive and NEIS Providers do not have to accept all NEIS referrals for job seekers even if they are
NEIS Eligible.
NEIS Referral and Eligibility Guideline
TRIM ID: D15/230237
Effective Date: 1 July 2015
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Relevant Deed clause/s
The relevant clauses in the jobactive Deed 2015–2020 (the Deed) include:
 Annexure A1—Definitions
 Clause 97—NEIS Services
 Part C—New Enterprise Incentive Scheme Services.
Relevant references
Reference documents relevant to this Guideline include:
 Documentary Evidence Guideline
 NEIS Training Guideline.
More information about Providers’ obligations in delivering NEIS Services can be found on the Provider
Portal. If additional information or advice is required, NEIS Providers are advised to contact their
Account Manager.
Referral and eligibility criteria
Process
Referral to NEIS Services
(Employment Provider
or DES Provider)
Details
Deed clause references:
 Clause 97
If both the job seeker and Employment Provider or DES Provider agree that it may be
appropriate for the job seeker to receive NEIS Services, the Employment Provider or
DES Provider must send the job seeker to a NEIS Provider located in the relevant
Employment Region. The Employment Provider will use the Department’s IT Systems
to send the job seeker for possible acceptance into NEIS. The Department’s IT System
will automatically indicate if the job seeker may be NEIS Eligible.
If it is agreed that it may be appropriate for the job seeker to receive NEIS
Services the Employment Provider or DES Provider must provide an overview
of NEIS Services and the job seeker’s participation requirements.
Note: Employment Providers and DES Providers must include the referral to NEIS
Services, acceptance into NEIS Training and the commencement in NEIS Assistance in
the Job Plan when advised by the NEIS Provider.
Where the job seeker directly approaches a NEIS Provider, the NEIS Provider
must refer the job seeker to an Employment Provider or DES Provider to
discuss the possibility of receiving NEIS Services.
Determine whether the
job seeker is NEIS
Eligible (ie meets the
NEIS eligibility criteria)
(NEIS Provider)
Deed clause references:
 Clause 127.4
When a job seeker is referred to a NEIS Provider, the NEIS Provider must
ensure that the job seeker is NEIS Eligible. A job seeker is NEIS Eligible where
they:
 are a Stream Participant or are a DES Participant in the Employment
Assistance Phase. Stream Participants who are Volunteers are only NEIS
Eligible if they will commence in NEIS Assistance before the end of their
six month Period of Service

are at least 18 years of age at the time of commencing NEIS Assistance

are in receipt of an eligible payment specified by the Department (see
below)

are not approaching conversion to the Age Pension—that is, they will not
convert to the Age Pension before or during participation in NEIS Services

are available to participate in NEIS Training (if relevant) and work FullTime in the proposed NEIS Business

are not an undischarged bankrupt
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
have not, at any time, received NEIS Assistance for a similar business
activity

have not received NEIS Assistance in the previous three years (those job
seekers that commenced NEIS Training prior to 1 July 2015 will be eligible
if they have not received NEIS Assistance in the previous two years) and

are any other person or persons advised to the NEIS Provider by the
Department in writing from time to time.
Eligible payments
The NEIS Provider must ensure that the job seeker is receiving one of the
following allowances or income support payments:
 Bereavement Allowance (BVA)

Carer Payment (CAR*)

Community Development Employment Projects (CDEP)

Disability Support Pension (DSP*)

Newstart Allowance (NSA)

Parenting Payment Partnered (PPP)

Parenting Payment Single (PPS*)

Partner Allowance (PTA)

Partner Service Pension (DVA allowance) (WSP*)

Special Benefit under NSA conditions (SNS)

Special Benefit (SPL)

Special Benefit under YA conditions (SYT)

War Widow(er) Pension (DVA allowance) (WWP*)

Widow Allowance (WDA)

Widow B Pension (WID)

Wife Pension Age (WFA)

Wife Pension DSP (WFD)

