Appendix A.4: Audit Review Plan Templates

Table of Contents

Example 1

20xx Audit Review Plan
AreaScopeProjected TimingAssigned Accountability for Audit
Fraud Risk Management*Evaluation of the potential for the occurrence of fraud and how the organization manages fraud risk1st QuarterInternal Audit and Finance
Conflict of Interest/ Conflict of CommitmentAssessment of the adequacy and clarity of existing policies and procedures designed to identify and manage potential financial conflicts of interest and conflicts of commitment by both employees2nd QuarterCompliance and Legal
Compensated Outside Professional ActivitiesAssessment of compliance with policies and procedures on reporting compensated outside professional activities3rd QuarterCompliance
Ethics and Compliance Programs*†Evaluation of the design and infrastructure of the organization’s ethics and compliance program3rd QuarterThird Party (compliance can’t be independent)
Executive CompensationReview of Executive Compensation3rd QuarterInternal Audit, Compliance
Safety of Mobile Oil Platforms† Review for compliance to policy on environmental safety on mobile oil platforms3rd QuarterEH & S with third party (for independence)
Data PrivacyReview for compliance to policy on mobile devices4th QuarterCompliance and Privacy Officer

* Audit required by XX regulatory, accreditation or other agency

† Audit will be outsourced due to subject matter needed or need for independence

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The Health Care Compliance Association (HCCA), is a 501(c)6 non-profit, member-based professional association. HCCA was established in 1996 and is headquartered in Minneapolis, MN. We provide training, certification, and other resources to over 10,000 members. Our members include compliance officers and staff from a wide range of organizations, including hospitals, research facilities, clinics and technology service providers.

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