Audit, Compliance, Ethics, and Risk Management

The purpose of the Audit, Compliance, Ethics, and Risk Management Department is to: 

• Identify and prioritize risks (positive and negative) to the organization and its mission and share risk-related data and information with the organization to inform tactical and strategic planning (ERM);
• Detect violations of law, regulation, and policy, and ensure the organization takes steps to correct such violations and implements controls reasonably designed to prevent recurring violations on a sustained basis (Compliance & Ethics, and Privacy);
• Periodically audit and test controls and processes to measure and report on sustained adherence to prescribed rules (Internal Audit).
• Promote the safety and well-being of students, Patients, faculty, staff, guests, and other constituents throughout the enterprise and its facilities (EH&S).”

 

Quarterly ACERM Newsletter

 

ACERM External Audit Oversight Process

In accordance with Augusta University’s Third-Party External Audit Policy, ACERM should be notified of all audit/inspection requests made by outside agencies. Please do the following before any external audits, inspections, or visits are conducted:

Unannounced Audit or Inspection

Initial Response:

• Ask the agent/auditor to provide:
• Official identification
• Any paperwork related to the visit
• Escort them to a waiting area while you:
• Make copies for compliance records
• Verify credentials

• Contact the Compliance Office for guidance
• Phone: 706-721-0900
• Attach all copied documents for compliance review and send to: external_audit@augusta.edu 

Please do not delay or impede the inspection. If there are concerns regarding the legitimacy of the request please call ACERM immediately.

 Announced Audit or Inspection

Initial Steps:

• Collect and copy all received paperwork
• Include the engagement letter if provided

Within 24 Hours:

• Notify ACERM by email: external_audit@augusta.edu 
• Include:
• Details of the audit/inspection
• Name of the requesting agency
• Attach all received documents for compliance review

We will respond as quickly as possible to each request. Our goal is to ensure that appropriate guidance is given and that all activities are monitored throughout the audit/inspection process. We will review all final findings and provide further instruction as needed for next steps.

If you need to report an external audit use this form: External Audit Reporting Form