Robertson Inverness Justice Centre 01

Compliance support

Providing important independent assurance

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Ensuring compliance

The audit team provide important and independent assurance for our clients.

Our framework agreements require delivery partners to undertake an array of defined activities and obligations in relation to the projects they deliver.

On your behalf, we will conduct onsite inspections to validate documentation, systems and information, to establish if compliance is being achieved.

These compliance and performance audits provide both you and the framework management team with the assurance that all obligations are being met, and that each project fully complies with the framework agreement. Any areas for improvement or non-compliance are then monitored, with action plans put in place where required.

Our audit process

01 Pre-audit

Prior to the audit, our project trackers are reviewed, with a random selection of projects taken to audit. Key project documentation will be assessed to confirm this has been completed in accordance with the framework agreement, and to identify potential discussion points.

The audit schedule will then be populated to record the evidence seen and highlight areas to discuss:

  • Select projects for review
  • Review project evidence
  • Highlight any areas for review
  • Prepare audit schedule

02 Onsite audit

The onsite audit is an opportunity to discuss the projects selected for review. Discussions will focus on evidence to support the key stages of the project, as well as determining your level of involvement.

We will challenge project arrangements to determine if compliance has been achieved. Best practice examples are discussed, including providing support to the partner to suggest different approaches to implement on challenging projects.

An audit schedule is used to focus the assessment on the key framework requirements to ensure all contractor actions are covered.

  • Discuss projects
  • Determine compliance
  • Obtain evidence to review
  • Confirm framework requirements

03 Closing an audit

Following the completion of an audit, evidence to support compliance will be assessed. A report is produced, summarising the findings and to give an overall rating of compliance with the framework.

This is shared with the partner and Framework Manager to highlight best practice and to agree a collaborative way forward to implement any actions raised.

  • Review and write up audit findings
  • Issue audit report
  • Extract non-compliance findings
  • Monitor for implementation
  • Share best practice
  • How we support you

Get your project started

We are ready to give you the advice you need to make your project a success. Our audit team is on hand to provide the following:

  • Forensic project monitoring
  • Compliance assurance
  • Best practice assurance
  • Detailed audit reports
Cta audit team