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Compliance Auditing

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  • ORegistration open
  • FClass full
  • GGuaranteed to Go
  • RRemote Classroom
Multiple Registrations?
Session Schedule Location Tuition Status
Nov 29 - Nov 30, 2017
08:30 - 16:30 , WED-THU
Washington , DC $649 O
Jul 11 - Jul 12, 2018
08:30 - 16:30 , WED-THU
Washington , DC $649 O
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Course overview

Legislators, public officials and others expect that audits are conducted to ensure compliance with authoritative requirements. Learn the different kinds of compliance audits that might be made, including compliance with regulatory guidelines, contract and grant agreements, conformance with quality requirements, and compliance with established procedures and controls. Learn what auditors might do hen they find that authoritative requirement does not produce the desire results. Also, learn the circumstances when a compliance audit might not be appropriate. Through case study exercises, practice a step-by-step process for conducting compliance audits and 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

Course 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

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