Conduct of internal audit
This query is : Resolved
11 August 2007
12 August 2007
??
Message likes :
1 times
16 August 2007
Audit Scope Planner
Audit title: Audit reference:
Audit location:
www.adm.bham.ac.uk/finance/audit
Risk based scope planner (ver 2).doc
No. Question Answer
1. What are the (key) objectives of
your unit?
How are these relevant to the
identified objectives of the
Corporate Plan?
2. Describe the regulatory
environment for your school / unit.
In particular, are there any laws,
rules or regulations that you know
you specifically have to work
within?
NB – this can also include
specific University policies for the
area concerned.
What are the consequences of
not complying with these
requirements?
3. What information do you draw
upon, and what records do you
maintain to help you manage your
school / unit?
Detail the types of information
used, their sources and how you
ensure that it is accurate
meaningful and reliable. How
effective are they in helping the
school / unit manage the other
aspects of its work as defined in
questions 1,2, 4 & 5?
4. How do you ensure that your
processes and activities remain
effective, efficient and
economical?
Do you review or compare your
school / unit on a regular basis to
secure improvements in
operations and costs?
28/11/03
University of Birmingham Internal Audit Service
Audit Scope Planner
Audit title: Audit reference:
Audit location:
www.adm.bham.ac.uk/finance/audit
Risk based scope planner (ver 2).doc
No. Question Answer
5. What are the key assets and
resources that you use for the
successful operation of your
school / unit?
How do you safeguard your
investment in them and ensure
that they are employed for
optimum use?
6. How would you measure the
success of your unit?
Compare response to VFM
issues arising from Q4 above.
7. What are the factors that could
potentially help you achieve your
objectives?
8. What are the factors that could
potentially prevent you from
achieving your objectives?
9. How would you describe your
unit’s attitude / approach towards
risk?
28/11/03
University of Birmingham Internal Audit Service
Audit Scope Planner
Audit title: Audit reference:
Audit location:
www.adm.bham.ac.uk/finance/audit
Risk based scope planner (ver 2).doc
No. Question Answer
10. What are the key challenges and
changes facing your school / unit
over:
�� The next year?
�� The next three years?
How do they relate to the
Corporate Plan?
How do you intend to address
them?
11. If you had additional resources
how would you use them?
Link answer back to answers
from questions 1 to 5 but with
specific emphasis on the
accomplishment of objectives
(question 1).
12. What is the worst thing that could
happen in your unit?
Relate answer to answers from
questions 1 to 5.
Audit title: Audit reference:
Audit location:
www.adm.bham.ac.uk/finance/audit
Risk based scope planner (ver 2).doc
No. Question Answer
1. What are the (key) objectives of
your unit?
How are these relevant to the
identified objectives of the
Corporate Plan?
2. Describe the regulatory
environment for your school / unit.
In particular, are there any laws,
rules or regulations that you know
you specifically have to work
within?
NB – this can also include
specific University policies for the
area concerned.
What are the consequences of
not complying with these
requirements?
3. What information do you draw
upon, and what records do you
maintain to help you manage your
school / unit?
Detail the types of information
used, their sources and how you
ensure that it is accurate
meaningful and reliable. How
effective are they in helping the
school / unit manage the other
aspects of its work as defined in
questions 1,2, 4 & 5?
4. How do you ensure that your
processes and activities remain
effective, efficient and
economical?
Do you review or compare your
school / unit on a regular basis to
secure improvements in
operations and costs?
28/11/03
University of Birmingham Internal Audit Service
Audit Scope Planner
Audit title: Audit reference:
Audit location:
www.adm.bham.ac.uk/finance/audit
Risk based scope planner (ver 2).doc
No. Question Answer
5. What are the key assets and
resources that you use for the
successful operation of your
school / unit?
How do you safeguard your
investment in them and ensure
that they are employed for
optimum use?
6. How would you measure the
success of your unit?
Compare response to VFM
issues arising from Q4 above.
7. What are the factors that could
potentially help you achieve your
objectives?
8. What are the factors that could
potentially prevent you from
achieving your objectives?
9. How would you describe your
unit’s attitude / approach towards
risk?
28/11/03
University of Birmingham Internal Audit Service
Audit Scope Planner
Audit title: Audit reference:
Audit location:
www.adm.bham.ac.uk/finance/audit
Risk based scope planner (ver 2).doc
No. Question Answer
10. What are the key challenges and
changes facing your school / unit
over:
�� The next year?
�� The next three years?
How do they relate to the
Corporate Plan?
How do you intend to address
them?
11. If you had additional resources
how would you use them?
Link answer back to answers
from questions 1 to 5 but with
specific emphasis on the
accomplishment of objectives
(question 1).
12. What is the worst thing that could
happen in your unit?
Relate answer to answers from
questions 1 to 5.
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