Compliance Auditing (AUDT8095)

Compliance Auditing

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 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.

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.




16 CPE's

Class Type:

This course is currently being offered in the following training modalities:

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

Register For Online Course


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Module 1: The Basics

Module 2: Relevant Finding Elements

Module 3: Objectives: Key to Successful Audits

Module 4: Designing the Audit

Module 5: Reporting the Audit Results

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