The audit process
Information on this page:
- What is an audit? Updated March 2009
- Types of audit
- Audit frequency New March 2009
- The audit team Updated June 2009
- The auditors' role
- Considerations when selecting an auditor Updated June 2009
- Audit duration
What is an audit?
An audit is the process to confirm compliance with the Standards by gathering evidence of observable organisational practice and processes. It will involve an audit team visiting disability service outlets, examination of documentation and interviews with staff and service users, family members and carers.
A typical audit will involve the following:
| Step 1 | The confirmation of objectives, scope and criteria of the audit between the auditors and the disability service provider. The auditors will seek information on the profile of the service provider and support users to ensure a representative sample of service outlets and support users is included. |
|---|---|
| Step 2 | Arrangements will be made concerning the actual site visit - premises and individuals advised, consents sought, etc. Disability service providers will be advised of what documents they should provide for the documentation review. |
| Step 3 | The auditors will undertake a document review. Documents may include management systems documentation, records of previous audit findings, organisational self-assessments, consumer assessments, etc. |
| Step 4 | The auditors will conduct a site visit. They will visit a sample of premises and interview staff and service users. |
| Step 5 | The auditors will conduct an exit meeting. They will give a verbal report on the outcomes of the audit and whether they intend to recommend certification of the service. |
| Step 6 | The disability service provider will receive a final written report from the certification body confirming whether the service will be certified and/or if subsequent actions are required. |
When the site visit is finished you will know what the likely outcome will be.
Types of audits
There are two types of audits:
Certification audit - a full audit against all the evidence indicators to confirm if an organisation can be certified compliant with the Standards.
Surveillance audit - periodic audits to confirm that an organisation is maintaining compliance with the Standards and a focus on continuous quality improvement.
A surveillance audit will audit against at least two thirds of the evidence indicators and must include the following:
- Outcome Standards - Citizenship, Individuality
- Industry Standards - Individual Needs, Complaints and Disputes, Service Management and Freedom from Abuse and Neglect
- a review of the effectiveness of actions taken if non-conformities were identified during the previous audit
- how continuous improvement activities are progressing
- that the organisation is actively managing operational systems
- review of any changes to systems or personnel
- use of or references to certification (e.g. use of marks/symbols)
- interviews with management and service users
If an organisation acquires or opens a new service site, the new service sites will be included in sampling for the next surveillance.
Audit Frequency
New March 2009
Certification will be ongoing subject to organisations demonstrating continuing compliance via periodic surveillance audits. The frequency of audits may vary, depending on the outcome of previous audits.
| Type of Audit | Frequency | Evidence indicators |
|---|---|---|
| Initial certification audit | Achieve certification by 2012 | All evidence indicators |
| First surveillance audit after certification | between 12-18 months after initial certification audit | At least 2/3 of evidence indicators |
| Second surveillance audit after certification | between 12-18 months after first surveillance audit | At least 2/3 of evidence indicators. Must include evidence indicators not included in first surveillance audit |
| Subsequent surveillance audits | between 18-24 months after the last surveillance audit (could be more often if one of the last two surveillance audits identified a major non-conformity) | At least 2/3 of evidence indicators. Must include evidence indicators not included in the last surveillance audit |
The audit team
Updated June 2009
The audit team will consist of at least two people. An audit team will always include a qualified lead auditor and at least one member of the audit team will be an Audit Trained Service User (ATSU). An ATSU is either a person with a disability who has experience as a service user of a disability support service, or a family member or primary carer.
Members of the audit team cannot conduct audits of services where they have any conflict of interest. For instance, audit team members cannot audit a service they provide other consulting services to, or of services they access or have accessed in the previous two years.
The number of auditors may vary according to the participating organisation. For larger or more diverse organisations, the audit team might include additional members to ensure timely conduct of the audit, or who have the specific knowledge or expertise required according to the service or service user profile.
All auditor team members must participate in disability awareness training that aims to ensure auditors consider effective ways to engage with service users, understand the profile of the Victorian disability industry and the current service reorientation, are respectful towards staff and service users and have a good knowledge of the Standards and how they apply in different service settings
The auditor's role
The auditor's role is to look for evidence of organisational practices and processes that demonstrate compliance with the Standards and an organisational focus on continuous quality improvement. They will provide this information and recommendations to their certification body who will make the final decision on whether a disability service provider is certified.
Auditors have a wealth of experience about quality management practices and processes that may be useful to your organisation. Their recommendations and advice about service improvements may assist you to identify new ways to foster good practice.
Considerations when selecting an auditor
The certification body you select to audit your service must be accredited by the Joint Accreditation System of Australia and New Zealand (JAS-ANZ) to perform audits against Procedure 34 to confirm compliance with the Standards for Disability Services in Victoria.
When selecting an auditor some factors you may wish to consider are their:
- experience in auditing agencies against disability Standards
- experience in auditing agencies that operate a similar model to your own
- fees
- ability to overlap the assessment of your service against more than one requirement, for example, perform an audit against Home and Community Care (HACC) and disability Standards at the same time
- past experience with your organisation
- capacity to conduct the audit at a time that is convenient to your organisation
- audit team members' knowledge of the sector.
Audit duration
Factors that drive the audit duration are:
- the organisation's size
- accessibility of evidence
- number and type of services provided
- communication needs of support users
- geographic location and spread.
For most disability service providers, the site visit component of the audit will take one to two days.