Audit System Checklist

Your Company Name

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OUR TEAM

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ABOUT US

CEO
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Amit Smith

CEO
Anita Smith

CEO

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Marry Smith

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AGENDA

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OUR GOAL

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FINANCIAL

50%

55%

70%

80%

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PURPOSE OF AUDIT SYSTEM

Assist In The Creation

Of The Final Report
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Track Activity
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Collect Data
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Perform A Random Data Sample

For Each Audit Procedure
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AUDIT OBJECTIVE

Validity

Completeness

Cutoff

Ownership

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Accuracy

Valuation

Classification

Disclosure

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TYPES OF AUDIT PROCEDURE

Reliability
Validation

Relevance
Confirmation

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01

02

03

Data
Selection

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11

TYPES OF AUDIT

Financial
Statements Audit
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Comprehensive
Audits
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Compliance
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Operational
Audis
TEXT HERE

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Forensic
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AUDIT SYSTEM PROCESS

Re-evaluate /
Review

Objectives /
Standards

Have We Made Things

Better?

What Are We Trying To

Achieve?

Implement
Change

Method / Data
Collection
Are We Achieving It

Doing Something To
Make Thing Better

Data
Analysis
If Not, why Are We
Not Achieving It?

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AUDIT DEVELOPMENT LIFECYCLE

Gain An Understanding
Of The Business

Brainstorm Risks
And Opportunities

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Begin Your Next

Challenge

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01

07

02

06

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Report Recommendations
For Positive Change
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Develop Hypothese
And Set Prionties
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05

03
04

Analyze Risks And

Test Controls
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Assess Results And

Brainstorm Solution
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14

KEY STAGES OF AUDIT (FINANCIAL)

Extensive
Testing
Of
Transactions And
Balances
Substantive
Procedures

Planning Of
The Audit

Assessment Of
The Accounting
And
Internal
Control Systems
And Audit Risk
Assessments

Consideration
Of The Ways
In Which Audit
Evidence Can
Be Sought

Review
Of
Financial
Statements

Testing
Of
Internal Controls
Test Of Control

Audit Report

Extensive Testing
Of Transactions
And
Balances
Substantive
Procedures

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15

AUDIT NOTIFICATION FLOW

Mailbox
Event

System
Event

Process
Control Event

User Session
Event

AUDIT/NOTIFICATION SYSTEM

Alert

Page

E-Mail

Notification Type
Process Control
Event

Process
Control Event

Process
Control Event

Process
Control Event

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16

AUDIT WORKFLOW

System Audit

Questionnaire

Audit Planning

(Collection)

(Demands)

Process Audit

Product Audit

Fmea Audit

AUDIT

EFQM

Results
(Report, Evaluations)

Actions
(Monitoring, Tracking,
Results)

Additional Audit

Repeated Audit

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AUDIT REPORT PROCESS FLOWCHART

Determine The Audit Approach

Ascertain Relevant Systems And

Controls
Document Relevant Systems And
Controls
Confirm Operation Of Systems And
Controls
Evaluate Operation Of Systems And
Control
Submit Interim Mgt And Letter
Select And Perform Test Of
Controls
Select And Perform Substantive
Procedures
Select And Perform Restricted Substantive
Procedures
Carry Out Final Review

Submit Final Management Letter

Report To Members

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CONTINUOUS AUDIT IMPLEMENTATION STEPS

Identifying Monitoring And

Audit Rules

Communicating Results
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Following up
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Configuring parameters
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PROCESS
CONTROL
PANEL

Determining Process
Frequency
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Establishing Priority Areas

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AUDIT SYSTEM CONVERSION

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AUDITING QUALITY

Process

Audit
Quality
Inputs

Outputs

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AUDIT TEST AND AUDIT RISK MODEL

Sufficient Appropriate
Audit Evidence

Audit Risk

Risk Assessment
Procedures

Inherent Risk

Procedures To Understand
Internal Control
Control Risk
Test Of Control

Analytical Procedures
Detection Risk
Test Of Details

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AUDITING CAUSE EFFECT FLOW

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Root Cause
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Root Cause
Materials

Root Cause
Methods

Effects
Resultant Problem

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needs
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your

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AUDIT SYSTEM EVENTS

Computer Configuration
01

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Windows Settings
02

03

04

05

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Security Settings
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Local Policies
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Audit Policy
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AUDIT SYSTEM CHECKLIST

Audit Satisfactory
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Observations Made
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Non Conformance Found

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Excellence
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Service Offering
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25

COMPARISON

Assets

Liabilities
+
Owners
Equity

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26

TARGET
Increasing Organizational
Security

01
Providing Automated
Workflow

Business
Benefits

Leveraging The System

Across The Value Chain

02

07

03

06

05
Strengthening
Commitment

Addressing E Business
Initiatives Promptly

04
Efficiently To Gain And
Maintain Market Share

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27

DASHBOARD

40

Retained
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40

70

30

80

50 60

70

30

80

20

90

20

90

10

100

10

100

110

40

New

50 60

30

50 60

110

40

70
80

30

50 60

80

90

20

90

10

100

10

100

110

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70

20

Converted

110

Attrition
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28

LOCATION

70%

80%

60%

Europe

Asia

North America

80%
Latin America

90%
Africa

50%
Australia

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29

TIMELINE

2020
2019
2018

2017
2016
2015
Step 02
Step 01
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Step 03
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30

POST IT

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Income
Statement

Changes In
Financial
Position

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Balance
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Retained
Earnings

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NEWSPAPER

BUSINESS NEWS
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32

PUZZLE

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your

Collaborative
Leadership

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Venture Capital

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Innovation

Facilitation

Crowdsourcing

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CIRCULAR

Portfolio
Management

Raising Of Sponsor Capital

(Private And Public )

01

Financial Engineering
Refinancing And Sales

02

06

03

05
Financial Engineering
Refinancing And Sales

Establishing Policy And

Legislative Frameworks

04
Monetization/Secondary
Market Trades

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VENN

Growth Equity
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01

03
Buyout
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02
Late- Stage
Venture Capital
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35

MATRIX

Target Similarity

HIGH

Effect ++ ,Benchmarks,
Planning, Checklist, Makes
Process Efficient.

LOW

Acquisition Experience

HIGH

Effect = Harder To Realize ,

Synergies, Slow Process.
Able To Use Little Previous
Experience.

LOW

Effect + Benchmarks,
Planning, Checklist, Process
Efficient, But Less Than
Similar Target.

Effect Due To Wrong

Generations. Harder To
Realize Synergies, Slow
Process. Access External
Experience.

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36

LEGO

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Marketing Strategy
Placement

Product
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Analyze

Price

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Process

Promo

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Cost
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37

SILHOUETTES

Sustain

Sort

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Standardize

Set In Order

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Shine
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38

HIERARCHY

Special Department

Special Department

Special Department

Special Department

Special Department

Special Department

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39

IDEA

Awareness

Knowledge

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02
Improved
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01

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04

Safety &
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BAR GRAPH

Pre-purchase
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Awareness
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Interest
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Consideration,
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41

MIND MAP

Text
Text Here
Text
Text
Text Here
Text

Text
Text Here
Text

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FUNNEL

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Awareness

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Discover

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Reach

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Act
Convert
Engage

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attention.

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QUOTES

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44

THANK YOU
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