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These web-based courses require a computer and Internet access. Need cost-effective learning with customized delivery? ASQ can train your employees on your schedule. Cart Total: Checkout. The following requests should be made before the start of audit planning in order to gain an understanding of the process, relevant applications, and key reports: All policies, procedure documents, and organization charts Key reports used to manage the effectiveness, efficiency, and process success Access to key applications used in the process Description and listing of master data for the processes being audited, including all data fields and attributes After gaining an understanding of the process to be audited through the initial document request, you should request access to master data for the processes being audited to analyze for trends and to aid in making detailed sampling selections.
Preparing for a Planning Meeting with Business Stakeholders Before meeting with business stakeholders, internal audit should hold an internal meeting in order to confirm the high-level understanding of the objectives of the process or department and the key steps to the process. The following steps should be performed to prepare for a planning meeting with business stakeholders: Outline key process steps by narrative, flowchart, or both, highlighting information inflows, outflows, and internal control components Validate draft narratives and flowcharts with subject matter experts if any Create an initial pre-planning questionnaire to facilitate a pre-planning meeting with key audit customers Preparing the questionnaire after performing the initial research sets a positive tone for the audit , and illustrates that internal audit is informed and prepared.
Preparing the Audit Program Once internal audit has confirmed their understanding of the process and risks within the process, they will be prepared to create an audit program. An audit program should detail the following information: Process Objectives Process Risks Controls Mitigating Process Risks Control Attributes, including: Is the control preventing or detecting a risk event? Control frequency e. Does the control mitigate a fraud risk?
Is the control manually performed, performed by an application, or both? An initial assessment of the risk event e. Audit Program and Planning Review Audit programs, especially those for processes that have never been audited before, should have multiple levels of review and buy-in before being finalized and allowing fieldwork to begin. Audit Customer Internal auditors who can create and document audit programs from scratch — and do not rely on template audit programs — will be more capable and equipped to perform audits over areas not routinely audited.
Want to learn more tips to help you create a flexible, risk-based audit program? Internal Audit. The following are some basic concepts that you need to do when preparing internal audit procedures for your internal audit department. From internal audit planning, you will know what areas will perform your internal audit work for the planning period. Some internal audit planning has particular areas; however, sometimes, the cycles are very subjective based on the nature of business.
It is not hard for you to tailor audit procedures for the specific cycles. The first step is taking those cycles like cash and bank, inventories, or purchasing.
As an internal audit is a bit specific and mainly focuses on internal control and economic review, you have to try to understand those areas in detail and document them properly.
After well understanding the internal control and nature of the cycle you want to write the internal audit procedures for, then it the time to do it. You might need Ms.
Word or Excel to prepare your internal audit procedures. Many factors and assertions might want to confirm the cycles you are going to test; however, please always look to the risks you identified during the internal audit planning. Sometimes, the internal audit program asks to do something too much on low risk and asks to do something less on the high-risk areas.
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