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Principles
The sequence of quality review checks provides a structured approach to confirm the quality of a draft report before its approval.
As part of [link title="supervision%20and%20review" link="%2Faware%2FGAP%2FPages%2FSupervision-review.aspx" /]
, the head of task, principal manager and director make checks on quality throughout a task, including of the draft reports.
Under the responsibility of an AQCC member, DQC staff carry out [link title="independent%20quality%20review%20" link="%2Faware%2FGAP%2FPages%2FIndependent-quality-review.aspx" /]
checks of the draft report both before and after the [link title="adversarial%20procedure" link="%2Faware%2FPA%2FPages%2FReporting%2FAdversarial-procedure.aspx" /]
or [link title="final%20consultation" link="%2Faware%2Freview%2FPages%2FFinal-consultation.aspx" /]
.
The head of task is responsible for uploading documents into Assyst and ensuring the completeness of the record of quality review.
Instructions
Head of task
The heads of task demonstrate that all relevant issues have been considered and addressed, and document their supervision and review of the work of the audit team members. The head of task uploads the checklist to the record of quality review.
Principal manager
The principal managers confirm the quality of the draft report and of key documents, and document their supervision and review of the team and the work done. The head of task uploads the checklist to the record of quality review.
Confirmation of the pre-CH version
When satisfied with the quality of a document the director informs the reporting member that work on a draft report or opinion is completed by sending an email to the reporting member. The head of task uploads a copy of this email to the record of quality review.
Once the reporting member is satisfied with the draft report, they send it to the AQCC member, copying in the DQC. This becomes the ‘pre-CH’ version of the draft report, on which the [link title="independent%20quality%20review" link="%2Faware%2FGAP%2FPages%2FIndependent-quality-review.aspx" /]
(IQR) is made.
It is good practice to give this version of the report a filename that identifies it as the pre-CH version for IQR, and to track any changes made subsequently.
Independent quality review
The pre-CH version of the draft report is subject to independent quality review. DQC checks are recorded in the DQC IQR checklist. This is the basis for the AQCC member’s review note and comments, sent to the reporting member within five working days. It is good practice for the reporting member/audit team to refer back to AQCC member’s office and the DQC if considered helpful to explain, expand upon and discuss the points made in the review note.
Finalising the draft report for discussion
The reporting member considers the points raised in the IQR note and provides a reply to the AQCC member, enclosing a copy of the revised report showing changes made. The head of task uploads all AQCC IQR notes and the reporting member’s replies, including a tracked version of the changes made in response to the AQCC comments to the record of quality review. Once the reporting member is satisfied with the draft report, they issue the CH version for consideration by the chamber.
The director signs the electronic signature page for the quality of the draft report, and to confirm supervision and review have operated as intended. The reporting member signs the electronic signature page for the quality of the draft report. The head of task uploads the signed CH document to the record of quality review.
IQR on the CH document
The DQC reviews the CH document and provides input to the AQCC member, who addresses a final IQR note to the reporting member (copied to the other members of the chamber) before the chamber meeting. The IQR note includes the record of quality review as an annex.
Further readings of the CH
If the draft report is issued again for a further reading, then the AQCC member addresses a new note to the reporting member, copied to the other members of the chamber. The head of task updates the record of quality review.
IQR on the CH APC/AFC version
After the adversarial procedure or final consultation, the director signs the electronic signature page to confirm the quality of the APC/AFC report, and that supervision and review have operated as intended. The reporting member signs the electronic signature page for the quality of the APC/AFC report. The head of task uploads the signed CH document to the record of quality review for the APC/AFC document.
The independent quality review is carried out on the [link title="APC%2FAFC%20document" link="%2Faware%2FPA%2FPages%2FReporting%2FApproval-publication-discharge.aspx%23After-the-adversarial-procedure" /]
circulated for the chamber reading. DQC checks provide the basis for the AQCC member’s review note, sent to the reporting member, and copied to the other members of the chamber, before the chamber meeting. The head of task uploads the second review note and reply to the comments to the record of quality review for the APC/AFC report.
Involvement of other parts of the ECA
The legal service can be consulted for advice on, for example:
The data protection officer shall be consulted concerning the disclosure of personal data.
The ECA publications team can advise on issues such as [link title="copyright" link="%2Faware%2FGAP%2FPages%2FCopyright.aspx" /]
.
The English language service can be asked to [link title="assist%20with%20drafting" link="%2Faware%2FGAP%2FPages%2FReport-drafting.aspx" /]
, or to proofread the draft.
The termbase team should be consulted on the [link title="glossary" link="%2Faware%2FGAP%2FPages%2FGlossary.aspx" /]
, if not already done during drafting, or if terms have been added since first consulting them.
Resources
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Reviews
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[link new-window title="Art%2077-78%20ECA-IR" link="https%3A%2F%2Fwww.eca.europa.eu%2FLists%2FECADocuments%2FIMPLEMENTING_RULES_2021%2FIMPLEMENTING_RULES_2021_EN.pdf%23page%3D32" /]
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