Audit and Compliance Toolkit

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Break the cycles of over compliance and non compliance

 

Does internal audit have a consistent and effective Audit and Compliance program set forth and completed over the financial risk management functions of your organization?

Is your organizations internal Audit and Compliance function independent of the function and operational areas of your organization and senior management?

Can the internal audit department audit all activities and departments of your organization?

What changes should your organization make to its internal audit practices and policies?

Do you have internal and/or external Audit and Compliance needs?




...Find the answers to these, and more, questions with this Audit and Compliance Toolkit:

  • Monitor compliance with records and information management policies and procedures, including your records retention schedule.
  • Obtain information about your supply chain compliance requirements.
  • Get value from your risk and compliance data and inform business decisions from solutions already in the marketplace.
  • Use technology to make your compliance program more effective.
  • Improve security compliance in your organization.
  • Manage the compliance performance data of your supply chain.
  • Improve your compliance process and protect your organization.
  • Demonstrate effective communication about your Compliance Program.
  • Implement export compliance training in your organization.



HOW THIS TOOLKIT WORKS:

Save time, empower your teams and effectively upgrade your processes with access to this practical Audit and Compliance Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Audit and Compliance related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Audit and Compliance specific requirements:


STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Audit and Compliance Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a data driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

  • Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

Then find your goals...


STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 997 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Audit and Compliance improvements can be made.

Examples; 10 of the 997 standard requirements:

  1. Are all key managerial personnel, department and staff members familiar with the policies, finance and accounting guidelines and procedures, and other relevant operating and compliance requirements?

  2. Are you required to report any knowledge, suspicion, or information regarding an incident of sexual abuse or sexual harassment to a designated supervisor or official immediately upon learning of it?

  3. Have the engagement objectives been designed with consideration of the risks relevant to the activity under review, probability of significant errors, fraud, noncompliance and other exposures?

  4. Does the venue have documented procedures that have been implemented to ensure that all barring enquiries and approaches for the making of barring orders are responded to in a timely manner?

  5. Is it possible to streamline hundreds or thousands of file transfers while still meeting the needs of trading partners, ensuring regulation compliance, and preparing for organization audits?

  6. Do your organizations monitoring efforts indicate that preventative measures taken in response to non compliance are effective in eliminating future instances of similar non compliance?

  7. Are there shorter, more targeted training sessions to enable employees to timely identify and raise issues to appropriate compliance, internal audit, or other risk management functions?

  8. Does analysis of the results of repeat audits indicate an upward trend of improvement in your organizations understanding of and compliance with internal and external standards?

  9. Has the employer promptly determined and documented an appropriate response to each of the findings of the compliance audit, and document that deficiencies have been corrected?

  10. What role should auditors play in determining whether the directors are complying with relevant laws and regulations, including with respect to matters of capital maintenance?


Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

  • The workbook is the latest in-depth complete edition of the Audit and Compliance book in PDF containing 997 requirements, which criteria correspond to the criteria in...

Your Audit and Compliance self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

  • The Self-Assessment Excel Dashboard; with the Audit and Compliance Self-Assessment and Scorecard you will develop a clear picture of which Audit and Compliance areas need attention, which requirements you should focus on and who will be responsible for them:

    • Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
    • Gives you a professional Dashboard to guide and perform a thorough Audit and Compliance Self-Assessment
    • Is secure: Ensures offline data protection of your Self-Assessment results
    • Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:

 

STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Audit and Compliance projects with the 62 implementation resources:

  • 62 step-by-step Audit and Compliance Project Management Form Templates covering over 1500 Audit and Compliance project requirements and success criteria:

Examples; 10 of the check box criteria:

  1. Activity Duration Estimates: Is risk identification completed regularly throughout the Audit and Compliance project?

  2. Risk Audit: Are corresponding safety and risk management policies posted for all to see?

  3. Cost Management Plan: Contingency how will cost contingency be administered?

  4. Source Selection Criteria: What are the most critical evaluation criteria that prove to be tiebreakers in the evaluation of proposals?

  5. Project or Phase Close-Out: Who exerted influence that has positively affected or negatively impacted the Audit and Compliance project?

  6. Variance Analysis: What is the total budget for the Audit and Compliance project (including estimates for authorized and unpriced work)?

  7. Procurement Audit: Are incentives to deliver on time and in quantity properly specified?

  8. Procurement Audit: Is it tested periodically, whether your organizations way of handling tasks is competitive in relation to price and quality?

  9. Initiating Process Group: Although the Audit and Compliance project manager does not directly manage procurement and contracting activities, who does manage procurement and contracting activities in your organization then if not the PM?

