A special look at the Vendor/Auditor License Compliance Review process

The License Compliance Review process of vendors and auditors is broken down into 5 phases. Due to the flexible nature of the review process, not all reviews will go through all phases and may actually skip certain phases. All reviews begin with the Identification/Investigation Phase. The potential review candidates then go through the Internal Notification Phase. The approved review candidates then go through the Customer Notification Phase. During the Customer Notification Phase, some audits may be dropped, while most others will transition either to the Audit Phase (an actual audit - either a self audit or an audit conducted by an independent auditor) or jump directly to the Settlement Phase. Each of these phases is described below in more detail.

Phase one – identification/investigation

The Director of License Management will review all non-compliance leads and assign those leads to be actively investigated based on...