PRO-U10.16B Requesting Internal Audit Services During the Year

Interested Parties

1. Communicates via phone, mail, e-mail, fax, web form or in person with the Office of the Internal Auditor to notify Auditor of their request for audit services.
2. Meets or talks on phone with Internal Audit Director to discuss specific request for audit services, if necessary. Note: Requests can be submitted anonymously which would not allow any follow up communications with the interested parties.

Internal Audit Director

3. Documents Interested Parties’ request for audit services on Intake Form.

4. Evaluates request and in discussion with the President, offers insights, background, and advice.

5. Sends Intake Form to President.

President

6. Evaluates request for unscheduled audit and determines if the audit, consultation or investigation should be performed. Further, the President decides: if not to be performed, whether other approaches should be undertaken and if to be performed, the determinations to be made after consultation with the Internal Audit Director and based upon most effective use of available resources to assure continuing institutional integrity.

7. Notifies the Internal Audit Director of the disposition and sends a signed copy of the Intake Form to the Internal Audit Director.

Internal Audit Director

8. Advises the Audit Committee about the unscheduled audit request and disposition of request.

9. If requestor is known, notifies the requesting Interested Party of the disposition of the audit request.

Audit Committee

10. Periodically reviews with President and Internal Audit Director the record of disposition of request in order to offer guidance and direction on the continuous improvement of the process.

11. Retains the ability to discuss disposition of particular requests with the President and Internal Audit Director together or in their regularly scheduled independent meetings with the Committee.