Policies

Audit Wise Group is committed to providing audit services that result in competent, consistent operations and impartial audit processes and services.

We understand the importance of creating a high degree of confidence and trust in our activities. We undertake Impartiality Risk Assessments across all aspects of our business and operations to identify any relationship that may create a threat to impartiality.

We require all auditors and staff to sign and practice to our Code of Conduct and ethical behaviour.

Our Impartiality Committee reviews and monitors audit processes and outcomes, policies, procedures, and activities.

Audit Wise Group will not undertake audit activity where a relationship represents a threat to the impartiality of the audit process or outcome.

Audit Wise Group, it’s directors, employees and contractors who receive information through audit activities shall treat this information as strictly confidential which cannot be discussed without direct authorisation.

Our providers trust us with their confidential information and Audit Wise Group commits to always ensuring the security of this information.

If there is a notifiable issue, the consent of the person is required to disclose information unless this is required by law.

Where an uncontrolled risk that may impact on participant safety is identified, Audit Wise Group will make all notifications to the NDIS Commission and relevant authorities.

All directors, employees and contractors are required to agree with the Privacy and Confidentiality Policy and sign a Confidentiality Agreement.

Audit Wise Group maintains all records in a secure database, with security-controlled access.

Audit Wise Group commit to behaving in an independent, objective and ethical way. We strive to add value by being systematic and disciplined, enabling organisations to accomplish their objectives and improve their operations.

All Audit Wise Group employees and contractors are actively encouraged to be respectful to each other and to the NDIS providers, their participants and their workers. Our employees and contractors will always be; professional, honest, open and transparent, diligent and responsible and, in all cases, polite and helpful.

Audit Wise Group is committed to ensuring our providers feel empowered to provide feedback about what is and isn’t working, with any aspect of our service.

We value and encourage feedback, suggestions, and complaints as we recognise that all feedback is important to inform and improve our services.

We will treat any complaint we receive fairly, confidentially and without prejudice.

We understand the importance of receiving and managing feedback to safeguard the integrity of our auditing services and are committed to the timely, effective, and impartial resolution of complaints we receive.

Where a complainant is dissatisfied with the management or outcome of the complaint, the matter will be referred to the to the Audit Wise Group Impartiality Committee and may be reported to JASANZ: https://www.jasanz.org.

If we are unable to reach a resolution, the complainant may raise the matter with JASANZ or the Ombudsman.

Audit Wise Group will refer any complaint that has not been closed within three months of the agreed timeframe to JASANZ, as an aged complaint.

Once a provider is registered with the NDIS Commission, they may request to use the Audit Wise Group Certification Mark.

NDIS registered providers can use the Audit Wise Group Certification Mark on their websites, business stationary, in brochures, reports or other materials, to promote their compliance to quality standards and audit requirements.

Importantly, there are specific conditions and rules governing the use of the Audit Wise Group Certification Mark that must be adhered to, and serious consequences for failing to comply. Any provider intending to use the Audit Wise Group Certification Mark must carefully read and agree to our Guidelines for the Use of Certification Marks and Accreditation Symbols.

Please contact us for clarification about any of the specific conditions or requirements for use.

Once a provider is registered with the NDIS Commission, they can place the JASANZ Accreditation Symbol adjacent to the name and/or Audit Wise Group Certification Marks and their own logo following the Guidelines for the Use of Certification Marks and Accreditation Symbols.

Providers should contact the Audit Wise Group office to ensure eligibility to use the JASANZ Accreditation Symbol. Once eligibility is established, Audit Wise Group will provide an electronic copy of the JASANZ Accreditation Symbol.

All registration decisions are controlled by the NDIS Commission.

Audit Wise Group is responsible for controlling and managing all audit activities according to the NDIS (Approved Quality Auditors Scheme) Guidelines 2018 and undertakes surveillance activities of conformance requirements to ensure ongoing compliance.

The ownership, use and display of any mechanism to indicate a provider’s registration status is described in our Provider Proposal, Certification Agreement and Terms and Conditions and our Policies and Procedures.