Youth Allowance (Other) (YAL).
Job seekers who receive one of these eligible payments may be able to remain
on those payments while receiving NEIS Assistance.
Working Full-Time in the NEIS Business
‘Full-Time’ participation in a NEIS Business generally means 35 hours per week.
Job seekers with a restricted work capacity (for example, as a principal carer
parent or due to disability) who cannot work 35 hours per week may still be
eligible to receive NEIS Services. The NEIS Business must be Commercially
Viable and its viability will depend on the number of hours the job seeker can
work. The NEIS Provider should also take into account a job seeker’s Partial
Capacity to Work (PCW). PCW is determined by an Employment Services
Assessment (ESAt) and can be viewed in the Department’s IT Systems.
Where a NEIS Provider assesses that a job seeker’s NEIS business idea would
require the job seeker to work more than their minimum required hours as a
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result of their PCW, and where the job seeker volunteers to work the
additional hours, the job seeker will need to obtain medical clearance stating
that they are able to work the required hours in their proposed NEIS Business.
The job seeker should be strongly encouraged to discuss their options with the
Department of Human Services before consideration is given to enrolling the
job seeker in NEIS Training.
The NEIS Provider should note that job seekers cannot be required to
participate beyond their PCW ‘with intervention’ bandwidth. However, they
may volunteer to participate above their PCW bandwidth (‘baseline’ or ‘with
intervention’). NEIS Providers should speak with the referring Employment
Provider or DES Provider to discuss the job seeker’s PCW to identify any
restrictions listed in their ESAts and to determine if the proposed NEIS
Business is suitable for the job seeker. NEIS Providers must obtain voluntary
agreement from a job seeker to undertake additional hours.
If a job seeker is either a Principal Carer Parent recipient (NSA, YAL or PP) or
Carer Payment recipient, they will have reduced working hours requirements.
A job seeker’s working hour requirement can be viewed on the Department’s
IT Systems.
NEIS Providers should carefully consider whether the NEIS business idea
proposed by a job seeker is Commercially Viable with an assessed PCW of 0–7
hours as determined by an ESAt (irrespective of their income support
payment).
Note: Refer to NEIS Business Eligibility Criteria for information on whether a
NEIS Business is Commercially Viable.
Similar business activity
The NEIS Provider must ensure that the job seeker has not, at any time,
received NEIS Assistance for a similar business activity and has not received
NEIS Assistance in the previous two years. ‘Similar business activity’ means
that more than 50 per cent of gross turnover of the proposed NEIS Business
involves a business that was previously the job seeker’s NEIS Business.
Participating in NEIS Assistance
The NEIS Provider should also tell the job seeker that if they are accepted into
NEIS Assistance:
 the job seeker must participate in the NEIS Business Mentoring provided

the job seeker must conduct their NEIS Business in accordance with the
approved NEIS Business Plan and seek approval from the NEIS Provider
before varying the NEIS Business Plan

the job seeker must advise the NEIS Provider of any change in their
circumstances and

if an overpayment of NEIS Allowance occurs during their period of NEIS
Assistance for whatever reason, the Department may offset that debt
against any other payments due to the NEIS Participant under their NEIS
Participant Agreement. The Department may recover the whole amount
of the debt at once unless the NEIS Participant, when notified by the
Department of an overpayment, contacts the Department to arrange
repayment through an instalment plan.
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Effective Date: 1 July 2015
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NEIS Business Eligibility
Criteria
(NEIS Provider)
Details
Deed clause references:
 Section 3D
 Clause 128.3
NEIS Business Eligibility Criteria are that the proposed NEIS Business:
Where a job seeker has been assessed as NEIS Eligible, the NEIS Provider must
assess the job seeker’s NEIS business idea to ensure it meets NEIS Business
Eligibility Criteria.

