Auditing

Our approach to audits

It is important that we have a shared understanding of why we need to audit our providers.

On this page you can download two documents which explain:

The current level of auditing has two big drivers:

During our visits to providers we’re still uncovering significant problems.

For example, during the year up to 31 March, 2011 more than 1,100 contract notices were issued and £12m of overpayments and misclaims identified.

We need to reduce these problems so that we can achieve our key goals to:

reduce the amount of auditing for providers who comply with contractual requirements
focus audit resources on higher risk providers

In an ideal world we wouldn’t want to audit at all. It means a lot of work for you and a lot of work for us.

Between now and the end of March 2012 we want to move towards:

Focusing our resource on those providers who our management information suggest are higher risk regarding compliance with contractual requirements.
Additional auditing for those providers where compliance is not demonstrated.
Visiting providers once a year where contractual compliance is achieved.
Discussing possible file validation issues during the annual visit.
Arriving at an outcome during the annual visit where one of the following will apply:
- all issues are resolved and the next visit will be in a year
- minor issues need following up and a revisit is needed
- significant issues leading to further action and/or audit activity.

Last updated: 21 September 2011