Deputy Head of Compliance Assurance Audit Sample Clauses

Deputy Head of Compliance Assurance Audit. The Deputy Head of Compliance (DHOC), assisted by the TCCO and the Driver Conduct Service Manager, is to undertake a full audit of each Compliance team every two years, subject to ongoing review. These audits will be scheduled to take place during the first quarter of the reporting year with a report prepared for the Audit and Risk Sub-Committee by 31 July of the respective year. The purpose of the audit is to provide assurance to the TC Board as to the accuracy and effectiveness of the STL audit and to ensure that identified lessons learnt have been implemented in all offices. The DHOC is to audit at least 10% of the cases previously audited in the period by the STL so that accuracy can be assessed. In addition, an equivalent number of ‘new’ cases must be audited. A minimum of ten cases must be audited with focus on the more recent cases over the last 12 months. Example one: 300 public inquiries have been held over the year in one office. The STL has audited 30 cases. The DHOC is to audit 10% of the cases already audited (three) and at least three non-audited cases. This gives a total of six. The DHOC must then audit a further four cases to ensure a total of ten cases are audited. These should be divided between STL audited cases and new cases. Example two: 1000 driver conduct cases have been processed in a 12 month period. The STL has audited 100 cases. The DHOC will audit 10 of these cases (10%) and 10 further cases. As 20 cases have been audited there is no requirement to audit any further cases. The audit will also include interviewing staff to ascertain knowledge and understanding of the processes. A minimum of two case workers and one team leader should be interviewed. The DHOC should consider interviewing more staff if issues arise. This could include significant knowledge gaps, errors identified during the audit or where an office has a number of new staff. Any identified failings and lessons to be learnt, will be addressed as set out above. In addition to the full audit an intermediate audit will be undertaken over quarter one of each alternate year. This intermediate audit will consist of: • an audit of at least five cases from each function previously audited by the STL • a one to one discussion with the relevant traffic commissioner to establish any concerns • further cases audited as required as a result of findings from the review of cases or discussions with the traffic commissioner During both audits the DHOC will audit the Delegation Regi...
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Related to Deputy Head of Compliance Assurance Audit

  • Compliance Audit LEA shall have the right but shall be under no obligation to conduct audit(s), from time to time, of Provider’s records concerning its compliance obligations as set forth in this Article V. Provider shall make such records and other documents available to LEA upon request.

  • Contractual and Operational Compliance Audits (a) ICANN may from time to time (not to exceed twice per calendar year) conduct, or engage a third party to conduct, contractual compliance audits to assess compliance by Registry Operator with its representations and warranties contained in Article 1 of this Agreement and its covenants contained in Article 2 of this Agreement. Such audits shall be tailored to achieve the purpose of assessing compliance, and ICANN will (a) give reasonable advance notice of any such audit, which notice shall specify in reasonable detail the categories of documents, data and other information requested by ICANN, and

  • Single Audit Act Compliance If the Contractor is a subrecipient and expends $750,000 or more in federal awards from any and/or all sources in any fiscal year, the Contractor shall procure and pay for a single audit or a program-specific audit for that fiscal year. Upon completion of each audit, the Contractor shall:

  • Quality Assurance Requirements There are no special Quality Assurance requirements under this Agreement.

  • STATEMENT OF COMPLIANCE Contractor has, unless exempted, complied with the nondiscrimination program requirements. (Gov. Code §12990 (a-f) and CCR, Title 2, Section 11102) (Not applicable to public entities.)

  • Performance or Compliance Audits The Department may conduct or have conducted performance and/or compliance audits of the Contractor and subcontractors as determined by the Department. The Department may conduct an audit and review all the Contractor’s and subcontractors’ data and records that directly relate to the Contract. To the extent necessary to verify the Contractor’s fees and claims for payment under the Contract, the Contractor’s agreements or contracts with subcontractors, partners, or agents of the Contractor, pertaining to the Contract, may be inspected by the Department upon fifteen (15) calendar days’ notice, during normal working hours and in accordance with the Contractor’s facility access procedures where facility access is required. Release statements from its subcontractors, partners, or agents are not required for the Department or its designee to conduct compliance and performance audits on any of the Contractor’s contracts relating to this Contract. The Inspector General, in accordance with section 5.6, the State of Florida’s Chief Financial Officer, the Office of the Auditor General also have authority to perform audits and inspections.

  • OFFICE OF MANAGEMENT AND BUDGET (OMB) AUDIT REQUIREMENTS The parties shall comply with the requirements of the Single Audit Act of 1984, P.L. 98-502, ensuring that the single audit report includes the coverage stipulated in 2 CFR 200.

  • COUNTY’S QUALITY ASSURANCE PLAN The County or its agent will evaluate the Contractor’s performance under this Contract on not less than an annual basis. Such evaluation will include assessing the Contractor’s compliance with all Contract terms and conditions and performance standards. Contractor deficiencies which the County determines are severe or continuing and that may place performance of the Contract in jeopardy if not corrected will be reported to the Board of Supervisors. The report will include improvement/corrective action measures taken by the County and the Contractor. If improvement does not occur consistent with the corrective action measures, the County may terminate this Contract or impose other penalties as specified in this Contract.

  • Quality Assurance/Quality Control Contractor shall establish and maintain a quality assurance/quality control program which shall include procedures for continuous control of all construction and comprehensive inspection and testing of all items of Work, including any Work performed by Subcontractors, so as to ensure complete conformance to the Contract with respect to materials, workmanship, construction, finish, functional performance, and identification. The program established by Contractor shall comply with any quality assurance/quality control requirements incorporated in the Contract.

  • Standards Compliance DNS. Registry Operator shall comply with relevant existing RFCs and those published in the future by the Internet Engineering Task Force (IETF), including all successor standards, modifications or additions thereto relating to the DNS and name server operations including without limitation RFCs 1034, 1035, 1123, 1982, 2181, 2182, 2671, 3226, 3596, 3597, 4343, and 5966. DNS labels may only include hyphens in the third and fourth position if they represent valid IDNs (as specified above) in their ASCII encoding (e.g., “xn--ndk061n”).

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