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Compliance Auditing (AUDT8095)

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Compliance Auditing

Description:

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 desired 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. This course is part of the Certified Government Auditor (CGA) program, Level 2.

Duration:

2 days

Level:

Foundational

Who Should Attend?

Auditors who want to know the principles and general prerequisites in auditing for conformance with authoritative requirements, including contracts and grants. It is also beneficial for others who do grant auditing.

Credits:

1.2 CEU's, 16 CPE's

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

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