Regulations on internal quality control at the enterprise

2024 Author: Howard Calhoun | [email protected]. Last modified: 2023-12-17 10:16

Regulations on internal control should have every organization. What is this document for and what does it regulate? You will find answers to these and other questions in the article. The information is especially relevant for those who want to start their own business. Let's start with the concept.

Definition

Regulations on internal control is an internal document that establishes requirements for the quality of services provided or work performed.

The document is intended for the personnel of the enterprise and instructs employees to carry out activities in accordance with the norms.

The declared quality of services must be provided by the enterprise, whose management must take economic, technical and organizational measures to improve work efficiency.

Quality control should be carried out by the enterprise itself, allocating specialists or entire services for this purpose.

What regulates

Since any organization should have a provision on internal control, the regulatory frameworkeach document will have its own.

For example, for a medical institution, a document will be compiled with links to:

1. Federal Law of 2011 "On the fundamentals of protecting the he alth of citizens of the Russian Federation".
2. Government Decree of 2012 "On the Licensing of Medical Activities".
3. The Law of our country of 1992 "On the Protection of Consumer Rights".
4. Order of the Ministry of He alth of the country "On approval of the procedure for the creation and activities of the medical commission of a medical organization."
5. Government Decree of 2012 "On approval of the rules for the provision of paid medical services by medical organizations ".

But for a construction organization, the regulatory documents will be different:

1. Government Decree of 2010 "On the procedure for conducting construction control during the construction, overhaul or reconstruction of capital construction projects."
2. SNiP from 2002 "Safety in construction".
3. SNiP from 2001 "Bearing and enclosing structures".
4. RD of 2007 "Procedure for maintaining a general or special register of work performed during construction, overhaul or reconstruction of capital construction projects."

As you can see, the regulatory framework of the internal control provision will be different in each case.

Document Objectives

The content of this paragraph also differs depending onenterprise activities. Thus, the regulation on the internal control of an enterprise associated with construction work will differ from a medical institution. Here are examples of both positions.

Construction company

The regulation on the internal control of an enterprise related to construction activities has the following objectives:

1. Ensuring the compliance of the materials used and the work performed, structures and products with the requirements of the projects. In addition, compliance should be traced with SNiPs and other local documents, such as contracts for any type of construction and installation work.
2. Prevent violation of the requirements contained in the laws and regulations that regulate the technological side of the activity.
3. Ensure that the organization's operations are in line with the wishes of the customers.

Medical facility

Regulations on internal quality control in a medical facility aims to:

1. Ensuring civil rights, which are aimed at obtaining medical care in the right amount and quality.
2. Compliance of the services provided with the development of medical sciences and modern technologies.
3. Compliance of the services provided with the standards established by regulations and legislation.

Position tasks

The regulation on internal quality control has not only goals, but also tasks.

For a construction organization, the position determines that the quality of building materialsand the work that is performed must comply with the requirements specified in the regulation. The document also obliges to improve the quality of the performance of certain works. The regulation indicates that the organization is obliged to eliminate in time all the comments that were identified during the inspections by the competent authorities. This also includes inspection control.

With regard to the provision on internal quality control of medical activities, the objectives of this document are:

1. Monitoring the quality of medical services provided to a specific patient.
2. Identification of violations in the provision of medical care, finding their causes and eliminating the latter.
3. Recording the results of internal control in a medical organization.
4. Assessing the qualifications of employees and the compliance of equipment with modern requirements.
5. Analysis of information obtained after observing how medical services are provided.
6. Searching for opportunities to correct comments or irregularities in the provision of medical care.

Financial control in institutions

The regulation on internal financial control in an institution is aimed at regulating the issue of compliance with the law in financial activities. It is also focused on improving the quality of accounting work, budget tracking and internal planning operations.

The regulation on internal financial control in an institution ensures the completeness and reliability of the reflection of economic life in reporting and accountinginstitutions. It also establishes the compliance of financial and economic operations with the requirements of local regulations, the powers of employees and regulations. This also includes the obligation to prepare financial statements on time, the prevention of distortions and errors, the prohibition of financial irregularities during the activities of the organization and the preservation of the property of the institution.

The objects of the provision on internal control in a bank or any other financial organization are planning documentation, internal acts of the organization, agreements and contracts for the provision of services, accounting registers and supporting documents, facts of economic activity that are reflected in accounting documents.

