Quality Assurance System

The Quality Assurance System describes the methodology and procedures by which the
consulting firm ensures consultant produced design products are verified, independently checked
and reviewed. Actions are taken to modify the elements in the process as necessary to better
conform to firm’s mission and goals. The Quality Assurance System will document the checking
and review process and produce an authentic record to show that the Consultant’s Quality
Assurance Plan was adhered to during the undertaking. DOCS equally has a strong commitment
to pursuing quality in its own services.

a. Policies and Procedures

DOCS has established and maintains a system of quality control designed to

provide reasonable assurance that the firm and its people comply with professional
standards and applicable legal and regulatory requirements. This includes a Quality
Assurance System that documents and communicates policies and procedures to DOCS’s
personnel. The system/manual addresses each of the following elements:
1. Leadership responsibilities for quality within the firm.
2. Ethical requirements.
3. Acceptance and continuance of client relationships and specific engagements.
4. Human resources.
5. Engagement performance.
6.Monitoring.

DOCS Consulting Firm follows the mandatory requirements of the professional

standard of Code of Ethics for Professional Accountants. DOCS complies with the
following fundamental principles:

● Integrity – to be straightforward and honest in all professional and business

relationships.
● Objectivity – to not allow bias, conflict of interest or undue influence of others to
override professional or business judgments.
● Professional competence and due care– to maintain professional knowledge and
skill at the level required to ensure that a client or employer receives competent
Professional Services based on current developments in practice, legislation and
 techniques and act diligently and in accordance with applicable technical and
professional standards.
● Confidentiality– to respect the confidentiality of information acquired as a result
of professional and business relationships and, therefore, not disclose any such
information to third parties without proper and specific authority, unless there is a
legal or professional right or duty to disclose, nor use the information for the
personal advantage of the Member or third parties.
● Professional behaviour– to comply with relevant laws and regulations and avoid
any action that discredits the profession.

b. Records/Documentation

DOCS documents each element of its system of quality control. The extent of the
documentation is dependent on the size, structure, and nature of the firm’s practice. The
firm uses QA checklists for its policies and procedures for simple projects and practice
manuals for extensive projects. DOCS documentation also ensures the firms’ policies and
processes are visible and accessible to staff, providing guidance and instilling discipline
in organizational practices.
DOCS formalizes its quality control policies and procedures as well as ensuring
ongoing development and maintenance. DOCS describes the policies and procedures
comprising the quality control system. The firm determines the procedures and level of
documentation required to ensure that the quality control system is effective.

The Quality Assurance System/Manual, policies and procedures are maintained

by the Practice Director who ensures that the appropriate and up to date items are issued
to all associates who need them. The distribution of the documents is recorded on
Associate records, which are reviewed and updated as changes occur. Up to date
documents are held in DOCS data files on computer systems for ease of access and
manipulation and is backed up on a monthly basis. Storage facilities are allocated which
ensure that all stored records are identifiable and retrievable. Each programme has a file
which contains all relevant information.

DOCS retains its documentation for a period of time sufficient to permit those
performing monitoring procedures to evaluate the firm’s compliance with its system of
quality control.
c. Quality Assurance Review

A review of the suitability and effectiveness of the Quality System takes place
where actions are recorded to develop DOCS's management and QA systems. The
Quality Assurance Team will:

• Ensure all documents are complete.

• Ensure planned concept complies with project scope, project commitments,
budget, etc.
• Ensure the project scope complies with all criteria.
• Ensure project critical requirements / issues have been addressed.
• Review documents for conformance with current firm's policies and procedures.
• Review plans and details for maintenance and long-term continuity issues.
• Ensure project have been reviewed, checked and corrected.
• Perform/request independent analysis of specific project elements as
appropriate.
• Prepare and report feedback to the firm’s Project Manager.