Participant Handbook

B. Internal Audit Function Each year, the ECP will be subject to an internal audit function to analyze and assess potential risks to the program’s objectives. The complete process overview is appended to this document at Tab H. The internal audit function will focus on the following processes:  Application and continuing education updates  Decision-making process  Waiver process The function will evaluate information related to the following:  Feedback from applicants, candidates, certified persons, and interested parties  Safeguarding impartiality  Status of outstanding preventive and corrective actions  Follow-up actions from previous audits  Fulfillment of program objectives  Changes that could affect the ECP or its management system  Appeals and complaints This information will be collected on a regular basis throughout the audit period so that the audit team has a representative amount of data on which to base its conclusions. C. Corrective actions The Committee shall identify nonconformities in its operations and take corrective action appropriate to the impact of the problems encountered in order to reach its strategic goals and in keeping with its mission statement. The nonconformities may be identified during the internal audit function or throughout the intervening years. Once identified, the following actions should take place in a timely manner:  Evaluate the need for action to correct the nonconformity  Determine and implement the action needed  Record the results of the action(s) taken  Evaluate the effectiveness of correction action(s) taken D. Preventive actions The Certification Committee shall identify nonconformities in its processes and operations and take preventive actions to eliminate the causes of these nonconformities. Preventive actions taken shall be appropriate to the impact of the nonconformity.

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CSBS Examiner Certification Program Participant Handbook (3 rd ed.)