Auditing documentation examples

Audit summary – Page 1

The audit summary page shows:

1. Client's name
2. Start and end of the audit period
3. Opening and closing amounts for the audit period
4. Amount of weekly gross DP funding retained in the account and any further amounts to be retained (i.e., respite funds)
5. Total amount to be retained
6. Amount of funds that can be returned to Trafford as 'surplus' to requirements
7. Amount of funds that are requested to be returned to Trafford

Audit notes

The audit notes section details all the administration areas of the Direct Payment account and the funding amount and how the funding is being used.

Any actions that may be required to be completed are detailed here.

Audit summary – Page 2

Page 2 details the actual spend from the Direct Payment Account:

1. Date the audit has been completed
2. End date of the audit period
3. Client's name
4. Totals of the account transactions
5. The amount of funding that is being allowed to be retained in the account

This box shows the totals of the account transactions – the balance from the last audit – all payments in and out of the account during the audit period in question – the balance of the account at the end of the audit period

This box shows the amount of funding that is being allowed to be retained in the account – the usual amount is between 6 – 8 weeks of the gross weekly direct payment amount and any further funds—such as Respite—that have been allocated but not fully used.

The rest of the sheet shows the details of all the transactions that have been made during the audit period:

1. Date – Date of Transaction
2. Details – Details of the payment
3. Class – Type of payment – Care, PA, Client Contribution
4. Chq – Cheque number - If a payment has been made by cheque
5. Paid Out – Amount that has been paid out of the account
6. Paid In – Amount paid into account – Trafford Council payments and client contributions

The final columns show the activity detailed in specific areas:

7. Budget – Funds Received From Trafford Council
8. CC – Client Contribution Payments
9. Payment type
10. Totals for each element of spend etc.

These documents will be sent to the Suitable Person administering the account upon completion of every audit completed whilst Direct Payment funding is in place.

Client contribution sheet – Page 1

The client contribution sheet (Page 1) gives details of the following:

1. Client name
2. Client BP Number - Trafford Client Reference
3. Vendor number – The place for funds to be released to the direct payment account
4. DP Payment Type – How the account is administered
5. Start date of service
6. End date of service
7. Reason for end
8. Financial appointee details
9. A running total of the payment amounts due and made with the balance - under or overpaid

The weekly contribution box details the amounts of the weekly client contribution due and the start and end date for each of the amounts that are due; there is usually an initial assessment, then an update each year in line with the increases in DWP benefits.

Client contribution sheet – Page 2

The client contribution sheet (Page 2) details the periods the client contribution is due for:

1. From – Week beginning date - Monday
2. To – Week end date – Sunday
3. No of Days – Usually 7 as this is the weekly calculation of payments due
4. Cont amt due – the amount of the contribution due
5. Amount paid – Details of the amount paid from personal funds for the client contribution amount due
6. Date paid – Date paid on bank statements provided
7. Running total – This gives the balance of the account and shows any under or overpayment of the client contribution amounts due