What are the key audit activities?
A RMAP audit of a smelter or refiner consists of three main phases (typical timeline for each phase is noted):
- Pre-audit activities (14-21 calendar days):
- Sign and return the Auditing Agreement (AA) and the Agreement for the Exchange of Confidential Information (AECI).
- Review the protocol, accompanying documents, new smelter training and other trainings available on the eLearning academy.
- Fill out and send the pre-audit checklist to the Senior Program Manager.
- Begin to fill out the line item summary (LIS).
- Audit activities (15-45 calendar days which includes 1-5 calendar days per SOR facility for onsite third party audit):
- Complete the LIS
- Submit the LIS to the auditor at least 14 days before the on-site audit.
- Begin collecting required documentation for the sampled transactions (50 percent of the transactions to be sampled will be provided to the auditee before the audit. The auditee will be informed of the other 50 percent at the on-site audit).
- On-site audit, including an opening meeting, facility tour, employee interviews, document review, and closing meeting.
- Review the report and send feedback to the auditor.
- Post-audit activities (if needed, up to 90 calendar days):
- Implement any corrective actions identified during the on-site audit. See the Corrective Action Program (CAP) Training available on the eLearning Academy for more information.