  10. Human Resource Management Plan: Are all payments made according to the contract(s)?

 
Step-by-step and complete Audit and Compliance Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

  • 1.1 Audit and Compliance project Charter
  • 1.2 Stakeholder Register
  • 1.3 Stakeholder Analysis Matrix


2.0 Planning Process Group:

  • 2.1 Audit and Compliance project Management Plan
  • 2.2 Scope Management Plan
  • 2.3 Requirements Management Plan
  • 2.4 Requirements Documentation
  • 2.5 Requirements Traceability Matrix
  • 2.6 Audit and Compliance project Scope Statement
  • 2.7 Assumption and Constraint Log
  • 2.8 Work Breakdown Structure
  • 2.9 WBS Dictionary
  • 2.10 Schedule Management Plan
  • 2.11 Activity List
  • 2.12 Activity Attributes
  • 2.13 Milestone List
  • 2.14 Network Diagram
  • 2.15 Activity Resource Requirements
  • 2.16 Resource Breakdown Structure
  • 2.17 Activity Duration Estimates
  • 2.18 Duration Estimating Worksheet
  • 2.19 Audit and Compliance project Schedule
  • 2.20 Cost Management Plan
  • 2.21 Activity Cost Estimates
  • 2.22 Cost Estimating Worksheet
  • 2.23 Cost Baseline
  • 2.24 Quality Management Plan
  • 2.25 Quality Metrics
  • 2.26 Process Improvement Plan
  • 2.27 Responsibility Assignment Matrix
  • 2.28 Roles and Responsibilities
  • 2.29 Human Resource Management Plan
  • 2.30 Communications Management Plan
  • 2.31 Risk Management Plan
  • 2.32 Risk Register
  • 2.33 Probability and Impact Assessment
  • 2.34 Probability and Impact Matrix
  • 2.35 Risk Data Sheet
  • 2.36 Procurement Management Plan
  • 2.37 Source Selection Criteria
  • 2.38 Stakeholder Management Plan
  • 2.39 Change Management Plan


3.0 Executing Process Group:

  • 3.1 Team Member Status Report
  • 3.2 Change Request
  • 3.3 Change Log
  • 3.4 Decision Log
  • 3.5 Quality Audit
  • 3.6 Team Directory
  • 3.7 Team Operating Agreement
  • 3.8 Team Performance Assessment
  • 3.9 Team Member Performance Assessment
  • 3.10 Issue Log


4.0 Monitoring and Controlling Process Group:

  • 4.1 Audit and Compliance project Performance Report
  • 4.2 Variance Analysis
  • 4.3 Earned Value Status
  • 4.4 Risk Audit
  • 4.5 Contractor Status Report
  • 4.6 Formal Acceptance


5.0 Closing Process Group:

  • 5.1 Procurement Audit
  • 5.2 Contract Close-Out
  • 5.3 Audit and Compliance project or Phase Close-Out
  • 5.4 Lessons Learned

 

Results

With this Three Step process you will have all the tools you need for any Audit and Compliance project with this in-depth Audit and Compliance Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Audit and Compliance projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
  • Implement evidence-based best practice strategies aligned with overall goals
  • Integrate recent advances in Audit and Compliance and put process design strategies into practice according to best practice guidelines

Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Audit and Compliance investments work better.

This Audit and Compliance All-Inclusive Toolkit enables You to be that person.

 

Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.





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CONTENTS:


Checklists:


Checklists:Audit and Compliance Checklist Report on AUDIT.pdf

Checklists:Audit and Compliance Checklist Report on ORGANIZATION.pdf

Checklists:Audit and Compliance Checklist Report on RISK.pdf

Checklists:Audit and Compliance Checklist Report on PROCESS.pdf

Checklists:Audit and Compliance Checklist Report on MANAGEMENT.pdf

Checklists:Audit and Compliance Checklist Report on COMPLIANCE.pdf

Checklists:Audit and Compliance Checklist Report on CONTROLS.pdf



STEP 1 Get your bearings:


STEP 1 Get your bearings:Audit_and_Compliance_Quick_Exploratory_Self-Assessment_Guide.pdf

STEP 1 Get your bearings:Audit and Compliance Self-Assessment Pre-Filled EXAMPLE.xlsx





STEP 2 Set concrete goals tasks dates and numbers you can track:


STEP 2 Set concrete goals tasks dates and numbers you can track:Audit_and_Compliance.pdf

STEP 2 Set concrete goals tasks dates and numbers you can track:Audit and Compliance Self-Assessment.xlsx

..and the Project Management resources in 'STEP 3: Implement, Track, follow up and revise strategy' as described above.

 

 

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