# Compliance Auditing Course (Self-Paced) Canonical URL: ## Overview Legislators, public officials, and others rely on audits to help ensure compliance with authoritative requirements. In this course, students will learn the purpose and practice of compliance auditing in the federal environment, including how compliance audits differ from traditional performance audits and when a compliance audit may or may not be appropriate. The course introduces the major types of compliance audits that may be conducted, such as audits of regulatory requirements, contract and grant agreements, quality standards, and internal procedures and controls. Students will also examine what auditors may do when an authoritative requirement is not producing the intended results. Because the Federal Government has many areas of risk where compliance audits are performed, this course focuses on the primary areas in which most federal compliance audits are conducted, including federal appropriations, federal contracts, federal IT and FISMA, and federal financial and budget compliance. Through hands-on case study exercises and knowledge checks, students will practice a step-by-step process for planning, conducting, and reporting compliance audits, and will learn how compliance findings may differ from findings in traditional performance audits. ## What you'll learn - Cite the basic auditing principles that apply in conducting compliance audits - Identify non-compliance and relevance to the Anti-Deficiency Act - Understand compliance and various audit areas of the federal government in which they are conducted - Learn core audit steps for conducting compliance audits in federal audit areas - Plan, execute, and report on compliance audits ## Curriculum #### Module 1: Federal Compliance Overview and Anti-deficiency Act - Understand what is meant by federal compliance - Define the purpose and importance of federal compliance audits - Understand GAGAS and federal audit requirements - Understand guidance on conducting compliance audits - Distinguish between federal noncompliance, fraud, and the Anti-Deficiency Act - Understand core areas to include in federal compliance audits #### Module 2: Federal Appropriations Compliance - Overview of Federal Appropriations - Federal Appropriations Compliance - Federal Appropriations Compliance Audits - Core Areas to Build into Federal Appropriations Compliance Audits #### Module 3: Federal Contracts Compliance - Overview of Federal Contracts - What is Federal Contract Compliance - Federal Contract Compliance Audits - Core Areas to Build into Federal Contract Compliance Audits #### Module 4: Federal IT Compliance - Overview of Federal IT Compliance - Overview of FISMA, NIST and Other Compliance - IT Compliance Audits - Core Areas to Build into IT Compliance Audits #### Module 5: Federal Financial Process and Budget Compliance - Brief overview of the Federal Financial Process and Budget Compliance - Federal Financial Process and Budget Compliance Audits - Core Areas to Build into Federal Financial Process and Budget Compliance Audits #### Module 6: Plan, Execute, and Report on Federal Compliance Audits - Audit Planning (Objectives) - Audit Execution (Developing Elements) - Audit Reporting (Findings, Cause, Criteria, Recommendations) - Capstone Project: Compliance Audit Report Review ## Pricing **Tuition:** $1049