1. Planning Phase
This is the initial phase of the audit. Auditors must plan their work, which includes determining the scope and objectives of the audit, determining criteria, and developing an audit plan. Agencies should begin their preparation for the audit during this phase.
Tips on Hosting Performance Audits
Surviving a Performance Audit. Secretary Mary Selecky and former Assistant Secretary Laurie Jinkins of the Department of Health gave this presentation at the Governor’s Leadership Conference on November 6, 2007. The DOH performance audit is considered a model audit by both the administration and the State Auditor’s Office. This is our first “real life” example of how to host a successful I-900 performance audit.
How to Host a Performance Audit: Helpful Tips and Best Practices. This report explains the phases of an audit and provides tips and best practices for each phase. There is also a summary PowerPoint training based on the report.
Templates
Resource tracking. The resources tracking template is used to track staff and other incidental costs incurred as a result of responding to a performance audit.
Data confidentiality. Some entities must adhere to strict federal guidelines regarding how their confidential data is accessed and controlled. Below are templates for data confidentiality agreements and a tracking log for system access.
- Generic data confidentiality agreement
- Customized by Department of Health
- Tracking of System Access and Confidential Data
Proceed to Phase 2: Fieldwork or Analysis