Auditing and Monitoring

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APPENDIX 3-Q: Compliance Audit Plan Example

20xx Audit Review Plan

Area

Scope

Projected Timing

Assigned Accountability for Audit

Foreign Corrupt Practices *

Review expenses for compliance to policy requirements.

First Quarter

Internal Audit and Finance

Conflict of Interest/ Conflict of Commitment

Assessment of the existing policies and procedures designed to identify and manage conflicts of interest and conflicts of commitment by both employees

Second Quarter

Compliance and Legal

Ethics and Compliance Program* †

Evaluation of the design and infrastructure of the organization’s ethics and compliance program

Third Quarter

Third Party (compliance can’t do the audit due to independence)

Safety of mobile oil platforms †

Review for compliance to policy on environmental safety on mobile oil platforms

Third Quarter

EH & S with third party (for independence)

Data Privacy

Review for compliance to policy on company information on mobile devices

Fourth Quarter

Compliance and Privacy Officer

Contract management

Review contracts for compliance to policy criteria required in contracts.

Second quarter

Compliance and Legal

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