Organisational Policy & Procedure Compliance Auditing

Service summary

An assessment of whether selected organisational policies and procedures are understood and applied. The audit compares approved expectations with records, interviews and observed practice across defined activities.

Findings provide evidence of consistency, exceptions and accountability. Engagements are accepted only after impartiality review; the service must not be used to provide prohibited internal audits to a certification client.

Key objectives

• Assess implementation of selected policies
• Examine understanding and authorisation
• Evaluate exception-handling evidence
• Identify accountability and consistency gaps

Methodology

Approved requirements are traced into selected decisions and working practices, with careful screening of the audit’s purpose and certification relationships.

• Confirm scope, criteria, intended use and impartiality eligibility.
• Review approved policies, procedures and responsibility assignments.
• Select activities, records and exceptions for examination.
• Interview personnel about requirements and actual practice.
• Compare operational evidence with approved expectations.
• Evaluate authorisations, deviations and management follow-through.
• Report policy-linked findings without rewriting procedures or prescribing controls.

Key outcomes

References: [G04] · [G06]

• Policy compliance assessment
• Implementation consistency findings
• Exception and authorisation evidence
• Accountability follow-up information