Department of Internal Audit and Compliance

Can I prepare for an internal audit?   How?

Before we come to perform an audit an announcement is made to local and senior management of the functional area being audited, in plenty of time before our work is scheduled to begin, either by letter, electronic mail, or phone. We will ask for some background on the area being audited, to help facilitate our review.  These are some the items we typically ask for, but it is not a comprehensive list.

• an organization chart
• job descriptions for key personnel
• list of employee names
• department goals and objectives
• list of recent relevant transactions, preferably in electronic format
• department budget code(s)
• department operating policies and procedures manual
• inventory listings for both equipment and software
• cell phone usage list with approved authorizations
• small purchase charge card documentation

Wewill also ask local management to inform their team about the upcoming audit, and that they should cooperate fully with the audit team.  We will also request any information that will enable us to minimize disruptions to the department’s schedule.

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Last Updated: 6/26/15