Compliance Audit

What is the Compliance Audit?

The Compliance Audit (formerly known as the President's Audit) is an semi-annual evaluation taking place in the Spring and in the Fall.

The Compliance audit is an effort to increase campus' completion rates of compliance trainings. 

The Employee Training Center coordinates the effort and works with the respective Course Owners and Division Liaisons (COOs), to get to a 100% (or as close as possible) completion rate of compliance courses.  

Only the results (completion percentage) of specified course (as indicated by the Chancellor's Office) is reported. All other courses are included as a 'good measure'

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)
  • CSU's Sexual Misconduct Prevention Program (Title IX)

Courses that are included in the Chancellor's Office official audit are determined year to year.

Best Practices Courses: 

  • Data Security & FERPA (DSP)
  • Campus Health & Safety (CHS)
  • Defensive Drivers Training (DDT)
  • Clery (Understanding the Clery Act, Clery Act for Campus Security Authorities)
  • Payment Card Industry Standards (PCI)

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. Attend audit meetings for up to date/important information
  2. Run the your preferred report for your course(s) at you discretion 
  3. Contact users that have or will expire by December 31 of the current year
  4. Follow up with non-compliant users
  5. 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
  • Working with the appropriate ETC Division Liaison
Communication

Campus Communication:

The ETC will send out one initial communication (usually in September) 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 Managers or Division Liaisons instead of individuals directly.

  • Please see communication samples in Dropbox for communications.
  • If you do not use those, please have any ETC instructions / directions approved by the ETC prior to sending out
Timeline

This is a general overview for the Fall Compliance Audit. Specific timelines are shared with the Course Owners throughout the Compliance Audit efforts.

Month High-Level Activities
September
  • Kick-off meeting
  • ETC Communication
  • Course Owner Completion Efforts Start
October
  • ETC (Early Completion) Communication
  • Course Owner Completion Efforts Continue
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)
January
  • Final report is provided by the CO
  • Final exceptions are reported to CO
Resources

Reports:

The Employee Training Center will provide Monday reports every monday in the Audit timeframe

Course Owners can manually run a report at any time. See the following report guides:

General Guides:

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


Audit Guides:

Additional resources are provided in Compliance Audit meetings.