is not currently operating on a commercial basis

will be independent

is lawful and capable of withstanding public scrutiny

has been assessed as Commercially Viable by the NEIS Provider

will not compete directly with existing businesses unless it can be
demonstrated that there is an unsatisfied demand for the product or
service, or the product or service is to be provided in a new way

will be established, located and operated solely within Australia

will be structured so that the job seeker has and will maintain a
controlling interest over the NEIS Business for the duration of the job
seeker’s NEIS Participant Agreement and

will not be a not-for-profit business unless otherwise agreed to by the
Department in writing.
The NEIS Provider must consider the following in their assessment of a NEIS
business idea.
1. Not operating on a commercial basis
The proposed NEIS Business must not have commenced commercial activities
before approval for NEIS Assistance. If a proposed NEIS Business is already
operating and meets one or more of the following criteria then the job
seeker’s NEIS Business Plan has not met the NEIS Business Eligibility Criterion
‘Not operating on a commercial basis’:

the commercial activity is undertaken in a business-like manner and there
is a reasonable expectation of profit

the business is of reasonable commercial size in comparison with other
businesses in the same field

there is and has been repetition and continuity of commercial activity
and/or

there is a commercial relationship with customers.
Job seekers are able to supplement their income support payments by having
small-scale business ventures (for example, weekend market stalls, hobby
activities etc.).
To determine if the proposed NEIS Business meets the NEIS Business Eligibility
Criteria, NEIS Providers, in discussion with job seekers, should determine
whether their business activity was an activity conducted for income
supplementation or an activity conducted on a commercial basis.
The NEIS Provider must retain an accurate and complete record on the job
seeker’s file of their decision on whether the business activity was operating
on a commercial basis or not.
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2. Is independent
The proposed NEIS Business must be owned and operated solely or primarily
by the NEIS Prospective Participant. The NEIS Prospective Participant must
hold a controlling interest and must not be subject to control by others.
The proposed NEIS Business may not be independent if an agreement has
been made with another party for:

use of its trade name and/or business system and practices

the provision of a specialised sales or service strategy and/or

administrative or promotional assistance in exchange for a once-only
payment, periodic fees or commissions.
A proposal may not be independent if the business is operating solely or
primarily as:

a subsidiary

a franchise

a not-for-profit entity

an agent for another enterprise

a part of a multi-level marketing arrangement and/or

a supplier of labour, products or services to one business in an exclusive
contractual arrangement.
a. Business structure
Two or more individuals can form a partnership, company, group enterprise or
cooperative enterprise. NEIS Participants can form a joint enterprise with
another person provided that the NEIS Participant holds and maintains the
controlling interest in the business.
b. Controlling interest
The job seeker should show to the NEIS Provider that:

they are in a position to assert ‘managerial control’ (see below) over the
direction that the NEIS Business will take for the term of the job seeker’s
NEIS Participant Agreement

where the business entity consists of both a job seeker and another
person then, at the time of approval of the NEIS Business Plan and
throughout the course of the job seeker’s NEIS Participant Agreement,
the percentage of controlling interest the job seeker maintains should be
equal to or greater than the controlling interest percentage of the other
person and

each job seeker will maintain an interest in the ownership of the working
capital and the income of the business that is equal to or greater than the
individual level of ownership of each other member of the NEIS Business.
‘Managerial control’ exists where, at the time of each job seeker’s
commencement in NEIS Assistance and for the duration of the NEIS Participant
Agreement, any of the following circumstances apply:

Sole trader: A job seeker should provide evidence that they are selfemployed and entitled to all profits and are responsible for all losses of
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the NEIS Business.

Partnership: A job seeker should provide evidence that they are a partner
in the business. A partnership agreement should be entered into and in
the case of a NEIS Business where the partners are a married couple, their
marriage certificate does not satisfy the above requirements.

Trading trusts: A job seeker should provide evidence that they are a
trustee of a trading trust.

Company: A job seeker should provide evidence that they are a director
of a company, and that the job seeker(s) in that company collectively hold
a controlling interest in the company as directors.
3. Capable of withstanding public scrutiny
The NEIS Provider must ensure that any proposed NEIS Business is capable of
withstanding public scrutiny. This means that the proposed NEIS Business will
not bring NEIS, the NEIS Provider or the Commonwealth Government into
disrepute; complies with relevant local and Commonwealth Government
regulations; is lawful; and is being operated under appropriate qualifications.
NEIS business ideas that may not meet the criterion of being capable of
withstanding public scrutiny include:
 psychic related businesses (such as mobile Tarot reading, psychic or
hypnotic surgery, aura washing, clairvoyance, numerology)

