Road Map to Continued Compliance for Government Contractors

Written policies and procedures (P&P) are the foundation of every compliance program and one of the first documents requested during any audit. The written P&P documents an organization’s processes, many of which are solely at the contractor’s discretion.

For government contractors, written policies and procedures are vital to contract compliance and sound business management. Policies set controlling principles and direction for your company. Procedures create road maps for managing your business and reaching your goals.

Auditors consider effective policies and procedures as a first line of defense against fraud and waste. Auditors will require evidence that you have established administrative and accounting policies and procedures and that everyone in your organization follows them consistently.

Policies and procedures are evaluated for adequacy of design to determine if they will achieve the desired outcome. Auditors then observe personnel during audits to see if they use and follow the written P&P.

3 Stages of an Audit

  1. Say What You Do – have written P&P.
  2. Do What You Say – use and follow P&P.
  3. Have Evidence to Prove It – written records should prove that P&P were followed.

Issues During an Audit

  1. Inadequate or unwritten P&P.
  2. Failure to use or follow written P&P when executing tasks.
  3. Records missing evidence that P&P were followed.

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