https://www.slab.org.uk/advice-agencies/scottish-national-standards-for-information-and-advice-partners/what-to-expect-from-audit/
https://www.slab.org.uk/advice-agencies/scottish-national-standards-for-information-and-advice-partners/what-to-expect-from-audit/
The following presentation has been prepared by the SNSIAP audit function to provide you with a general overview of what to expect from the audit process.
It is recommended that you watch this prior to completing your Self Assessment and Application Form.
The following guidance slides (1.1 – 6.3) have been prepared to provide further information on the evidence that the audit function are looking for agencies to provide, to verify that they meet the individual requirements of the Organisational Standards.
These should be viewed in partnership with the relevant Self Assessment and Application form and guidance documentation, available in the following sections:
1. General Management Standards |
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1.1 |
1.2 |
1.3 |
1.4 |
1.5 |
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2. Standards for Planning |
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2.1 |
2.2 |
2.3 |
2.4 |
2.5 |
2.6 |
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3. Standards of Accessibility and Customer Care |
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3.1 |
3.2 |
3.3 |
3.4 |
3.5 |
3.6 |
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3.7 |
3.8 |
3.9 |
3.10 |
3.11 |
3.12 |
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4. Standards for Providing the Service |
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4.1 |
4.2 |
4.3 |
4.4 |
4.5 |
4.6 |
4.7 |
5. Standards Around Competence |
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5.1 |
5.2 |
5.3 |
5.4 |
5.5 |
5.6 |
5.7 |
6. Resourcing Standards |
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6.1 |
6.2 |
6.3 |
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The auditor will take a supportive approach to help advice providers demonstrate compliance with the Standards. They do not set out to find fault when they perform an audit, but instead aim to confirm that an agency is meeting or exceeding the requirements of the Standards.
Auditors will take into account what they have been told about the remit and structure the advice service to help gauge whether evidence is appropriate and proportionate. They may request additional supporting audit documents to be completed if required.
Where ‘gaps’ are identified in the process i.e. the procedure document is not being followed or the agency has not identified that there should be a policy or procedure in place, the auditor will work with the agency to find cost effective ways of addressing those issues.
The audits will follow a structured approach, which follows professional audit standards designed to keep the advice provider informed of what they plan to do, what they have done and what they find.
The auditor will examine records and files, looking for confirmation that a framework is in place to support accreditation and that systems are operating in accordance with the Standards. The auditor will, normally within two weeks of completion of their review, issue a draft audit report.
The advice provider will be asked to provide (if required) a written response to the points, setting out the actions that they will be taking, the person who will be responsible for the action and a date by which the action will be completed. The auditor will be happy to discuss the report and responses provided.
The audits will be carried out in line with the Public Sector Internal Audit Standards (applying the IIA International Standards to the UK Public Sector).
At this time the Application process for peer review, audit and accreditation is free of charge.