2012 Council Self Audit Tool Compliance Systems
The assessment tool guides councils through a review process that considers all aspects of a council compliance system and will enable councils to identify any areas where corrective actions could be made to strengthen compliance management systems.
The periodical review of Local Governments systems for managing compliance activities, both internal and of the regulated community is acknowledged as not only good business practice, but essential for councils to adequately manage and mitigate their risk of both environmental harm and legal liability.
The Practical System Review provides the following benefits to Councils:
- An opportunity for discussion and reflection on organisational processes
- A standard methodology for identifying strengths and weaknesses in current compliance systems and practices
- A structured methodology for tracking (and potentially reporting on) progress over time
- An ability to prioritise corrective actions and improvements to systems to ensure they deliver the desired compliance outcomes
- Building staff knowledge and skills in relation to best practice.
The “Practical System Review” tool has been developed as a “review” checklist, and designed to be tailored to suit the review objectives and/or the systems being audited.
This review tool does not include a scoring system or provide any ‘overall rating’, but does enable councils to identify areas for improvement and rank their own priorities for addressing any identified corrective actions.
Councils utilising the “Practical Systems Review” are encouraged to first determine the scale and scope of the review, and remove any questions not suited to the department or issue being reviewed. The tool provides adequate opportunity for the addition of questions specific to the issue being reviewed, as well as Key Performance Indicators specific to Council or department under review.