gambling

management of greyhound or other racing syndicates

graphic or violent films and violent multimedia material

sales or distribution of weapons (for example, guns)

providing a platform for the promulgation of political, religious (for
example, theology, teaching of beliefs, evangelistic ministries) or
philosophical points of view

racial or religious vilification

sex industry related activities, products or publications (print and
electronic)

businesses that use offensive language or genitalia in their names or
describe or display logo graphics or any other part of the anatomy in an
offensive way

businesses that support illegal drug use or the construction or sale of
equipment that could be used for illegal drug use and

tattooing that is not compliant with legislation, including health
regulations.
When approving NEIS business ideas for businesses that provide alternative
natural therapies, care should be taken to assess whether the operator of the
business holds appropriate certification, where appropriate, and whether the
business will be Commercially Viable and operate under state/territory and
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Commonwealth legislative requirements. NEIS Providers should ensure that
they have a full understanding of the Services to be delivered to ensure that
the risks to the Commonwealth are minimised.
Where a proposal for a NEIS Business requires certification, job seekers must
hold and maintain, and NEIS Providers must sight, appropriate professional
body certificates and/or active membership to assist in satisfying the ‘public
scrutiny’ requirement.
The NEIS Provider must also discuss with the job seeker the requirement to
obtain appropriate insurance for the proposed NEIS Business (that is,
insurance that would provide coverage recognised as industry standard within
the industry in which the NEIS Business will be operating); that the insurance
must be taken out as at the commencement date of the NEIS Business; and
that the policy must be maintained during the term of the NEIS Participant
Agreement.
Note: A job seeker with a criminal record may find it difficult to obtain
insurance. It is recommended that preliminary enquiries should be made with
insurance brokers to check whether insurance is likely to be secured. This
should be done before NEIS Training to avoid the situation where the NEIS
Prospective Participant completes NEIS Training but cannot start the NEIS
Business due to lack of insurance.
4. Will be lawful
The NEIS Provider must ensure the proposed NEIS Business will be lawful. This
will also include:
 relevant police checks where the business would, for example, be working
with children, the elderly or other vulnerable persons as required by the
Deed and/or State or Territory law

registration of business name

obtaining an ABN and

registration for GST purposes (if applicable).
The NEIS Business Plan should include evidence that the job seeker has
researched, and will comply with, any federal, state, territory and local
government legislative requirements affecting their business operation,
including in relation to work health and safety, environmental, equal
employment opportunity, industrial relations, anti-discrimination
requirements; and relevant industry codes of practice.
5. Assessed as Commercially Viable
The NEIS Provider must assess that the proposed NEIS Business will be
Commercially Viable.
The Commercial Viability of the NEIS business idea can be determined through
the forecasted cash flow for the second year of the NEIS Business’ operation.
This is a mandatory element for all NEIS Business Plans.
In assessing whether the NEIS Business Plan is Commercially Viable, the NEIS
Provider must also take the following factors into account:

Revenue from sales should be based on thorough market research and
realistic sales forecasts. Provision must be made for seasonal fluctuations
and low initial sales
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
All relevant cost factors should be included in the expenses section of the
cash flow. In particular, any borrowings required to start up the business
must be included as outgoings. However, these borrowings may be
spread across several years if necessary—in that case, the cash flow
projection should be extended for that period

A separate budget covering personal living costs of each job seeker
should be included.
Where the NEIS Provider determines that the job seeker is able to work in
their NEIS Business fewer than 35 hours per week in line with their Mutual
Obligation, the Commercial Viability may be assessed based on the job
seeker’s reduced hours.
6. Purchase or takeover of a non-operational business
A proposal for the purchase or takeover of a non-operational business is
allowed but is limited to the purchase of equipment only. The purchase or
takeover must not involve acquisition of goodwill or branding.
Approval by the NEIS Provider is subject to:
 an independent evaluation—at the job seeker’s expense—by a qualified
business valuer to ensure that goodwill is not included in the purchase
price and

