Shared Resources

Everyone can share their own original internal audit resources such as questionnaires, checklists, and audit tools with community members. We’re jointly building an extensive library to see how each of us audits a given subject. You can rate and review each resource and share your perspective in the comments. Reach out to the community requesting a resource you’re looking for or add one of your own. You decide if you’d like to share your documents for free or offer them at a price you set.

Shared Resources

Risk Mitigation Strategy Monitoring

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.

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Agile Auditing FAQ Document

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.

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SAP SOD on P2P Process Document Flow

This worksheet shared by Claire Worledge was used in the virtual event “Segregation of Duties Audits in SAP”, where we did hands-on practical exercises to check for Separation Of Duties issues in the Purchase To Pay document flow in SAP systems. When we check for SOD issues in a document flow, we not only look at risks relating to who has access to what; but we look at who has actually done what during the period. But even more than that, when we look at a document flow, we can see risks relating to specific documents in terms of user access. For example, I create a purchase order, and then I create a goods receipt for that purchase order and then I create an invoice for that goods receipt, and even the payment for the invoice. When we identify such cases, we are identifying risks that are much more “real” than only looking at who has a separation of duties conflict based on their access.

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Excel Model to Compute Who Has Violated User Access In SAP

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.

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Paid Resources

Social Media Audit Work Program (OPS1)

About this template This template is structured similar to an audit file; incorporating audit planning, fieldwork and reporting into the one document. Within this excel …

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Action Tracker (AFM6)

About this templateThis template offers an excel database to record all audit findings and recommendations. A simple dashboard has been included which summarises the results …

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Internal Audit Manual (English) (AFM4)

About this templateInternal Audit teams should be operating in compliance with the International Professional Practices Framework (IPPF) and the International Standards for the Professional Practice …

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Key Controls – Complete Set

About this templateThis set includes the following controls programs: Finance Key Controls IT General Controls / IT Key Controls Entity Level Controls Each template includes …

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Open Resources Requests

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Support your fellow community members by making one of your internal audit resources freely available.

 

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