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Kim Smith
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Inside ETP – Audit Unit Assures Compliance with Program Requirements

A vital component of the ETP program is its Audit Unit, which conducts performance-based audits on completed agreements. These agreement audits are conducted to gain reasonable assurance that costs claimed for job-training are in compliance with the terms specified in the ETP agreement, the California Unemployment Insurance Code, and ETP's regulations and policies.

Auditors also work closely with ETP's contract development staff to maintain the agency's fiduciary responsibility to its stakeholders and to mitigate potential issues which may surface during the course of an ETP Agreement. Although audits are sometimes thought of as stressful experiences, ETP auditors work diligently to forge positive working relationships with contractors, which can result in improved performance in subsequent agreements.

Primarily, ETP audits are conducted in order to:

• assure training records support reported training hours and reflect training approved by ETP for the particular agreement;
• assure retention and wage requirements are met; and,
• assure adherence to requirements specific to a particular agreement.

Non-compliance with agreement requirements can result in disallowed costs. However, agreement audits also reveal contractors' well-maintained training records and/or excellent overall performance, which are cited in the final audit reports.

Currently, the Audit Unit is comprised of an audit manager, four auditors, and one support staff. Members of this small staff are required to travel throughout California to perform each audit, which takes an average of between 3-6 months to complete.

As ETP continually evolves based on the changing needs of California's workforce, ETP's Audit Unit will continue to provide guidance and assistance where necessary, while striving to maintain the best possible relationship with ETP's partners in business and labor.

More in-depth information on the ETP's Audit Unit can be found at http://www.etp.ca.gov/audit.cfm

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