Quality Control Checklist Fieldwork - AuditNet
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Prepared by: _____
Date: _____
Reviewed by: _____
Date: _____
INTERNAL AUDIT
(Audit Project Title & No.)
FIELDWORK PHASE
QUALITY CONTROL CHECKLIST
Fieldwork includes all efforts to accumulate, classify, and appraise information so that we can express an opinion and provide recommendations for improvement. Fieldwork implies measurement and evaluation and the existence or development of standards. Fieldwork can be performed through survey or detailed tests. The techniques used will depend on the particular situation but may include observing questioning, analyzing, comparing, investigating and evaluating.
Fieldwork will usually include some form of testing, which includes:
1. Determining standards.
2. Defining population.
3. Selecting a sample.
4. Examining selected information.
We should review fieldwork workpapers to be sure that work was performed in a professional and thorough manner and that work and workpapers adequately support findings and recommendations.
To facilitate reviewing work for the Fieldwork Phase the following checklist is provided. Yes answers are acceptable work and no answers require some response or action on the part of the auditor in charge.
| | | | |
|Item |Yes |No |Review Comments |
|1. Has an audit program been prepared and used which list audit | | | |
|procedures to be performed, objectives of those procedures, estimated | | | |
|time to perform, and initialed, dated, and with workpaper references when| | | |
|completed? | | | |
|2. Have all the facts, findings, and recommendations contained in the | | | |
|draft report been cross-referenced to supporting workpapers? | | | |
|3. Are workpapers: | | | |
|Neat and uniform? | | | |
|Indexed lower right corner? | | | |
|Initialed & dated by preparer? | | | |
|Do workpapers: | | | |
|Include a descriptive title? | | | |
|Include an appropriate heading? | | | |
|Include section objectives? | | | |
|Reflect the source of information? | | | |
|Include a summary of work preformed with cross-references? | | | |
|Include a conclusion? | | | |
|5. Were all findings and recommendations discussed with agency management| | | |
|and their feedback obtained and documented throughout the course of the | | | |
|audit? | | | |
|8. 66. Do all workpapers clearly indicate audit procedures performed? | | | |
|7. Have all workpapers been reviewed and approved? | | | |
|8. Was the work performed within the agreed upon time budget? If not why | | | |
|not? | | | |
|9. Did the auditor-in-charge document a final evaluation of controls on | | | |
|the risk assessment form? | | | |
|10. Was the Potential Audit Areas form completed? | | | |
All quality control review points have been cleared
__________________________________ __________
Auditor-In-Charge Date
................
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