Reposting this on behalf of our community member Jen who kindly shared this document with everyone. This document provided comprehensive risk mitigation strategy monitoring. The template is designed by specifically for a NGO project.
Category: Shared Resources
This document was prepared by Karl Sousa and EJ Manalang as part of the Agile Auditing virtual event they led here on Auditopia on August 3, 2021. It lists some FAQ on the topic and answers to questions from community members that we didn’t get to address in the event.
This spreadsheet shared by Claire Worledge was used as the first practical exercise in the virtual event on Thursday July 22nd, 2021 “Segregation of Duties Audit in SAP”. In this spreadsheet we see the methodology followed in order to check who has violated user access, based on the general ledger header table. Normally, this process would be done in a data mining tool (ACL, IDEA, SQL, Alteryx, QLIK), however, here we show it in Excel, for the purpose of understanding the process and to help those of you that don’t have access to any of the above tools.
This list of tables and fields shared by Claire Worledge includes those that were used in the virtual event on July 22nd, 2021 “Segregation of Duties Audit in SAP”. Here we list the SAP tables that help us to determine “who did what” during the period, either in the general ledger, purchase to pay or order to cash.
This a basic SOD matrix for SAP transaction codes. Claire Worledge shared this resource as part of the virtual event “Segregation of Duties Audit in SAP” that she took the lead in on July 22nd, 2021.
The internal control questionnaire (ICQ) includes questions that auditors can use to evaluate a company’s internal controls. This document helps internal and external auditors determine whether a company complies with the internal control system requirements standards.
I have use this workpaper in the past to track the status of my audit findings
Hi all, In the spirit of the Successful Remote Internal Audits community event, please share tools and resources you find really helpful in remote internal audits here. Add them as comments and I’ll compile them in a spreadsheet and attach it here. Add your favorite tool(s) / resource(s) along with a brief description of what you use them for and why they’re really helpful. You can also indicate if it’s a free resource or a paid one if you like (but it’s not required). Let’s get the brainstorming started!
This document highlights some key aspects to take into consideration to successfully execute remote audits