5. Auditing

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Contents:

  • General Principals of the Scheme
  • Head Office Administration
  • Supervisors
  • Project Management and Administration
  • Recruitment and Training
  • Appraisals
  • Validation

    • General Principles of the Scheme

    The minimum standards apply to all types of work a company undertakes.

    Companies must be working to these standards for at least 3 months prior to assessment or inspection.

    From the time the standards are adopted all recruitment, training, validation, appraisals and project management must be in accordance with these minimum standards. Standards do not need to be applied retrospectively.

    The onus is on the company to ensure that all individuals are adequately and appropriately trained for all the tasks they are asked to conduct.

    It is incumbent upon the company to ensure that standards are constantly maintained, irrespective of any changes in personnel.

    Head Office Administration

    If a company wishes to sub-contract any UK fieldwork, wherever possible this must be purchased from suppliers complying with these standards. Any non-compliance with this requirement must be documented. (See section 4.1)

    The Minimum Standards list the information that must be held about each auditor. (See section 4.21.1)

    Auditors must be issued with an instruction manual. This can be a stand-alone document or form part of a more extensive manual.(See sections 4.21.3 & 4.8)

    Supervisors

    Prior to a supervisor being appointed, they must be interviewed by a member of the company's staff (unless they are already known to appropriate personnel within the company). (See sections 4.21.4 & 4.9.1)

    Supervisors must be adequately and appropriately trained/experienced for all the tasks they undertake.(See sections 4.21.4 & 4.9.2)

    Supervisors must be issued with an instruction manual, covering the types of work and tasks they are to undertake.(See section 4.8)

    Supervisors must be appraised at least once in each calendar year.(See sections 4.21.4 & 4.9.3)

    The Minimum Standards list the information that must be held about each Supervisor.(See sections 4.21.4 & 4.9.4)

    Project Management & Administration

    Auditors and their supervisors must be adequately and appropriately briefed on every project they undertake.(See sections 4.21.5 & 4.10)

    The Minimum Standards list the information and documentation that must be held on each project.(See section 4.21.6)

    Recruitment & Training

    Prior to an auditor being appointed, they must be interviewed by a member of the company's staff (unless they are already known to appropriate personnel within the company).(See section 4.21.7 & 4.16.1)

    Auditors must be adequately and appropriately trained.(See section 4.21.8)

    The Supervisor or member of staff who trains auditors must be adequately and appropriately trained and experienced to do so.(See section 4.21.8)

    Training must be for a minimum of 6 hours, and details of the training given must be kept on file. (See section 4. 21.8)

    Auditors are to be accompanied as close to the start of their first assignment as possible, and for as long as it takes to establish that they are adequately trained to continue alone.(See sections 4.21.9 & 4.17.5)

    Appraisals

    Auditors working on 5 or more projects/stages/waves over a 12 month period must be appraised at least once per year, and a record of this kept. This appraisal can be on the telephone, in writing or face to face.(See sections 4.21.10 & 4.20.4)

    If problems or deficiencies are found on any work, appropriate feedback must be given and action taken before that individual's work is used. The problems and action taken must be documented. (See sections 4.21.10/4.20.4)

    Validation

    Every project must be validated, and this must be done in one of the following two ways:

    in each case looking for data appearing outside of the ranges deemed normal.(See section 4.21.11)
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