Written By Larry Beebe
Bond Beebe
P: 301.272.6025 E: This e-mail address is being protected from spambots. You need JavaScript enabled to view it

Does Not Have the Necessary Records when the Auditor Arrives

The first step the auditor should perform is to sit down with the employer representative and insure that all records asked for in the documentation request (sent to the employer) are there and available for inspection.  The auditor should know where every requested record is before the audit starts.

If the employer does not produce the record for this initial meeting, the auditor should begin making a list of records not provided.  The employer representative should know the auditor is starting such a list.  At the end of the initial meeting, the employer representative should be provided a list of the requested records that have not been furnished.  I often find it amazing when I give such a list to the employer representative how quickly the missing records are located.

The auditor will eventually reach the point where he/she can go no further without the missing records.  The auditor should make arrangements to have the missing records sent by a specified due date and should tell the employer the consequences of the records not being furnished.

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