Pre-audit forms and templates

DAAs may use the attached pre-audit templates prior to conducting an audit of a certified provider.

Document review reporting template

The document review report template can be used (or adapted) to assist auditors in preparing for a certification audit and should reduce the need to review policies and procedures while on site.  Once completed, the DAA should send the report to the provider at least 20 working days prior to the scheduled on-site audit.  This allows the provider to respond to the report prior to the on-site audit.

The template can be accessed here: Document review report (docx, 87 KB)

Safe and appropriate environment checklist

DAAs should encourage providers to complete a safe and appropriate environment checklist as part of their preparation for a certification audit.  This template should be given to providers at least 20 working days prior to an audit.  Auditors should request a copy of the completed checklist and refer to it when completing the on-site audit.

The template can be accessed here: Safe and appropriate environment checklist (docx, 64 KB)

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