Compliance Audit

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Compliance Audit

Sometimes you want an outside investigator to do a "routine compliance investigation". You might want to call it a "compliance audit by our outside investigator". Having an outside investigator do a routine compliance audit provides objectivity and reassures everyone that nothing "is swept under the rug".

A short compliance investigation by an outside investigator might include the following elements.

	A half day meeting by the outside investigator us with the corporate attorney and then meetings with the CEO and CFO.
	Securing the necessary letters from the CEO or board of directors that will shield the investigation as being work-product under the direction of an attorney who will giving legal advice to the corporation.
	A half day developing the investigative plan
	A half day work with the actual (hands-on) field auditors of the outside auditors
	A day reviewing documents and procedures and meeting with employees and management
	A half day discussing preliminary findings with the CEO and CFO
	A day back investigating as needed
	A day writing the final report to the attorney, in a format suitable for him/her to report the basis for his/her legal advices to the CEO or Board of Directors, reporting on compliance with:

        corporate ethics goals,

        accurate financial reporting, and

        legal reporting requirements.

This, of course, is the time line for a short investigation. But it is also the outline of what is done on a more extensive or difficult investigation. The amount of time may vary, but the general track usually follows the above.

Corporate-Ethics US™ - has distinguished PhD and JD ethics experts such as Bucklin, who can do an ethics audit for your business..