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Compliance Auditing

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Overview:
Legislators, public officials and others expect that timely audits are conducted to ensure compliance with regulatory guidelines, administrative procedures and related controls. Learn the different kinds of compliance audits that might be made, including compliance with the provisions of contracts and grant agreements, conformance with quality requirements, and compliance with established procedures and controls. Learn what auditors might do when they find that an authoritative requirement does not produce the desired results. Also, learn the circumstances when a compliance audit might not be appropriate. Through case study exercises, learn how compliance findings may differ from findings for traditional performance audits.
Who Should Attend?
Auditors wanting to know the principles and general prerequisites in auditing for conformance with authoritative requirements, including contracts and grants. Also beneficial for others who do grant auditing. Level: Foundation.
Learning Outcomes:
  • Cite the basic auditing principles that apply in conducting compliance audits
  • Explain how audit findings differ for compliance with performance requirements and for compliance with procedures and controls
  • Explain the unique development of cause in auditing compliance
  • Formulate objectives that establish what a given compliance audit is to accomplish
  • Plan, execute and report on compliance audits
  • Outline:
    Module 1: The Basics
    Module 2: Relevant Finding Elements
    Module 3: Objectives: Key to Successful Audits
    Module 4: Designing the Audit
    Module 5: Reporting the Audit Results


    Course Details
    CODE:  AUDT8095G
    TYPE:  Classroom-Day
    LENGTH:  2 Day(s)
    CREDITS:  16 CPE
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