Audit System Manual graphic

[ Audit System Manual- TOC ] [ Ch 1 - Introduction ] [ Ch 2 - Preparing for an Audit ] [ Ch 3 - Conducting the Audit ] [ Ch 4 - Completing the Audit Forms and Schedules ] [ Ch 5 - Audit System Screens ] [ Ch 6 - Miscellaneous ] [ Ch 7 - USDOL - Tax Performance System ] [ Ch 8 - Computer Fundamentals & Hardware ] [ Appendix ]
[ 1.1 - Objectives of a Field Audit Prg ] [ 1.2 - Definition of a Field Audit ] [ 1.3 - Purpose of an Audit ] [ 1.4 - Authority to Review Records ] [ 1.5 - Classification of Audits ] [ 1.6 - Audit Scope ] [ 1.7 - Required Audit Scope ] [ 1.8 - Tolerance/Expanding the Audit ] [ 1.9 - Audit Quota ] [ 1.10 - Audit Selection ] [ 1.11 - Audit Assignment Control ][1.12 - Components of a Completed Audit] [1.13 - Review Process for Audits] [ 1.14 - Audit Retention ]

Chapter 1:    Introduction

comments to: Tax Department

1.6    Audit Scope

The scope of an audit refers to the number of quarters audited. It is not necessary for an audit to cover the entire period of liability, the entire period since the last audit, nor in most cases is it necessary to cover the maximum period within the Statute of Limitations. All audits must cover a minimum of four (4) consecutive calendar quarters with the exception of the following situation.

Exception: If an employer correctly reports the liability date to the Agency, but goes out of business before 4 quarters of employment have occurred, the Accounts Examiner must audit all quarters of liability (1-3 quarters). For this exception to the requirement for a 4-quarter audit to apply, the employer must be out of business and not merely operating without employment.

An audit should start with a four (4) quarter sampling. The scope of the audit may need to be expanded to a prior year and to a succeeding year, depending upon the Tax Department's criteria for expansion.

An audit should not include any time period covered in a previous audit, nor should an employer be audited more than once in a 36-month period. The Regional Tax Manager or Audit Program Administrator should approve exceptions.

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Last Revision: May 05, 2011