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DIVISION OF ACCOUNTS AND REPORTS AUDIT SERVICES TEAM AUDIT FINDINGS WORKSHEET Audit Finding No. (FY X) BPC Delegated Audit Capital Assets Category: (Approval, Documentation, NonCompliance) Commuting

How to fill out audit findings worksheet

1. To fill out an audit findings worksheet, start by gathering all relevant information and documentation related to the audit. This may include financial statements, reports, interviews, and any other supporting materials.
2. Review the audit objectives and criteria to understand what the audit is evaluating and what findings need to be documented. This will help guide your assessment and identification of findings.
3. Analyze the information gathered and identify any discrepancies, issues, or areas of concern that deviate from the expected standards or criteria. These will be the audit findings that need to be documented.
4. Carefully document each audit finding in the worksheet, providing a clear and concise description of the finding, including any relevant facts, figures, or evidence to support it.
5. Classify each finding according to its nature and significance. This can include categorizing findings as high, medium, or low risk, or by the specific area or process they pertain to.
6. Assign responsibility for addressing each finding by identifying the individuals or departments that need to take action to resolve the issue. This helps ensure accountability and follow-up on corrective measures.
7. Include a target completion date or deadline for each finding to be resolved. This helps establish a timeline and ensures timely action is taken to address the findings.
8. Review the completed audit findings worksheet for accuracy and completeness, making any necessary revisions or additions before finalizing it.
9. Distribute the completed worksheet to the relevant stakeholders, such as management, audit committees, or regulatory authorities, depending on the reporting requirements and communication protocols.
10. Regularly review and follow up on the progress of each finding to ensure that appropriate actions are being taken and that the necessary changes are being implemented.

Anyone involved in conducting an audit, such as internal auditors, external auditors, or compliance officers, may need an audit findings worksheet. This tool helps document and track the findings arising from an audit, ensuring that appropriate actions are taken to address any identified issues or non-compliance with established standards or regulations. The worksheet serves as a valuable reference for management and stakeholders to understand the results of the audit and facilitate effective decision-making and corrective actions.

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