Thematic Audits Sample Clauses

Thematic Audits. In addition to the routine STL and Deputy Head of Compliance audits set out in a) and b) above, regular in-depth spot checks must be carried out in relation to specific functions or elements of a function. The purpose is to ensure that all offices are adopting a consistent process for specific functions that aligns with the Statutory Documents or Operating Instructions. Thematic audits provide greater flexibility for targeting specific functions as issues are identified and in an appropriate level of detail. The topics for thematic audits are determined by the Deputy Head of Compliance and are undertaken under the direction and delegation from the Deputy Head of Compliance. The Deputy Head of Compliance will issue a Terms of Reference for each audit. A programme of audits may be developed over time but the programme is flexible to allow for changes in priority. When setting a programme the Deputy Head of Compliance will consider feedback from traffic commissioners or other managers. The Lessons Learnt log and Exception Reports may also provide insight for topics. Any number of thematic audits can be carried out over the course of a year. Resource being the only restraint. It is expected that a minimum of two bespoke thematic audits will be required in any reporting year but this number will change with any identified requirement.