Audit Evidence Toolkit

Downloadable Resources, Instant Access

Not sure if this is for you?

Complete this form to receive access to the Toolkit content
Contact Email  *
First Name *
Last Name 
*Required Fields
Note: If your timing isn't quite right yet, we'll keep you updated through our newsletter. You can always choose to opt out when you feel the information is no longer relevant to your situation. 

Ensure your organization plans and performs reviews of corporate and field processes; prepares audit programs and work papers detailing audit procedures, ensuring adequate audit evidence is obtained in accordance with departmental and professional standards.

More Uses of the Audit Evidence Toolkit:

  • Ensure your organization performs independent review with the use of data analysis procedures on populations of transactions to validate the adequacy and effectiveness of business processes, internal controls, and regulatory compliance.

  • Systematize: review audit workpapers prepared by the audit staff and provide constructive feedback and coaching to ensure audit objectives are met while contributing to the professional development of the audit staff.

  • Ensure your organization creates architectural artifacts; provides standards and governance oversight for the platform development deriving strict guidelines to adhere to industry security standards.

  • Ensure primary client contact and liaison for complex issues that staff are unable to resolve; communicate effectively with clients and develop positive relationships with client personnel.

  • Systematize: internal audit partners with the business to focus on the most important risks and issues facing your organization and delivers results that will make the biggest positive impact.

  • Standardize: ensure completion of audits to ensure that appropriate controls exist, that processing is efficient and accurate, and that procedures are in compliance with corporate standards.

  • Communicate objectively and openly with Senior leadership about potential areas of risk, assign and assess risk factors, and recommend appropriate next steps/considerations.

  • Maintain and update department processes and audit manuals; manage potential changes during the year; coordinate scheduling periodic review with audit management and stakeholders; and maintain version control.

  • Consult with management in developing appropriate corrective actions for deficiencies noted or in developing controls for new or changed business systems or business processes.

  • Apply internal control concepts in a wide variety of information technology processes and appropriately assess the exposures resulting from ineffective or missing control practices.

  • Ensure your organization participates in the evaluation of vendor hardware, software, and telecommunications equipment products; recommends purchases consistent with your organizations short and long term objectives.

  • Ensure your organization contributes to the planning and review of audit programs appropriate to you organization, prepared by the team, in order to assess whether the planned audit tests will obtain sufficient and appropriate evidence.

  • Establish trust and rapport with Trading and Sales Desks, Business Managers, Compliance, Internal Audit, Financial Control, Middle Office, Operations, Technology and Legal functions.

  • Ensure primary client contact and liaison for complex issues that staff are unable to resolve; communicate effectively with clients and develop positive relationships with client personnel .

  • Advise teams leading system implementations or other projects to ensure adequate controls are designed and incorporated, change control guidelines are followed, and process changes are documented.


Save time, empower your teams and effectively upgrade your processes with access to this practical Audit Evidence Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Audit Evidence related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Audit Evidence specific requirements:

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Audit Evidence Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a data driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

  • Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

Then find your goals...

STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 998 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Audit Evidence improvements can be made.

Examples; 10 of the 998 standard requirements:

  1. Was there a labor distribution analysis; a review of hours and rates per the labor distribution reports and comparison to employee timesheets and payroll register or other payroll records?

  2. May an employer auditor use the plan auditors report as evidence about the fiduciary net position and changes in fiduciary net position for the audit of the employers financial statements?

  3. How will auditors requirements around auditability influence internal processes, information gathering, and the provision of evidence in support of increasingly future oriented disclosure?

  4. Review the clients bonus/incentive compensation plan to ensure that objective, performance-based criteria were established, communicated to staff, and used in determining bonus amounts?

  5. Have procedures been developed to identify and track the environmental training needs of all personnel who have responsibility for processes that have significant environmental impact?

  6. Did the cpa issue a report on the internal control and compliance with laws, regulations, and provisions of contracts or grant agreements as required by government auditing standards?

  7. Audit opinion. did the report contain an opinion stating that the audited indirect cost rate schedule was fairly presented in accordance with applicable federal laws and regulations?

  8. Information technology system policies around: hardware/software, security protocol, activation/deactivation of employees; completion of risk assessment; electronic data retention?

  9. The establishment and operation of an independent audit regime to evidence compliance to relying parties and regulators, ensuring privacy and preventing fraud and theft is done?

  10. Have procedures (and/or an emergency response plan) been developed to respond to and report accidents, spills, malfunctions, process upsets, and other emergency situations?

Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

  • The workbook is the latest in-depth complete edition of the Audit Evidence book in PDF containing 998 requirements, which criteria correspond to the criteria in...