sighted evidence that the business has ceased to operate or trade,
including the date of business closure.
7. Will not compete directly with existing businesses unless it can be
demonstrated that there is an unsatisfied demand for the product or
service or the product or service is to be provided in a new way
The NEIS Provider must ensure that the job seeker provides details of any
potential competitors in their NEIS Business Plan so that the NEIS Provider can
analyse the impact of the proposed NEIS Business on those existing
enterprises.
There are a number of ways to assess the exact impact that a NEIS Business
may have on existing businesses and a number of factors to consider,
including:
a) Knowledge of the local region—The NEIS Provider will need a
comprehensive knowledge of small business activity in the relevant local
geographical region and/or specialised fields of industry. This will enable
them to make informed decisions about competition issues. If they do not
have sufficient relevant information to deal with a particular case, they
should seek local expert advice.
b) Competition issues—These can arise particularly when there are only a few
(or even only one) existing similar enterprises in a geographic region or an
industry sector. Competition issues may arise where the proposed NEIS
Business will be located close to an existing enterprise or where the NEIS
Participant is known to the operator of an existing business—for example,
the NEIS Participant may be a former employee or family member.
c) Nature of the labour market—A new business that is operating in a large
metropolitan labour market may have less impact on existing businesses
than one that is operating in a small country town, where there is limited
demand. For instance, in a metropolitan labour market a new business may
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address unsatisfied demand if it is located closer than existing businesses
to customers for whom transport is an issue. Conversely, a proposed
business may be located close to existing businesses but attract a customer
base across a wide geographic area.
d) Level of demand—Is the proposed NEIS Business in an industry that is
either in a growth or decline phase? If the level of demand is increasing, it
would provide the opportunity for new businesses. Conversely, the
proposed business may be in an industry in decline. This could mean that
the level of demand may be insufficient to maintain a new or even existing
business.
e) Providing products or services in a new way—Technological change or
consumer trends constantly lead to updating and revision of products and
services. A new business proposal may demonstrate that the product or
service is different from existing businesses providing similar products or
services and therefore will create a new or increased demand. This may
also include so-called ‘niche markets’ that focus on a specialised
component of a broader category of products or services.
8. Established, located and operated solely within Australia
In assessing this criterion, the NEIS Provider must ensure that the NEIS
Business will be set up in Australia. However, a job seeker can receive NEIS
Assistance for a proposed business that is to be established in Australia even if
they were previously self-employed in a similar business in another country.
A NEIS Business is considered to be operating in Australia when it carries on
business in Australia—that is, the control and the day-to-day management
must be undertaken in Australia and the business must be physically located in
Australia. It is acceptable for NEIS Participants to go overseas to purchase
stock, make sales or generally earn business income relevant to the NEIS
Business as long as its management and control remain in Australia.
NEIS Participants must not work on an ongoing basis overseas—all business travel
must be identified in the NEIS Business Plan, which must demonstrate the reasons for
the required travel.
NEIS Participants must be available for monthly contacts and NEIS Business
Mentoring visits and have appropriate travel insurance. For NEIS Participants
in receipt of NEIS Allowance, this could be longer than the four weeks allowed,
by DHS, for those that remain on income support.
NEIS Business Plan
development
(NEIS Provider)
Although the NEIS Provider may ultimately reject the NEIS Business Plan, the
NEIS Provider must first proactively assist the job seeker to further develop
their NEIS Business Plan to satisfy the NEIS Business Eligibility Criteria.
Where a NEIS Business Plan cannot be further developed to meet all NEIS
Deed clause references:
Business Eligibility Criteria, the job seeker is not eligible to continue to NEIS
 Clause 128.2
Training. The NEIS Provider must explain in writing to the job seeker why their
 Clause 128.5
NEIS Business Plan is not eligible and inform them of their right to have the
NEIS Provider's decision reviewed. They must also refer the job seeker back to
their Employment Provider or DES Provider and record the decision in the
Department’s IT Systems.
The NEIS Provider is responsible for approving the NEIS Business Plan, so it is
Ineligible or
important that the NEIS Providers properly assesses whether a job seeker is
inappropriate NEIS
NEIS Eligible and whether their NEIS Business Plan meets all NEIS Business
Businesses
Eligibility Criteria.
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(NEIS Provider)
Deed clause references:
 Clause 128.3
 Clause 128.4
Eligibility for NEIS
Training
(NEIS Provider)
Deed clause reference:
 Clause 127.5
Details
If the Department identifies that an ineligible or inappropriate NEIS Business
has commenced, the Department may direct the NEIS Provider to either
suspend or terminate the NEIS Participant Agreement and advise the NEIS
Participant of the action. In some circumstances, where it is shown that the
NEIS Provider has been neglectful in carrying out thorough eligibility checks or
business monitoring, the Department may recover fees paid to the NEIS
Provider.
Where the NEIS Provider is satisfied that the job seeker is NEIS Eligible and the
NEIS business idea meets NEIS Business Eligibility Criteria, the NEIS Provider
must then recommend to the Employment Provider or DES Provider whether
the job seeker should undertake NEIS Training (that is a Certificate IV in Small
Business Management or Certificate III in Micro-Business Operations). See the
NEIS Training Guideline for further information. If the job seeker wishes to
participate in NEIS Training, the NEIS Provider must have them complete and
sign a NEIS Eligibility Certification Form. When signed, this form will be an
important record of the applicant’s declaration of eligibility, including NEIS
Business Eligibility Criteria, in the case of any dispute arising. The NEIS Provider
must retain the signed form according to Documentary Evidence Guideline.
Update Job Plan
(Employment Provider
or DES Provider)
Where it is determined that the job seeker will undertake NEIS Training, the
NEIS Provider must advise the referring Employment Provider or DES Provider
to update the job seeker’s Job Plan to indicate that NEIS Training will be
undertaken, the certificate level and the expected start and end dates of the
Deed clause reference:
NEIS Training as recorded in the Department’s IT Systems.
 Clause 97.1
In the event that NEIS Training is not immediately available, the Employment
 Clause 127.4
Provider or DES Provider should review and negotiate interim activities in the
 Clause 127.5
job seeker’s Job Plan and explain to the job seeker their participation
obligations until NEIS Training commences.
Assessing NEIS Business Plans
Process
NEIS Business Plan
Assessment
(NEIS Provider)
Deed clause reference:
 Clauses 128.2–
128.6
Details
A NEIS Business Plan must be assessed by the NEIS Provider and only approved
where all NEIS Business Eligibility Criteria are met and noted in the NEIS
Business Plan.
In assessing the NEIS Business Plan, the NEIS Provider must be satisfied that
the NEIS Participant is NEIS Eligible and all NEIS Business Eligibility Criteria have
been met. All proposed NEIS Businesses must have public liability insurance
and consider other insurances such as professional indemnity, product liability
or other relevant insurances as appropriate.
The NEIS Prospective Participant should have identified the NEIS Business
premises, obtained insurance quotes and included all the relevant business
costs in their NEIS Business Plan.
The NEIS Business Plan is used for assessing compliance with the NEIS Business
Eligibility Criteria and should contain:
 a title page

