Controls Compliance Accountability


For a Management System to be effective, the identification of the key controls associated with each process is critical. Key controls are steps embeded in a Procedure which if not implemented would result in the activity being out of control. As management system processes are comprised of a series of related activities that are described in various procedures, it follows that if the controls associated with one or more of the procedures are not implemented then, the process cannot be considered to be under control.



No matter how well a management system is structured and described, the controls inherent to each activity must easily identifiable and unambiguous, otherwise it is likely that at least some of the steps in the procedures will be open to interpretation. To ensure that each control is implemented the degree of compliance with each process in the management system must be objectively determined.



A management system is only effective when it contributes to the Company objectives being consistently met. To do this, there must be a clear delineation of employee roles & responsibilities. Each individual in the organization must know their responsibilities with respect to following the Company procedures, and process owners must understand that they alone are accountable for implementation.