IAD-Section C - Audit Procedures And Techniques

Section C - Audit Procedures And Techniques

PROCEDURE	SUBJECT

C-1	Project Management
C-1.1	Assigning the Audit
C-1.2	Auditee Notification
C-1.2.1	Auditee Notification Formats
C-1.2.2	Client Communications - Email Disclaimer
C-1.2.3	Communication – Basic Considerations
C-1.3	Board of Regents Audit Schedule
C-1.4	Roles and Responsibilities Checklist
C-2	Workpaper Organization, Review, and Retention
C-2.1	File Front
C-3	Audit Planning and Risk Assessment
C-3.1	General Planning Document
C-3.2	Department Review Planning Matrix
C-3.3	Dean’s Review Risk Assessment Worksheet
C-3.4	General Risk Assessment Worksheet
C-4	Time Budgets
C-5	Audit Program
C-6	Sample Selection/Extent of Testing
C-7	Entrance Conference Agenda
C-8	Finding Format
C-9	Exit Conference Agenda
C-10	Audit Reports
C-10.1	Reporting Checklist
C-10.2	Distribution Matrix
C-10.3	Audit Report Status
C-11	Individual Departmental Review Reports (In Progress)
C-12	Post-Audit Review Form
C-13	Closing the Audit

	IT AUDITING
C-14	EDP Audit Function
C-15	Personal Computing Guidelines
C-16	Laptop Check Out/Home Use of PC

	INVESTIGATIONS
C-17	Investigations

	MANAGEMENT CONSULTING PROJECTS
C-18	Management Consulting Projects
C-19	Miscellaneous Management Requests
C-19.1	Miscellaneous Management Requests Log

-Tel:-(713) 743-8000
Fax:(713) 743-8015

University Business Park,
5000 Gulf Freeway, Bldg. 3, Room 281, Houston, TX 77204-0930,
Campus Mail Code: AUDIT-0930

UHS- Internal Auditing Department