Institutional Audits

During the course of normal operations, the institution and/or specific departments may receive notice from a variety of external entities regarding audits of institutional/departmental operations.  The Compliance Officer is responsible for the following activities related to audits by external entities:

  • Coordination of audits with external agencies
  • Attendance at audit related meetings with appropriate management
  • Review of audit findings and recommendations
  • Assist departments in developing strategies for implementing audit recommendations
  • Assist in preparation of official response to audit findings
  • Submission of official response(s) to audit findings
  • Testing of controls established to resolve audit findings

Departments should provide the external auditors with the Compliance Officer’s contact information and must notify the Compliance Officer immediately of any scheduled audit of institutional operations.  The Compliance Officer will provide up-to-date information to executive management and the System’s chief auditor (as required by System Policy 10.01) regarding compliance issues and audit status.

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