Compliance Audit

What is the Compliance Audit?

The Compliance Audit (formerly known as the President's Audit) is an annual evaluation of the campus' completion rates of Chancellor's Office specified compliance training. 

The Employee Training Center coordinates the effort to work with the respective course owners to get to a 100% (or as close as possible) completion rate of designated courses.  

What courses are Involved?

Typically Audit Courses include:

  • Conflict of Interest (COI)
  • CSU's Discrimination and Harassment Prevention for Supervisors (SHPS)
  • CSU's Discrimination and Harassment Prevention for Non-Supervisors (SHPNS)

A Presidential Audit course is one that we (CSUF) will report results back to the Chancellor's Office for. The Chancellor's Office determines which courses are included in the audit, which may change from year to year.

Best Practices Courses: 

  • CSU's Sexual Misconduct Prevention Program (Title IX)
  • Campus Health & Safety
  • Defensive Drivers Training
  • Data Security & FERPA

Best Practices Courses are other courses that we include as good measure. We (CSUF) do not report the results of these classes to the Chancellor's Office.

What is Required of me?

As a course owner, it will be your responsibility to:

  1. Run the your preferred report for your course(s) at you discretion 
  2. Contact users that have or will expire by December 31 of the current year
  3. Follow up with non-compliant users
  4. Work with ETC to resolve any discrepancies and report final results

How you contact users and how often, is up to you. In the past, course owners have taken the various approaches noted below:

  • Notifying / working with their Managers / Supervisors
  • Notifying / working with the users directly
  • Utilizing management meetings
  • (NEW) work with the appropriate ETC Division Liaison
Communication

Campus Communication:

The ETC will send out one initial communication (usually in early October) to the campus community. This will help pave the way for Course Owner communication. 

Course Owner Communication:

(This applies to both Required and Other courses)

Course owners communicate with non-compliant users at their discretion. They may choose to communicate with Manager or Division instead of individuals directly.

Timeline
Month High-Level Activities
October
  • Kick-off meeting
  • ETC Communication
  • Course Owner Completion Efforts Start
November
  • Course Owner Completion Efforts Continue
  • Check-In Meeting with Course Owners
December
  • Course Owner Completion Efforts Continue
  • Check-In Meeting with Course Owners
  • Completion Efforts End (12/31)
  • Completion rates reported to CO
Resources

Reports:

The Employee Training Center will provide reporting options

It will be your (course owner) responsibility to run the reports and edit / disseminate them at your discretion

See How to Run a Presidential Audit Report for more information on reports

Guides:

The following are guide links that may help with FAQs for users

How to Login

How to See Required Trainings

Restart Review