The council has a duty to make sure that direct payments are being spent appropriately, so we will carry out checks on a regular basis.
During your direct payment set-up visit, your Direct Payment Advisor will provide support and guidance around good record keeping. A follow up visit will also be arranged for a date and time suitable for you, for the Advisor to complete a review of your direct payment account. The review visit takes place approximately 12 weeks from your direct payment start date.
The direct payment review visit will determine whether your account can be progressed to annual audits or whether additional support is required.
Once your 12-week review is finalised, an audit of your account will be scheduled in 12 months.
We will arrange to visit you or ask you to send in your documentation such as:
- Paperwork
- Timesheets
- Bank statements
- Receipts.
It also gives us the chance to discuss how the scheme is working for you and help with any problems you may have.
Examples of annual audit paperwork
Below are some examples of the paperwork we may ask for during your annual audit, depending on the type of account and support you receive.
Private bank account and you employ your own staff
- Full bank statement for the direct payment account to show all transactions (incoming & outgoing) complete with a balance of the account
- Full payroll records – copies of wage slips, timesheets, holiday records, HMRC and pension records (Your payroll provider may be able to help with this)
- A copy of the Employers Liability insurance policy confirming the company name, premium paid, and the renewal date
- Confirmation that all employees hold a contract of employment. Copies of the signed contracts should be retained
- If applicable, DBS certificates for all employees. These are only valid if they were completed in the last 3 years
- Evidence that your expected client contribution is being made, where applicable.
Private bank account with agency support
- Full bank statement for the direct payment account to show all transactions (incoming & outgoing), complete with a balance of the account
- Invoices/receipts for any expenditure paid for via the direct payment account
- Copies of your budget statements (cheque records if applicable)
- Evidence that your expected client contribution is being made, where applicable.
Third party managed account and you employ your own staff
- Full payroll records – copies of wage slips, timesheets, holiday records, HMRC, and pension records (your payroll provider may be able to help with this)
- A copy of the Employers Liability insurance policy confirming the company name, premium paid, and the renewal date
- Confirmation that all employees hold a contract of employment. Copies of the signed contracts should be retained
- If applicable, DBS certificates for all employees. These are only valid if they were completed in the last 3 years
- Evidence that your expected client contribution is being made, where applicable.
Third party managed account with agency support
- Invoices/receipts for any expenditure paid for via the direct payment account
- Copies of your budget statements
- Evidence that your expected client contribution is being made, where applicable.
You will be asked to reimburse any funds that have been spent on items other than those detailed in your support plan, if we cannot evidence how these have met your agreed outcomes.
For further information regarding our audit process, or if you require additional support in relation to your audit, please contact the Direct Payment Duty Auditor Team on 01942 489566 or via our online contact form.