AUDIT REFERRALS

Certification and audit readiness

Keep preparation assistance separate from independent auditing

Certification and mid term audits

Certification and mid term audit enquiries can involve more complex service requirements, multiple sites and different evidence needs. Tell us whether you are applying, renewing or  responding to an identified audit requirement. Include the general scope, number of operating sites and relevant target dates. A proposed auditor should confirm the applicable audit type, sampling approach and timing before you accept a quote.

Ask the auditor how it will communicate findings, whether additional visits may be required and which activities are included in the fee. Audit preparation should reflect real service delivery and genuine records. A referral is not a promise that every nonconformity can be closed by a deadline or that registration will be maintained. Any advice about regulatory notices or adverse decisions should be obtained from an appropriately qualified professional within their scope.

Preparation consulting

Some providers seek a consultant to review their readiness before an external audit. A preparation engagement may involve explaining evidence requirements, reviewing procedures, identifying gaps or helping management organise an improvement plan. The consultant should explain exactly what it will do and which tasks remain with your organisation. Preparation support is separate from an approved registration audit.

Ask about the consultant’s relevant experience, deliverables, fees and professional boundaries. A folder of policies is not evidence that the business follows those policies in practice. Staff  should understand the procedures and records should accurately reflect services delivered. If a consultant has a relationship with an auditor, ask how independence is protected. Capital Referral Network will not describe a preparation consultant as an approved quality auditor /unless that precise status has been verified for the receiving entity.

Enquire about a professional contact

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