Audit info

Aim

The aim of a project audit is to provide information to the executing researcher and his/her project leader about what is going well and where improvements are needed.  A project audit is a dialogue between the researcher, project leader and two so-called auditors (one member of the KC and one junior/senior researcher from the institute ).  The researcher is asked to complete a self-evaluation prior to the audit. A question and answer session is held on the basis of the self-evaluation and audit questions from the guidelines contained in the quality handbook. A report is made for each audit, which is signed by the researcher and project leader. A copy of the report is sent to the relevant professor. Below you find the audit process.

 

Project selection
Per year, several projects within the EMGO+ Institute are selected to undertake an audit. The members of the Quality Committee inform the project leader and executing researcher about the audit and they will arrange to meet the researchers at least 3 weeks in advance.

 

Preparing the audit meeting
  • The researcher will be sent a message including:
      • Confirmation of the meeting;
      • Estimated length of meeting;
      • Who the auditors are;
      • Request to complete the self-evaluation;
      • Request to send the following in preparation of the audit: The completed self-evaluation, research protocol or project description and any (draft) articles relevant to the audit;
      • Any point(s) the auditee wishes the auditors to focus on in particular.
The Quality Officer or co-ordinating KC member will send the documents associated with the project.

 

The audit meeting
Opening
The auditors will introduce themselves and explain the purpose of the audit. The researchers will be invited to tell about the progress of their research, the planning, potential highlights and/or problems.

 

Discussion
The discussion will be guided by the self-evaluation filled in by the executing researcher. The auditors will ask questions about the topics in more detail. Some aspects might not be relevant to discuss, because of the status of your research. They will also ask to look into your folder structure on the network, filenames, syntax(es), logbook, etc.

 

Supervision
After the discussion, the executing researcher and project leader will talk separately with the auditors, to discuss their collaboration.

 

Conclusion
At the end of the audit meeting, the auditors will conclude on strong and weak points of the research. They will offer as much assistance as possible in order to improve the completion of the project. The auditors will discuss any potential actions that may need to be taken following the audit findings.

 

Report
After the audit meeting, the auditors will draw up a draft report and a timeline for any potential recommendations. The draft will be sent to the researchers for comments. The researchers are also asked when they are intended to undertake actions as a result of the recommendations. After processing the comments of the researchers, the draft report will be discussed in the meeting of the Quality Committee. Any comments as a result of this meeting will be presented to the researchers. Afterwards, the project leader is asked to sign the report.

 

Follow-up
If actions have been planned following an audit, a follow-up may be undertaken to review whether the actions have been effective. The Quality Officer will contact the researcher and project leader a number of months after the audit has been concluded in order to evaluate the audit and particularly the recommendations made.

 

V2.0: 8 July 2015: Revision format
V1.2: 1 Jan 2010: English translation
V1.1:  16 Aug 2005: Procedures adjusted based on the new procedures with self-evaluation by the researcher, dealing with third parties