4 responses to “Audit Tips for the New Year

  1. CS

    You’ve got a academic way of writing which I don’t often run into. Just thought I’d let you know :D


  2. Re keeping a list of things to follow-up, I include a row in my audit checklists for stuff that doesn’t fit the current audit scope, or that smelt fishy (but I wasn’t able to locate the corpse!), or that might be worth poking at the next time I do a similar audit, or that someone has ‘assured’ me is OK (but I’m too cynical to accept), or whatever. It’s not a separate list, but is searchable. Looking over relevant previous audit findings and working papers is a routine part of starting an new audit, so it’s a good way to prompt my failing memory.

    Another tip is to develop templates for all the documents you normally use, making it quicker and easier to start a new assignment. This is an excellent way to make the whole department’s output more consistent and polished too, provided everyone knows how to use the templates and understands the value of not meddling with settings such as the styles, fonts, font sizes etc. (they should all be change-controlled, with a process to review proposed changes and make them properly, if agreed).


    • Thanks for your tips, Gary.
      The dept I’m currently in keeps an audit universe list and adds any followup items or things to check under the appropriate audit. If it doesn’t fit anywhere, we make a new category.


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