General QAR
Planning Memo & Planning Meeting
Testing & APG Documentation
Database (PAWS) Documentation & Review
100
Abbreviated as "QAR", this was established to help formalize our current processes related to audit activity, as well as create Internal Operating Guidance to compliment our current Policy Manual.
What is Quality Assessment Review?
100
Is it true tha cycle area SOP are required to be uploaded in PAWS?
TRUE
100
It is not necessary to include an explanation if the test section is deemed Not Applicable
FALSE
200
What is APG?
Audit Program Guidance
200
Who must review and approve the planning memo prior to issuance?
TC & Job Manager
200
The “Date” and list “Company Attendees” in initial cycle walkthrough minutes must be documented in the APG?
TRUE
300
What is PAWS?
Pentana Audit Work Solution
300
Name some of the major responsibility for staff members during planning week?
Planning Memo & Obtain an understanding of their area by taking Learn-Live classes, ICH and WWP
300
Auditors are NOT required to upload / attach / copies of any detail test selections - It does not matter if the sample passed or failed – except for the below items:
1.) Account reconciliations (quarterly selected accounts) 2.) supporting documentation should be attached for the most recent period selected
400
What is I.I.A?
Institute of Internal Auditors
400
When is the customer survey step required to send to CIA Admin mailbox?
Planning Week
400
Name five attributes that must be completed in the Test Cover Sheet?
Test purpose / objective, Source, Scope, Quantity, Methodology
500
What is I.O.G?
Internal Operating Guidance
500
Name five titles of the individuals that are required to be included in Planning Memo distributions list besides the TC and Job Manager?
CIA Coordinator II, CIA Executive Assistant, Finance Director – CIA ( C. Sirimis), Finance Director –CIA ( B. White) , IT Director ( L. Williamson)
500
If the source file is too large, it may not be practical to upload the original file.  In such case, auditor is required to:
1.) Include a copy of the print screen or include the sample selected in the original format. 2.) Narrative related to source file criteria and how the file was obtained must be documented in detail
500
What four areas should the auditor clearly document a FINDING?
1.) Applicable step within APG 2.) Test Template 3.) Test Results/Details 4.) Finding in PAWs
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