Audit Toolkit

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Confirm your organization assess client Business Processes, Information Systems and Internal Controls, and perform advanced Data Analytics using technology based audit techniques,

More Uses of the Audit Toolkit:

  • Create a culture of proactive accountability for security , compliance and identification of process, policy and security gaps to mitigate audit findings and missed deadlines.

  • Drive supplier Performance Improvement through objective measurement and analysis of production line yields, quality audits, reliability testing, and field returns.

  • Develop, standardize, and implement methods and processes to regularly track and assess audit and compliance review progress and outcomes in relation to goals established.

  • Coordinate and ensure employees satisfy corporate training and certification requirements, and collaborate with the Compliance Team to facilitate Internal Audit readiness.

  • Ensure you write; certified Information Systems auditor (cisa) designation or certified Information Systems security professional (cissp), or certified Information security management (cism).

  • Collaborate with security and grc to support development and maturity of controls and continuous compliance testing, audit, and evidence through Customer Feedback analysis.

  • Establish: work hand in hand with employees in it, legal and compliance, Internal Audit, finance, operations, Business Intelligence, lending and member facing teams to create a security and privacy culture of compliance.

  • Confirm your organization ensures proper Configuration Management and Change Controls are implemented to promote system stability and to provide an audit trail of modifications.

  • Be certain that your organization audits internal messages and communication materials by reviewing appropriateness and developing innovative and relevant methods for communication.

  • Analyze, understand and articulate regulatory and contractual requirements and apply identified requirements to Business Operations when supporting regulatory / External Audits.

  • Collaborate with legal, operations, risk and other cross functional teams to ensure that money movements are reliable, compliant and fully auditable.

  • Develop Data Governance, Policies and Procedures to ensure Data integrity and compliance with corporate, SOX and other regulatory, audit and compliance standards and controls.

  • Manage work with other IT and security governance team members and department heads across your organization to formulate and perform tests, audit protocols, and other techniques to uncover network vulnerabilities.

  • Execute IT Audit procedures based on risk and impact to the business, across different applications, technologies and Business Processes, and in collaboration with internal and external partners and monitor completion of planned actions.

  • Secure that your organization participates in formal technical review as Preliminary Design Review and Critical Design Review, and facilitates execution of functional/Physical Configuration Audits.

  • Maintain the systems and actions necessary to ensure compliance with department certification programs, Quality System Audit Program, and ISO 9000 registration.

  • Support IT Leaders with controls remediation plans and IT Process Improvement and remediation activities to meet stringent regulatory and audit requirements.

  • Provide support to Security in the development of appropriate audit controls and procedures to ensure the integrity and protection of organization resources.

  • Perform periodic audits of your organizations SharePoint access rights and permission levels to ensure the appropriate users and groups have access.

  • Lead: proactively identify audit and compliance access related issues to reduce the risk of security exposures on the support systems and work with various teams to implement the improvements.

  • Be accountable for ensuring that all audit liaison work by the Fund Accounting Team are planned in advance and that the Audit Process is planned and managed efficiently and effectively and in partnership with clients and auditors.

  • Support it ops throughout the Audit Process from pre audit preparedness activities to post audit meetings in gathering information, reporting result and recommending Process Improvement actions.

  • Ensure service is delivered in line with agreed upon targets; Compliance Controls, procedures, quality audits, Service Level Agreements (SLAs) and Key Performance Indicators (KPIs).


Save time, empower your teams and effectively upgrade your processes with access to this practical Audit Toolkit and guide. Address common challenges with best-practice templates, step-by-step Work Plans and maturity diagnostics for any Audit 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 specific requirements:

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Audit 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 998 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 improvements can be made.

Examples; 10 of the 998 standard requirements:

  1. Do you change the Connect-It scenario to add auditing programs to parse mapping process logs that determine a successful run or failed case for ETL process administration notifications?

  2. Are you able to provide assurance that the audit trail will be maintained over the retention period of its associated data regardless of upgrades to the software or operating system?

  3. Which processes audits the quality requirements and the results from Quality Control measures to ensure appropriate Quality Standards and operational definitions are used?

  4. How and with what frequency does the regulatory body audit its Internal Processes to verify conformance with policies and plans and adherence to established procedures?

  5. Is your organization required to meet specific regulatory standards which define security requirements, including complete audit trails within your ITSM system?

  6. When establishing a Quality Assurance and improvement program, the chief audit executive should ensure the program is designed to accomplish which objectives?

  7. Is the storage of auditing information, the system data repository and the managed item data repository included in the calculation of the storage footprint?

  8. How does the External Auditors reliance on the clients Internal Audit function impact auditor-client negotiations in an Internal Controls audit?

  9. Does the facility externally audit or assess its safety and health performance to ensure accuracy and reliability of performance information?

  10. Is there an internal quality audit program that covers all areas of the operation to verify that Procedures And Policies are being followed?

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 book in PDF containing 998 requirements, which criteria correspond to the criteria in...

Your Audit 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 Self-Assessment and Scorecard you will develop a clear picture of which Audit 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 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 projects with the 62 implementation resources:

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

Examples; 10 of the check box criteria:

  1. Team Directory: Process decisions: are all start-up, turn over and close out requirements of the contract satisfied?

  2. Lessons Learned: How well did the scope of the Audit project match what was defined in the Audit project Proposal?

  3. Assumption and Constraint Log: Have all involved stakeholders and work groups committed to the Audit project?

  4. Source Selection Criteria: What documentation is necessary regarding electronic communications?

  5. Initiating Process Group: How well did the chosen processes produce the expected results?

  6. Variance Analysis: Are the bases and rates for allocating costs from each indirect pool consistently applied?

  7. Probability and Impact Assessment: Is it necessary to deeply assess all Audit project risks?

  8. Schedule Management Plan: Have activity relationships and interdependencies within tasks been adequately identified?

  9. Procurement Audit: In open and restricted procedures, did the contracting authority make sure that there is no substantive change to the bid due to this clearing process?

  10. Human Resource Management Plan: Are Software Metrics formally captured, analyzed and used as a basis for other Audit project estimates?

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

1.0 Initiating Process Group:

2.0 Planning Process Group:

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 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 project or Phase Close-Out
  • 5.4 Lessons Learned



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

In using the Toolkit you will be better able to:

  • Diagnose Audit 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 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 investments work better.

This Audit 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.