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 |