This guide provides steps to prepare for an audit by departmental administrators. Once notification has been received from SPAC’s liaison regarding an upcoming audit, action needs to begin immediately by assembling, organizing and reviewing documents and procedures to ensure a successful outcome.
Communicate to faculty and staff of audit
Coordinate their accessibility for face to face meetings, interviews and inquiries if needed.
Meet with departmental staff to communicate roles and responsibilities for each team member.
Invite SPAC liaison to this meeting to provide insight and clarify expectations of audit process.
Identify contacts for copying and submitting records and coordinating communications with auditors.
Establish timelines for gathering records for submission to SPAC liaison.
Assemble in one location records and documentation
Payroll documents, statement of payroll charges
Receipts for Credit card transactions
Travel Approval Requests and Expense Statements, justifications for travel, receipts
Vendor contracts, purchase requests and justifications
Equipment maintenance agreements
Human Subject documentation (protocols, payment requests/payments)
Animals Use documentation (protocols, animal maintenance payments)
Grant proposals and award documents
Post award sponsor requests and approval documents (i.e. travel requests, equipment requests, no cost extensions, PI effort changes,)