an executive summary of the NEIS Business Plan that includes information
on how NEIS Business Eligibility Criteria have been met

an overview of the proposed NEIS Business

a Political, Economic, Social and Technological (PEST) analysis
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NEIS Business Plan
approval or rejection
(NEIS Provider)
Deed clause reference:
 Section 3D
 Clause 128.2–128.6
Details

a marketing plan

an operations plan

a financial plan that includes second-year cash flow

a management plan

work health and safety requirements

appropriate business insurance and

appendices that support the content of the NEIS Business Plan and NEIS
Business Eligibility Criteria.
When the NEIS Business Plan is approved, the NEIS Provider must notify the
NEIS Prospective Participant within five Business Days of approval.
The NEIS Provider should also advise the NEIS Prospective Participant to
finalise the NEIS Business start-up arrangements—for example, they should
obtain all relevant leases, licences, state or local council approvals (such as
development approvals and health permits, as appropriate), insurance cover
and other business start-up requirements.
The NEIS Prospective Participant must have already finalised their start-up
arrangements before the NEIS Participant Agreement commences. Therefore,
the time required to obtain such start-up requirements should be taken into
consideration when the NEIS Provider decides upon the start date for the
proposed NEIS Business. The NEIS Provider must arrange a meeting with the
NEIS Prospective Participant to:
 confirm the NEIS Prospective Participant’s NEIS Eligibility and have the
NEIS Prospective Participant sign the NEIS Eligibility Certification Form,
Tax File Number Declaration Form and NEIS Rental Assistance Form (if
applicable)

