10 ASSOCIATIONS
Responsibilities of a Compliance Auditor
By
Rory Macnamara
As a publication serving this industry , we hear lots of stories and comments about aspects of the industry . Some we can tackle directly and others we need to approach with sensitivity . One of these is the question of Compliance Auditors ( CA ) and the negative view of them and their role amongst some plumbers .
Plumbing Africa , not wishing to reinvent the wheel , obtained a copy of the contract incorporating the Code of Ethics and Practice between IOPSA and the CA which should provide plumbers with comfort in that the CA is governed by some strict rules , and should one have a concern , there is a process to lodge one ’ s concern .
From the outset it is important to appreciate that PIRB ’ s role is to register plumbers and inspect installations . As a professional body they are responsible to provide on-going education opportunities for plumbers to gain CPD points . This extends to IOPSA and indeed , Plumbing Africa , but in conjunction with PIRB .
PIRB is empowered to outsource the function of auditing ( previously known as inspections ) and this has been outsourced to IOPSA . As with any new initiative , one must allow for development and the element of clear identification of CAs and their vehicles is ongoing .
We have extracted portions of the contract so nothing is lost in translation , but will offer a clearer picture of a CA ’ s responsibility to the plumber and the consumer :
Preamble The PIRB COC was set out to monitor the workmanship of plumbing work and materials used to the levels required in mandatory South African National Standards and the other laws and regulations that apply to plumbing work . The latter is to be achieved through a system of self-certification through the issuing of a PIRB Certificate of Compliance by licenced plumbers , to the effect that the workmanship and materials used comply with the required standards . Further , the licenced plumber will log the issued certificate within the prescribed time on the PIRB database which would render it subject to random selection for compliance auditing by appointed PIRB Compliance Auditors , in accordance with the policy and procedures of the PIRB .
The Compliance Auditor : 4.1 Role : i . CAs are Representatives of IOPSA and its tenets policies , aims and standards . ii . CAs are to adhere to the Facts pertaining to the Audit in Question ; opinions , and hearsay to be excluded from any , and all written and verbal communications . iii . Conduct on-site compliance audits strictly in accordance with the IOPSA Audit Policy and Procedures as well as the contents of this Document , along with any Signed notices / annexures . iv . Achieve and maintain good knowledge of standards and regulations and by-laws . v . A large portion of the Compliance Auditor function is to mentor and assist those in need . It is however not for the Compliance auditor to provide the solution , but rather to guide , mentor and refer to standards and encourage self-study or Continuous Development ( CPD ) Courses to improve knowledge . vi . Explain to the licenced plumber how to follow the procedures of the Audit system , record keeping of COCs and photographs , refix procedures , complaints , and appeal procedures . vii . Make clear comments on all non-compliances and refixes required . General confidential comments to the IOPSA Audit Office regarding special problems concerning the licenced plumber , or the plumbing work if deemed necessary . An example : recommending that
www . plumbingafrica . co . za @ plumbingonline @ plumbingonline @ PlumbingAfricaOnline November 2020 Volume 26 I Number 09