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University Governance, Ethics, Integrity, and Legal Compliance

Audit and Investigation Authority Policy

Scope

All University operating units and employees

Policy Statement

The Office of Audit and Management Advisory Services (AMAS) reports to the executive vice president and chief financial officer. This office is charged with the responsibility of performing various types of audits of all departments and/or operating units within the University, based on an assessment of risk, including:

  • Financial
  • Operational
  • Computerized information systems
  • Regulatory compliance

These audits are intended to evaluate the adequacy of internal controls, accuracy of financial records, and compliance with standard accounting practices, governmental and NCAA regulations, as well as University policies and procedures. Special projects or investigations are also performed by this office at the request of senior management. All audit recommendations are advisory in nature and therefore do not direct specific actions, however appropriate management personnel are required to provide prompt written responses to the recommendations indicating the corrective actions (if any) that will be taken.

The AMAS staff is authorized to have access to any and all university records which may reasonably be required during regular audit reviews, special projects and investigations. Similarly, the AMAS staff is authorized to interview or otherwise question any and all university employees, as they may deem appropriate, in the course of conducting their work.

Policy Administration

Date: August 2005




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