explain to the NEIS Prospective Participant their obligations under the
NEIS Participant Agreement and advise them to carefully read their NEIS
Participant Agreement

have the NEIS Prospective Participant sign the NEIS Participant Agreement
and

inform the Employment Provider or DES Provider of the job seeker’s
acceptance into NEIS Assistance and to update the Job Plan.
The NEIS Provider must update the Department’s IT Systems.
For the NEIS Prospective Participant to be commenced into NEIS Assistance,
the NEIS Provider must forward the following documentation to the
Department:
 the signed NEIS Participant Agreement

the NEIS Eligibility Certification Form

a completed Tax File Number Declaration Form and

Confirmation of Eligibility for NEIS Rental Assistance Form, if applicable.
The NEIS Provider must keep copies of NEIS Business Plans and all other
relevant documentation.
Rejecting a NEIS Business Plan
NEIS Referral and Eligibility Guideline
Effective Date: 1 July 2015
TRIM ID: D15/230237
12
Process
Details
Before rejecting a NEIS Business Plan, the NEIS Provider must consider
whether the NEIS Business Plan has merit. If so, the NEIS Provider must
proactively assist the NEIS Prospective Participant to further develop their NEIS
Business Plan to ensure, where possible, that it has the best chance of meeting
NEIS Business Eligibility Criteria.
If the issues with the NEIS Business Plan cannot be resolved and the NEIS
Provider decides to reject the NEIS Business Plan, the NEIS Provider must
inform the job seeker and Employment Provider or DES Provider within 10
Business Days of the decision and inform them of their right to have the
decision reviewed.
The job seeker must be referred back to the referring Employment Provider or
DES Provider. The Employment Provider or DES Provider will update the NEIS
Prospective Participant’s Job Plan. The NEIS Provider must end the NEIS
Training in the Department’s IT Systems.
Rights of review
Where a NEIS Prospective Participant’s NEIS Business Plan is rejected or a NEIS
Business they commenced is terminated, they can request that the decision be
reviewed. There are two stages of review:
 The NEIS Provider must arrange for an independent reviewer who was
not involved in the original decision. The independent reviewer should
have an understanding of NEIS and be familiar with NEIS Business
Eligibility Criteria

The NEIS Provider must advise the NEIS Prospective Participant of the
result of the independent review in writing and within 10 Business Days of
the NEIS Prospective Participant’s request

Where the NEIS Prospective Participant is dissatisfied with the outcome of
the independent review, they may request the Department to review the
NEIS Provider’s decision:
o through their NEIS Provider to the Departmental NEIS Contract
Manager
o via the Department’s National Customer Service Line—1800 805 260 or
o in writing directly to the NEIS Account Manager at GPO Box 9880 in
their capital city.
Should a NEIS Prospective Participant ask the Department to review the
independent decision through the NEIS Provider, the NEIS Provider must
advise the Department of the request and submit to the Account Manager all
relevant associated documents, including:
 the NEIS Prospective Participant’s written request to the Department for
a review of the independent reviewer’s decision. The request must state
the NEIS Prospective Participant’s reasons for being dissatisfied with the
outcome and the basis upon which they seek a further review

the NEIS Business Plan and all attachments

the NEIS Provider’s records on how the NEIS Business Plan assessment
decision was reached and any associated file notes

the NEIS Provider’s records relating to the outcome of the independent
review
NEIS Referral and Eligibility Guideline
TRIM ID: D15/230237
Effective Date: 1 July 2015
13
Process
Details

the NEIS Prospective Participant’s application for NEIS and

any other relevant documentation.
If the NEIS Prospective Participant seeks a review directly to the Department,
the Account Manager will contact the NEIS Provider to obtain all relevant
documentation.
NEIS Referral and Eligibility Guideline
TRIM ID: D15/230237
Effective Date: 1 July 2015
14