Show:
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
This spreadsheet is embedded within the Planning Memo, and includes a contingency plan for the audit.
What is the audit and administrative responsibilities spreadsheet?
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
Abbreviated as APG, these are used for documenting the date of interview and attendees, work that was performed. test results, and link or reference to specific corresponding work papers.
What are Audit Program Guides?
200
These two individuals (audit roles) are required to review and approve the planning memo prior to issuance?
Who are the TC and Job Manager(s)?
200
The “Date” and list “Company Attendees” in initial cycle walkthrough minutes must be documented in the APG?
TRUE
300
This firm performed an External Quality Assessment Review of CIA in May 2011.
Who is Ernst and Young (E&Y)?
300
These are some of the major responsibilities for staff members during planning week in order to prepare for an engagement?
What are drafting and/or reviewing the Planning Memo, obtaining an understanding of assigned areas by taking Learn-Live classes, asking TC and/or Job Manager questions, holding overview discussions with Company contacts, selecting samples, etc
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
Known as IIA, this governing body is is the internal audit profession's global voice, recognized authority, acknowledged leader, chief advocate, and principal educator.
What is the Institute of Internal Auditors?
400
This is the time when the customer survey is required to be sent to the CIA Admin mailbox?
What is planning week?
400
Name five attributes that must be completed in the Test Cover Sheet?
Test purpose / objective, Source, Scope, Quantity, Methodology
500
Audit Report - Database Wrap up Guidance and Audit Comment Follow Up Guidance are two of five Internal Operating Guidance documents available for reference within the QAR folder of the CIA Sharepoint site. These are the other three.
What are Audit Planning Phase, Audit Supervision, and Audit Workpaper documentation guidance?
500
These are the five individuals (or titles) that are required to be included in Planning Memo distribution list besides the Job Manager, TC, and team members (name three).
Who are: - CIA Coorindator II - Zakia Dukes - CIA Executive Assistant - Cheryl Gaugler - Finance Audit Director(s) - Corporate Internal Audit - Chris Sirimis - IT Audit Director - Corporate Internal Audit - Lars Williamson - Finance or IT Audit Manager for MRC not involved in the audit 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