CE Fee Example 3 - Full-Scope Regulatory Audit (Administrative Fee)

Full-Scope Regulatory Audit (Administrative Fee)

We completed a full‑scope regulatory audit to assess a licensed contractor’s compliance with legislative requirements. The audit examined compliance in multiple areas, including licensing, certification, permitting, reporting, payment of fees, advertising, and the performance of regulated work, over the past five years.

Audit activities included interviews with the contractor and employees, review of contractor records covering a two‑year period, and on-site evaluations of regulated work.

A Lead Investigating Officer (LIO) led the audit and an Enforcement Investigation Specialist (EIS) supported them. The EIS supported the audit through interview note‑taking, audit coordination (including records submissions and interview scheduling), records review, and data entry. The LIO was responsible for audit planning and coordination, conducting interviews, detailed review and analysis of evidence, establishing findings, and report writing.

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