What happens during an audit?
Requested information is sent which includes a copy of the AAP, as well as union agreements, government reports and employment data (hires, promotions, terminations and applicant flow); goal attainment analysis and good faith efforts are forwarded. Compensation equity analysis is also sent. The compliance officer may set up an on-site visit that can last from 2-10 days typically 4 days. During the on-site, managers and employees may be interviewed. Non-exempt employees can be interviewed without management present. Files are reviewed; facilities are toured.
The audit process includes the following steps: Notification Letter Entrance Conference Audit Work Communicating Results Exit Conference Final Audit Report Follow-up Reviews Notification Letter – With few exceptions, auditees are notified in writing when their area is selected for an audit. Due to the nature of some audit work, we may give little or no advance notice. These letters are sent to the Vice President of the area being audited as well as to the appropriate Dean, Chairperson, or Director. The notification letter states the objectives to be accomplished in the audit, an approximate schedule, and audit staff assigned. Entrance Conference – Depending on the type of audit and the amount of audit work planned, an entrance conference may be scheduled with the head of the department to discuss the purpose and scope of the audit. This may also be accomplished via telephone if the auditee so desires. We encourage auditees to discuss any concerns or questions they have about the audit.
During the course of an audit, the auditor reviews the implementation of the benchmark and verifies that it is in compliance with the requirements described in the specification. The auditor then verifies that the execution of the benchmark is also in compliance. Finally, the reporting of the benchmark results in the form of a Full Disclosure Report is reviewed and certified by the auditor.
The audit process includes the following steps: Notification Letter – With few exceptions, auditees are notified in writing when their area is selected for an audit. These letters are sent to the Vice President of the area being audited as well as to the appropriate Dean, Chairperson, or Director. The notification letter states the objectives to be accomplished in the audit. Entrance Conference – An entrance conference may be scheduled with the head of the department to discuss the purpose and scope of the audit. We encourage auditees to discuss any concerns or questions they have about the audit. Together, the auditee and the auditors determine the departmental personnel and physical facilities needed to conduct the audit. Audit Work – It will often be necessary for the auditors to be in your area to review departmental records and conduct interviews of departmental personnel. The interviews are necessary for the auditor to become familiar with the department’s operations and procedur
