The background discussed here and how to use this resource is explained verbally and in more detail in the Overview Webinar 2023.
The Commission have set out the requirements in a manner which allows you to demonstrate you meet the requirements in a variety of ways. This means:
- There is no right or wrong way of meeting the requirements
- You can work in ways specific to the needs of your business and clients
- But there are baseline requirements which must be incorporated into your policies and ways of working and you need to be careful to not adjust the resources provided here to exclude these aspects
- The focus of an audit is on ensuring the intended outcomes are being achieved for your business and the participant’s you provide services to
- This method may result in differences between auditor assessments.
For auditors to assess whether your business meets the requirements under such a model, you need to provide evidence that not only are there policies and processes in place but these are:
- Understood by you and your staff
- Used by you and your staff
- Part of a system you use to continually inform the way you provide services and conduct your business.
This means it is critical you:
- Understand the resources before you use them
- You consider them a baseline and adjust them to your specific business practices
- Educate your staff regarding the location, reasoning and use of the documents and processes put in place
- Can demonstrate you are doing what you say you do with evidence that processes and policies are in use and you’ve evaluated whether they are having the desired impact on business and participant outcomes
- Can demonstrate changes you are making to your business and services are informed by the objective outcomes generated by the system you’ve put in place.
Typically, a ‘desk-top’ audit of the evidence you have presented to auditors to demonstrate you have implemented the required processes and are utilising them will be conducted for the Verification assessment process. Auditors may also call you if they want to know more but don’t usually physically visit.