Compliance and Auditing Clause Samples

Compliance and Auditing. The COUNTY acknowledges the CONTRACTOR's right to access and use necessary data for compliance checks, auditing, and regulatory reporting.

Compliance and Auditing. The company may periodically audit expense reports to ensure compliance with this policy. Any violations of this policy may result in corrective action, including reimbursement repayments or disciplinary measures.

Compliance and Auditing. 15.1 Responsibility for Maintaining & Monitoring Compliance 15.2 Reporting Instances of Non Compliance 15.3 Safety Auditing Compliance 15.4 Review of Compliance Requirements 15.5 Reciprocal Inspections and Audits

Compliance and Auditing. Regular audits and assessments will be conducted to ensure compliance with this policy and applicable security standards. Non-compliance may result in corrective action, including disciplinary measures.

Compliance and Auditing. (a) Each party shall keep sufficient records to allow its obligations under this Agreement to be audited and reviewed. (b) The parties will undertake auditing and review of the implementation of this Agreement in a collaborative manner, by each other and by the National Safety Regulator, where required. (c) A party may, at its cost, undertake an independent audit of another party’s records of compliance with this Agreement, upon giving reasonable written notice to the other party.

Compliance and Auditing. Access to the IBM Security Trusteer Fraud Cloud Services is subject to a maximum quantity of Eligible Participants or Client Devices as specified in the Order Document. Client is responsible for ensuring that their number of Eligible Participants or Client Devices does not exceed the maximum quantity as specified in the Order Document. An audit may be conducted to verify compliance with maximum quantity of Eligible Participants or Client Devices.

Compliance and Auditing. 9.2.1 The Parties agree to be jointly responsible for maintaining and monitoring compliance with this agreement and the Parties agree to develop appropriate compliance monitoring procedures to achieve this. 9.2.2 If owing to an emergency it is not possible to comply with this Agreement, every effort shall be made by the non-complying Party to consult on the best course of action to ensure the safe conduct of activities at the interface.

Compliance and Auditing. The local authority can carry out checks and/or audits on providers to ensure compliance with the requirements of delivering the free entitlements. The provider should maintain accurate financial and non-financial records relating to free entitlement places and should give the local authority access on reasonable notice to all financial and non-financial records relating to free entitlement places funded under the provider agreement, subject to confidentiality restrictions. Internal Audit may undertake checks on a sample basis of Providers, to ensure that: • Parents are receiving their child’s entitlement completely free at the point of delivery • Funding is paid in accordance with the statutory guidance from the DfE and the conditions set out in this document. • Funding is being used appropriately, covering the provision of care for children in attendance at the setting. • In some circumstances, Internal Audit will undertake unannounced visits. During an audit visit, the most recent completed term will be checked initially with potential further assessment on other terms. Providers should ensure that the following documents are available for the period of the audit or can be provided within 24 hours of the initial request being made: • Attendance register (for funded children) • Parental contracts • Copies of issued parental invoices • Annual accounts, income and expenditure statements and supporting • documentation to show how funding is reconciled against the cost of providing the free entitlement. • Evidence of the use of the Early Years Pupil Premium. • Evidence of the use of the Disability Access Funding. The Audit may take up to a day depending on the size of the Provider and number of eligible children within the setting. It may be necessary for officers from Internal Audit to make a return visit to complete all checks. Following an Audit, if it is found that false or incorrect information has been supplied to the Authority, funding will be reclaimed, and the Provider may be removed from the Authority’s Register of Providers. A member of staff from Early Years Entitlements Funding Team will visit settings announced 14 working days prior, to check the register of funded children for which they must be granted access by the Provider. The Early Years Entitlements Funding Team members will only perform unannounced visits in exceptional circumstances. • Registers must always be kept on site and available for inspection. Irregular Attendance - when a chi...