E.05 Internal Control Monitoring (National System)

Policy Standard

• Internal control monitoring provides management with reasonable assurance of compliance with applicable policies, plans, procedures, laws and regulations.

Performance Standards

1. Internal control monitors the implementation of policies and procedures for their appropriateness and compliance with departmental initiatives and objectives.
2. Each prison has an internal control register which identifies checks to be undertaken to ensure that operating controls are in place.
3. Staff involved are familiar with the internal control monitoring process.
4. Internal control checks are undertaken by staff who are independent from, but have a knowledge of the work activity.
5. Internal control checks are timetabled to meet reporting deadlines.
6. Managers are accountable for routine operating controls within their work systems.
7. Completed forms and relevant documents are collated, analysed and referred to management for any action.
8. Prompt remedial action is taken to address exceptions reported on the Internal Control Record Form.
9. Reasons for not carrying out prescribed checks are documented.
10. Quarterly reports are received by the General Manager Public Prisons Service within ten working days from the end of the quarter.

The Regional Risk Management Template 3 and the Statutory Compliance exception return is required to be sent to the National Compliance Co-ordinator within 10 working days of the following days:

• 31 March
• 30 June
• 30 September
• 31 December