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Policy on Audits Conducted by External Regulatory Agencies


This policy sets forth the procedures for communication among university departments when audits or investigations are announced by external auditors representing federal, state and local government agencies and private agencies.



Tufts University is periodically the focus of audits or investigations that are conducted by federal, state or local government agencies or private agencies. Such engagements are not initiated within Tufts University and will be referred to as involuntary audits or investigative engagements.


a. When an administrator is officially notified of an audit or investigation by a federal, state or local government agency or by a private agency, the administrator must inform the University vice president or academic officer responsible for the area or activity under review, who in turn will inform the Executive Director of Audit & Management Advisory Services (AMAS) concerning the notification. The Executive Director of AMAS will subsequently inform the Executive Vice President, Provost & Senior Vice President, University Counsel, and the Vice President of Finance and Treasurer, as appropriate.


b. The Executive Director of AMAS, along with appropriate administrators and academic officers, will determine the level of involvement of Audit & Management Advisory Services in supporting the audit or investigation. At a minimum, the Executive Director of AMAS may attend the entrance and/or exit conference pertaining to the audit or investigation and, if deemed appropriate, assist with coordinating activities.


When a final written report is issued to the University as the result of any type of audit or investigation conducted by an external agency as described above, a copy will be provided to AMAS. The Executive Director of AMAS will coordinate with the Executive Vice President and the Vice President of Finance and Treasurer communication of the agency’s findings to the Trustee Audit Committee.



November 2013