Who is in control

The regulation on internal financial control or quality control obliges a certain employee to carry out control activities. To do this, the head of the organization issues an order that indicates the position of the person, his initials and surname.

Internal quality control cannot be carried out by the Responsible, who himself performs this or that activity in the organization directly related to control.

As for financial control, they can be engaged in:

1. Leaders of any level.
2. Employees of the organization.
3. Control Commission.
4. Other persons.

If the control is carried out by the commission, then it is approved, firstly, by this regulation, and secondly, by the order of the head of the organization. The commission must include:

1. Commission Chairman.
2. Commission members.

In some cases, external experts may be involved in quality control in organizations. This moment is specified in the Regulations on both internal financial control and quality control.

What is included in internal control

Regulations on internal municipal control or control of medical activities define the following procedures:

1. Documentation. All papers are issued only in the presence of primary documents and on the basis of calculations.
2. Confirmation of compliance of documents with the requirements specified in the regulation.
3. Preventive measures are being taken for medical institutions.
4. Reconciliation of settlements with buyers and suppliers.
5. For medical institutions medical examination and examination.
6. Delimitation of powers and responsibilities.
7. Medical organizations collect complaints and anamnesis.
8. Supervise over the correctness of transactions and accounting operations.
9. Diagnosis and treatment.

Again we see that each position has its own set of required procedures.

Quality Criteria Description

Regulations on the internal control of medical activities regulates the moment related to the criteria for the quality of medical services. They look like this:

1. Criteria for the timeliness of assistance. It is considered how timely each patient was helped.
2. Volume criterionassistance provided. It checks how complete the care was in relation to the patient's requirements.
3. Criterion of succession. This means that medical professionals must refer the patient to the right department or specialist, who will eventually provide assistance.
4. Technology compliance criterion. He althcare workers need to use technology in their care, and do it right.
5. Security criterion. He alth care providers must choose the right procedures for each patient. And also to store and use medicines correctly.
6. Efficiency criterion. How much medical workers helped a particular patient.

The results of all inspections must be recorded in the quality control logs, which must be maintained by each person responsible for conducting the control.

Rights and obligations of subjects

According to the Regulations on internal control of a budgetary institution, control can be carried out by both an appointed person and a commission. Consider what the latter can and cannot do.

The chairman of the commission, before carrying out control, must draw up a work plan and instruct the members of the commission. And he is also obliged to organize a study of the regulatory framework and legislation of our country and familiarize the members of the commission with the results of previous inspections.

The duties of the Chairman are as follows:

1. Prepare to conduct control in the institution according to a previously drawn up plan.
2. Define the methods and methods of control.
3. Supervise the members of the commission during control, distribute tasks between them.
4. Save any documents that are involved in the control check.
5. Observe confidentiality and professional ethics.

As for the rights, they are as follows:

1. Inspect any premises and buildings that the inspected object occupies. This must take into account the restrictions established by law.
2. Regulations on the internal control system require the chairman to issue instructions to officials regarding the provision of documents necessary for verification.
3. Receive written explanations from persons working in the institution on issues that arise during the audit. As well as copies of documents that relate to business and financial transactions within the organization.
4. Involve employees of the institution in verification or internal investigations. This can be done only after agreement with the head of the organization.
5. Offer to eliminate deficiencies and violations identified during the audit.

Commission members also have their own rights and obligations. The latter are as follows:

1. The internal control regulation of the institution obliges the members of the commission to be principled, respect confidentiality and professional ethics.
2. Inspect according to plan.
3. Report to the chairman of the commission about the observed violations and shortcomings.
4. Savedocumentation and other materials that were used during the review.

The rights are as follows:

1. Inspect any premises and buildings belonging to the institution being inspected, except those regulated by the law on state secrets.
2. Submit a petition to the Chairman to have some documents available for review.

The leadership of the organization and the persons subjected to verification should assist during the verification check, provide any documents at the first request of the chairman, if they are needed. And also answer all questions in writing or orally, when they arise.

Responsibility for violations

According to the Regulations on internal financial municipal control, the objects of control are responsible for documenting, developing, monitoring, implementing and developing internal control in the organization.

If shortcomings and those responsible for them were identified, then the latter are liable in accordance with the Labor Code of our country.

Appeals from citizens

The regulation on internal quality control of a medical organization also reflects the procedure for considering applications from citizens.

Appeals can be both in writing and orally. Citizens have the right to complain, write applications, make suggestions on the organizational issues of the medical institution, as well as on the quality of care.