Your Audit Evidence self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

  • The Self-Assessment Excel Dashboard; with the Audit Evidence Self-Assessment and Scorecard you will develop a clear picture of which Audit Evidence areas need attention, which requirements you should focus on and who will be responsible for them:

    • Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
    • Gives you a professional Dashboard to guide and perform a thorough Audit Evidence Self-Assessment
    • Is secure: Ensures offline data protection of your Self-Assessment results
    • Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:


STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Audit Evidence projects with the 62 implementation resources:

  • 62 step-by-step Audit Evidence Project Management Form Templates covering over 1500 Audit Evidence project requirements and success criteria:

Examples; 10 of the check box criteria:

  1. WBS Dictionary: Intermediate schedules, as required, which provide a logical sequence from the master schedule to the control account level?

  2. Issue Log: How is this initiative related to other portfolios, programs, or Audit Evidence projects?

  3. Team Performance Assessment: If you have received criticism from reviewers that your work suffered from method variance, what was the circumstance?

  4. Requirements Documentation: Where do system and software requirements come from, what are sources?

  5. Cost Management Plan: Have activity relationships and interdependencies within tasks been adequately identified?

  6. Project Performance Report: To what degree does the teams work approach provide opportunity for members to engage in fact-based problem solving?

  7. Requirements Management Plan: Will the Audit Evidence project requirements become approved in writing?

  8. Stakeholder Management Plan: How will you engage this stakeholder and gain commitment?

  9. Probability and Impact Matrix: Are staff committed for the duration of the Audit Evidence project?

  10. Planning Process Group: If a task is partitionable, is this a sufficient condition to reduce the Audit Evidence project duration?

Step-by-step and complete Audit Evidence Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

  • 1.1 Audit Evidence project Charter
  • 1.2 Stakeholder Register
  • 1.3 Stakeholder Analysis Matrix

2.0 Planning Process Group:

  • 2.1 Audit Evidence project Management Plan
  • 2.2 Scope Management Plan
  • 2.3 Requirements Management Plan
  • 2.4 Requirements Documentation
  • 2.5 Requirements Traceability Matrix
  • 2.6 Audit Evidence project Scope Statement
  • 2.7 Assumption and Constraint Log
  • 2.8 Work Breakdown Structure
  • 2.9 WBS Dictionary
  • 2.10 Schedule Management Plan
  • 2.11 Activity List
  • 2.12 Activity Attributes
  • 2.13 Milestone List
  • 2.14 Network Diagram
  • 2.15 Activity Resource Requirements
  • 2.16 Resource Breakdown Structure
  • 2.17 Activity Duration Estimates
  • 2.18 Duration Estimating Worksheet
  • 2.19 Audit Evidence project Schedule
  • 2.20 Cost Management Plan
  • 2.21 Activity Cost Estimates
  • 2.22 Cost Estimating Worksheet
  • 2.23 Cost Baseline
  • 2.24 Quality Management Plan
  • 2.25 Quality Metrics
  • 2.26 Process Improvement Plan
  • 2.27 Responsibility Assignment Matrix
  • 2.28 Roles and Responsibilities
  • 2.29 Human Resource Management Plan
  • 2.30 Communications Management Plan
  • 2.31 Risk Management Plan
  • 2.32 Risk Register
  • 2.33 Probability and Impact Assessment
  • 2.34 Probability and Impact Matrix
  • 2.35 Risk Data Sheet
  • 2.36 Procurement Management Plan
  • 2.37 Source Selection Criteria
  • 2.38 Stakeholder Management Plan
  • 2.39 Change Management Plan

3.0 Executing Process Group:

  • 3.1 Team Member Status Report
  • 3.2 Change Request
  • 3.3 Change Log
  • 3.4 Decision Log
  • 3.5 Quality Audit
  • 3.6 Team Directory
  • 3.7 Team Operating Agreement
  • 3.8 Team Performance Assessment
  • 3.9 Team Member Performance Assessment
  • 3.10 Issue Log

4.0 Monitoring and Controlling Process Group:

  • 4.1 Audit Evidence project Performance Report
  • 4.2 Variance Analysis
  • 4.3 Earned Value Status
  • 4.4 Risk Audit
  • 4.5 Contractor Status Report
  • 4.6 Formal Acceptance

5.0 Closing Process Group:

  • 5.1 Procurement Audit
  • 5.2 Contract Close-Out
  • 5.3 Audit Evidence project or Phase Close-Out
  • 5.4 Lessons Learned



With this Three Step process you will have all the tools you need for any Audit Evidence project with this in-depth Audit Evidence Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Audit Evidence projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
  • Implement evidence-based best practice strategies aligned with overall goals
  • Integrate recent advances in Audit Evidence and put process design strategies into practice according to best practice guidelines

Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Audit Evidence investments work better.

This Audit Evidence All-Inclusive Toolkit enables You to be that person.


Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.