Compliance Auditing

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 when 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.

What You Will Learn

After successful completion of this course, participants will be able to:

• 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
• Explain the central role of objectives in auditing
• Plan, execute and report on compliance 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.

Health & Safety Protocols

For all on-site training in the insular areas, the Graduate School USA's Pacific and Virgin Islands Training Initiatives (PITI-VITI) works closely with local training hosts to ensure that participants, instructors, and training support staff enjoy a safe learning experience. Please note the following:

• Full details of PITI-VITI's health and safety guidelines are available here.
• Local health and safety guidelines for the government of US Virgin Islands, which will be hosting this training, is available at https://www.covid19usvi.com/.
• Please contact PITI-VITI Admin at [email protected] with any questions or concerns.

Tuition Fees

With funding support from the United States Department of the Interior, Office of Insular Affairs, courses are available free of charge for government accountability professionals within the insular areas. The course fee is waived and there is no cost to register and attend, Professionals who do not meet the above criteria, please contact [email protected].