The organization musttake into account each appeal, consider them, take action on the appeal, prepare responses and send them to applicants. This also includes the analysis of a particular appeal and the development of ways to eliminate the causes that caused the complaint or statement.

Office work on appeals is conducted separately from other cases. A person from the staff is selected responsible for this direction. He is appointed by the head of the organization by order.

Each case includes a petition, a written order or request for review, case materials and a copy of the response that was sent to the applicant.

The sample regulation on internal control does not indicate the time period for considering applications, each institution sets its own response period.

In order to take into account appeals, the organization starts a register. Appeals that are made in writing or sent by e-mail get there. The head of the organization is responsible for the correct filling of the accounting journal and its maintenance.

1. The following data must be recorded in the accounting journal: first name, last name, patronymic of the applicant.
2. Ordinal number of the appeal.
3. Applicant's place of residence.
4. Date of receipt of the appeal.
5. Name of the organization that sent the appeal.
6. Number and date of registration of the appeal.
7. Base of appeal.
8. Information about the employee who is reviewing the application.
9. Result of consideration.
10. Number and date of registration of the response to the appeal.

It is important to know thatanonymous requests will not be considered. The decision on who will consider this or that appeal is made by the head of the organization. He issues an instruction or order within three days from the date of registration of the appeal.

It is forbidden to direct citizens' complaints to the employee who is directly affected by this complaint.

The employee who is assigned to conduct a verification of the fact of the appeal must approach this issue objectively. The appeal must be considered from all sides and at the appointed time. The employee can invite the applicant for a conversation, ask the latter for additional information, and also receive written explanations from the employees of the organization.

When civil applications are considered, the rights of third parties, which are established by the law of our country, must be respected. If the appeal is filed against third parties, and the latter are against its consideration, then the manager decides not to consider the appeal and notifies the applicant about this.

If a written request contains a question or a claim that does not fall within the competence of this organization, the paper is sent to the appropriate authority with a cover letter.

It happens that the applicant has already applied to the organization and his application has been considered. If the situation repeats and there are no grounds for re-consideration, then the head has the right not to consider the appeal and notify the applicant about this.

An organization must respond to the appeal within thirty days from the date of registration. You must answer in writing on the form.outgoing mail. To avoid difficulties, a sample is provided in the Regulation on the internal control of the enterprise.

If, after consideration of the appeal, evidence was found that violations were taking place, then the perpetrators face punishment in accordance with job descriptions and the Labor Code.

Oral appeals are considered in the organization at a personal reception. Such a reception should be carried out at least once every seven days. Hours, days and place of personal reception are set by the head of the organization.

When a personal appeal does not need to be checked additionally, the answer to it can be given immediately at the time of reception.

If the applicant does not agree with the results of the consideration, then he can apply to the court or a higher organization.

Citizens survey

In medical institutions, patient surveys are often conducted. This is done in order to identify shortcomings or irregularities in the work of the organization and improve the quality of services provided.

This procedure is carried out once a quarter by filling out anonymous questionnaires. The results of the survey are freely available.

Based on the results of the survey, the head of the organization decides on the need for some changes in the provision of services or technical equipment.

Conclusion

As you can see, the set of moments that are reflected in the position is different in each organization. What is necessary for the operation of a financial institution does not matter for a medical institution and vice versa. Anywaythe provision is designed to improve the quality of services provided and the emphasis is on this. This is especially important in medical organizations, because the higher the qualifications of employees and technical equipment, the more likely it is to correctly diagnose and prescribe adequate treatment. And it is right that the heads of medical institutions respond to the requests of citizens and go forward in any matters.

As for financial institutions, the Regulations on internal control are also needed here. Since the activity is primarily related to money, then the employees of the organization simply cannot make mistakes, which means that the perpetrators must be punished. It is especially important to comply with all regulations for banks, because it is there that ordinary people carry their savings, often the last ones.

Construction companies also cannot ignore the low quality of their services. They rebuild buildings in which there are people, which means that if low-quality materials or the wrong technology are used, a disaster will occur - the house will collapse and it is possible that there will be human casu alties.

Comparing the three organizations, we understand that this internal document simply cannot be missing. Too much is tied to it and depends on it. Thanks to him, control checks are carried out, which help to eliminate shortcomings and violations, and this is also good. The main thing is that the audit is carried out by fair and honest people who will not put personal interests above the requirements prescribed by the Regulation on Internal Quality Control.