Questions To Ask During An Audit Walkthrough Oct 25 9 What is the purpose of audit walkthroughs How do you document walkthroughs Is it better to use checklists flowcharts or summarize narratively How often should walkthroughs be performed Are they required Will a walkthrough allow me to assess control risk at less than high
Process owners often ask us what the auditors are going to ask them during the walk through These are the top 6 questions to keep in mind as you prepare for a walk through with your auditors Click here to watch the video It s easier to understand if you are an audio visual learner The content below is Personnel Interviewed Clause 9 2 As part of the internal audit records you will need to define the individuals who were interviewed or were involved in the internal audit This these person s should be in the process of being audited Documentation Reviewed Clauses 4 4 1 and 7 5
Questions To Ask During An Audit Walkthrough
Questions To Ask During An Audit Walkthrough
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Option 1 Record the meeting When working virtually as most of us currently are many video conferencing tools allow you to record the meeting Recording the meeting not only provides the audit team with a reference point if they want to go back and double check something in the process but can be used as great evidence for your walkthrough The following questions should be answered and approved before fieldwork begins Why was the audit project approved to be on the internal audit plan How does the process support the organization in achieving its goals and objectives What enterprise risk s does the audit address
The auditor will often ask management audit walkthrough questions An auditor will usually request all documentation relating to the process and procedures for her review according to Insights Sample Audit Committee Questions to Ask of Auditors and Management Download the PDF Version To assist the audit committee in performing its duties the following is a list of questions it may ask the auditors and management in the context of periodic discussions i e audit planning meeting and post audit meetings
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When auditing each process identified by the organization there are basic questions that should be asked for example Is the process identified and appropriately defined Is the process identified and appropriately defined inputs outputs resources controls Are responsibilities of process owner and process performers assigned The EY Global Audit Methodology EY GAM S03 Understand Flows of Transactions WCGW s and Controls of EY GAM requires us to gain an While performing the walkthrough we ask probing questions about the client s processes and procedures and related controls to gain a sufficient understanding to be able to identify important
Overview A walkthrough test is an auditing technique that examines a process from initiation to completion The purpose is to observe the effective implementation of internal controls devised by an organization An auditing team can evaluate any accounting and non accounting process The facility and where you should focus your attention during the walk through audit Lighting Systems Material Handling Systems Motors Belts and Drives Hydraulic Systems Yes No This section provides a checklist of questions to ask or to look for that will help you to identify existing conditions in the facility that offer
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Questions To Ask During An Audit Walkthrough - Option 1 Record the meeting When working virtually as most of us currently are many video conferencing tools allow you to record the meeting Recording the meeting not only provides the audit team with a reference point if they want to go back and double check something in the process but can be used as great evidence for your walkthrough
