Wednesday, November 19, 2008
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AUDIT

17.1

What Are Auditors Likely To Be Looking For?
17.1.1 Auditors are likely to make the following checks:
a. has the survey been carried out, in terms of its timing, using the approach recommended on this Manual, in so far as is practicable?
b. has the survey been carried out, in terms of the number of transects surveyed overall and by land use, using the approach recommended on this Manual, in so far as is practicable?
c. has the survey been carried out, in terms of the numbers of sites surveyed in target wards, using the approach recommended on this Manual, in so far as is practicable?
d. has the survey been carried out, in terms of survey procedures, using the system recommended on this Manual, in so far as is practicable?
e. what is the level of the surveyors’ experience and how much training and support have they received?
f. have adequate records been maintained and have surveys been signed off by the responsible manager?
g. have the results of the NI 195 Survey been returned to Government in the appropriate form, and at the appropriate time?
h. what arrangements have been made for the security of and access to the password that gives access to the Defra online database?

17.2

Records To Be Made Available For External Audit
17.2.1 A transparent audit trail, available for authorised inspection, should contain the following elements.
  • A master file containing details of all surveyors
  • Details for each surveyor should include:
    • name;
    • current job description; AND,
    • up-to-date training log.
  • A master file for each four-monthly survey.
17.2.2 Paper Files of NI 195 Survey Forms
Where the NI 195 Survey has been carried out using paper survey forms, A file should be kept for each four-monthly survey which contains all completed survey forms.
17.2.3 Every survey form should identify the location of the transect surveyed. Where there are no street names or lampposts, or other physical means of identifying transect locations, transects should be located by grid reference.
17.2.4 It is not necessary to have taken a photo of each transect surveyed.
17.2.5 NI 195 Surveys Using Hand Held Computers
Where the NI 195 survey has been carried out using hand-held computers, relevant computer files held by the online database should be made available to auditors.
17.2.6 Authorities will be able to download copies of survey files uploaded to the database, and also copies of the survey analyses and reports generated by the database for four-monthly and annual NI 195 surveys.
17.2.7 Summary Files
Whether the NI 195 Survey has been carried out using paper forms or hand-held computers, a paper file should be created for each financial year (1st April to 31st March) that contains summary tables of the numbers of sites surveyed by land-use, and a copy of the tables and graphs compiled by the online database, for each four-monthly NI 195 survey and for the overall annual NI 195 survey.
17.2.8 Each file must be signed off (‘certified’) by the responsible manager as being a ‘representative’ survey.

17.3

Retention of Survey Files
17.3.1 All NI 195 survey files should be retained and made available for authorised audit for a minimum of five years.

17.4

Training and Skills Development
17.4.1 The purpose of this Manual/Website is to provide a distance-learning facility for local authorities. Local authorities are strongly urged to make maximum use of this facility.
17.4.2 Regular opportunities should be created for NI 195 surveyors, together with their responsible manager, to compare and review their grading assessments, to maximise consistency. This might take the form of an ‘awayday’ for all the staff involved in planning and carrying out NI 195 surveys.
17.4.3 Authorities may wish to carry out such reviews jointly with a neighbouring authority or authorities. Authorities engaged in the Capital Standards project in London may wish to work with other London Boroughs. Outside London, authorities may have the option of working with an independent organisation such as ENCAMS.
17.4.4 Such exercises might be extended to include an element of external scrutiny/review of an authority’s grading assessments by neighbouring authorities or other appropriate organisations, acting as ‘critical friends’.
17.4.5 In accordance with the Government’s general approach to Local Area agreements an element of independent scrutiny, along the lines described above, should be built in to NI 195 survey procedures. This should help to improve the reliability of the NI 195 survey results.
17.4.6 Where appropriate, responsible managers and surveyors should be offered the opportunity to take advantage of external opportunities for formal learning and skills development. Such opportunities may be identified by reference to the website www.localenvironmentskills.org.

17.5

Responsibilities Of Managers
17.5.1 Managers and surveyors should be aware that the survey information generated for NI 195 may be used in the context of Local Area Agreements, and will be subject to scrutiny by partner organisations and by their local communities. It is very important that they make their best efforts to ensure the accuracy and consistency of the NI 195 survey grading assessments.
17.5.2 Managers should ensure that they are familiar with both the NI 195 survey planning process and the survey procedures. They are responsible for ensuring that, so far as is possible, wards, land-uses and transects are correctly sampled and surveyed, and that accurate results are returned.
17.5.3 Managers should check the evolving sample of transects surveyed within a four-month period, as the survey progresses; and judge whether they form a reasonable cross-section of the land-uses / district, adjusting the sample if necessary.
17.5.4 The responsible manager should certify that each four-monthly survey contains, as far as is practicable, a representative set of sites and assessments across the authority, for each land-use surveyed; across the days of the week; and throughout the working day.
17.5.5 Managers should check regularly that surveyors:
  • are making consistent grading assessments; and,
  • are consistent in the way that they are selecting transects.
  • a record of these periodic checks should be maintained.
17.5.6 Managers should undertake regular reviews at least on an annual basis, of the levels of experience, expertise and training of their NI 195 surveyors.

17.6

Auditing Of BVPI 199 Surveys
17.6.1 The BVPI 199 Guidance Manual and website will continue to be accessible for reference purposes until April 2009. It will be removed at a subsequent date (to be determined).