9.2 – Audit of Controlled Procedures

9.2.1 Purpose

To determine compliance to controlled procedures and determine realised risks.

9.2.2 Scope

All controlled procedures comprising and referenced in the Business Management System.

9.2.3 Responsibilities

Chief Moderator – Process Owner

Auditor – Delegated by the Chief Moderator

Process Owners – Support Auditor as required and own output from the audit of their process

All Employees – Support Auditor as required

9.2.4 Documentation and Forms

Audit Plan

Audit Report

9.2.5 Procedure

The Chief Moderator is required to:-

    • Prepare and execute a yearly sample audit plan for all controlled procedures comprising and referenced in the Business Management System.
    • Designate the auditors for each procedure’s planned audit in the audit plan,
    • Ensure the sample audits are conducted on time, in accordance with the Audit Plan.
    • Ensure any non-conformances identified are communicated to the relevant process owner and entered into the ‘Risk Register’.
    • Ensure any opportunities for improvement are communicated to the Process Owner.
    • Ensure any realised or unrealised risks identified during the audit are entered onto the risk register.

 

The Auditor is Required to:-

    • Conduct the sample audit designated to them within the time scale indicated in the Audit Plan.
    • Identify any occurrences where the procedure is not followed as ‘non-conformances’. Communicate these to the Process Owner and General Manager, then enter them onto the ‘Risk Register’.
    • Identify any Opportunities for Improvement that present themselves during the audit and communicate these to the Process Owner.
    • Identify any risks that present themselves during the audit, and enter them onto the ‘Risk Register’.
    • Identify any ‘Good Practice’ and communicate this to all Process Owners and General Manager.

All Process Owners are Required to:-

    • Ensure they are available on the date their process(s) become due for Audit in accordance with the Audit Plan.
    • Provide all information requested by the Auditor, and answer all questions posed.
    • Review communications of ‘Good Practice’ from auditors and establish if processes they own could benefit.

All Employees are Required to:-

    • Provide all information requested by the Auditor, and answer all questions posed.