In consultation with the NDIS Commission, Audit Wise Group will implement appropriate actions to address any non-conformity identified. This includes the withdrawal, cancellation or suspension of Certification, increased surveillance activities or a reduced scope of Certification.

Certificates will be cancelled and Agreements terminated when a provider:

• breaches any of the obligations in our Certification Agreement and Terms and Conditions and fails to address the breach as directed

• no longer wants to be Certified to the Scheme

• ceases to offer the product, process or service, or

• ceases trading.

Where Certification is suspended, withdrawn, reduced or terminated, the provider must cease all reference to the Certification and take action as required by the NDIS Commission.

Audit Wise Group will make all necessary notifications and modifications to documents required to ensure that the current status of Certification is communicated to JASANZ and the NDIS Commission and made publicly available.

Audit Wise Group recognise a provider’s right to choose a Certification Body without being unduly or unfairly constrained. Audit Wise Group will act cooperatively with other Certification Bodies to facilitate the transfer of Certification both from and to our organisation.

The rules and requirements that govern the process of transferring Certification to another Certification Body have been established to protect the validity of the Certification during the transfer process. Audit Wise Group will facilitate the transfer of Certification in accordance with our procedures, consistent with the International Accreditation Forum Mandatory Document for the Transfer of Accredited Certification of Management Systems MD 2 and JASANZ Transfer of Certification requirements.

1. Only current, valid certifications will be transferred.

2. We will advise the issuing certification body of the request for transfer and request information required to complete the transfer.

3. A pre-transfer review of the information will be conducted to establish the validity of the certification and any outstanding issues.

4. Any issue identified or preventing the transfer will be discussed.

5. Audit Wise Group will determine at our discretion, whether the transfer requires a full scope extension assessment or surveillance in addition to the transfer.

6. Any actions involved in the transfer will be discussed with you.

7. We will maintain documentation about the request, pre-transfer review and justification for any decisions.

Audit Wise Group supports the use of electronic signatures as an efficient and effective tool to conduct business. Electronic signature methods are accepted and preferred options, providing evidence and assurance that the person whose signature is on a document is likely to be the person who signed the document.

The Audit Wise Group Provider Proposal, Certification Agreement and Terms and Conditions is generated using an electronic signature process to make an offer that the parties are required to make or choose to make in connection with the performance of the Agreement.

It is important to note that:

• an electronic signature is the legal equivalent of a person’s handwritten signature. The signature on the Agreement is as valid as if signed in writing

• the electronically stored copy of a signature, any written instruction or authorisation, and any other document provided is the true, accurate, and complete record, legally enforceable in any proceeding to the same extent as if such documents were originally generated and maintained in printed form. The admissibility or enforceability of the electronically stored copy of the document and any other documents cannot be contested

• by selecting “I agree” using any device, means, or action, the person acknowledges they have read and agree to the information and consent to the legally binding terms and conditions of the Agreement

• a person may decline to electronically sign the Agreement and withdraw their consent to sign by contacting Audit Wise Group

• a paper version of the Agreement or paper copies of the signed Agreement can be requested. Fees for providing paper copies may be charged

• on execution, the Agreement is acknowledged, and a copy of the signed Agreement becomes available to download.

Audit Wise Group is committed to the highest level of ethics and integrity in the way we conduct our business. Our commitment is critical to continued success and our reputation.

Our Mission, Vision and Values, Codes of Conduct and policies and procedures, guide our everyday behaviours and we expect everyone who works for Audit Wise Group to act accordingly.

We share a professional responsibility to ‘speak up’ and report unethical behaviour. As an organisation, we are responsible for protecting those who raise a concern from intimidation, disadvantage, or reprisal.

Please contact Mary Jo Nash or Katherine Hannaker through our email address ndis@auditwisegroup.com.au or by phone (03) 9917 8562 if you are aware, witness, have knowledge of, or reasonably suspect that someone has, or will commit Reportable Conduct.

Audit Wise Group take any report of misconduct seriously.