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Checklists, templates, policies and sample documents built from 20+ years of audit practice, in Word, Excel and PowerPoint, so you can edit them and reuse them in your own audits. Yours for life, with up to 5 downloads.
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Checklists
Guides
Building a Code of Conduct That Works: What to Include and Warning Signs to Watch (editable Word, ₹99 / $0.99): What a strong code contains, how to roll it out and enforce it, the board's role, and eight signs a code exists only on paper.Building an Effective Ethics Programme: 15 Good Practices and a Health Check (editable Word, ₹99 / $0.99): Fifteen practices that turn stated values into everyday decisions, each with an example and what to look for, plus a health check.Designing a Speak-Up and Whistleblowing Programme: Plan, Communicate, Respond (editable Word, ₹99 / $0.99): A three-stage framework for confidential reporting channels, with legal basics, a programme checklist and measures for the audit committee.Financial Performance Indicators of Fraud: Red Flag Checklist (Excel) (editable Excel, ₹149 / $1.49): 54 warning signs in financial results across 9 fraud types, each with a plain-English explanation and how to check it.Financial Statement Manipulation: Schemes, Warning Signs and Journal Entry Testing (editable Word, ₹149 / $1.49): How results are 'cooked', five common schemes with the audit response, the warning signs, and how to test journal entries.Fraud Detection: The Auditor's Mindset, Data Analytics and Analytical Techniques (editable Word, ₹99 / $0.99): How fraud auditors think, the data tests they run, trend and proportional analysis, and what to do when you find something.Fraud Indicators Detectable Through Data Analytics: 40 Tests (Excel) (editable Excel, ₹149 / $1.49): 40 data tests for payables, payroll and receivables, plus a continuous monitoring suite for payables, each with steps to run it.Fraud Oversight: Ten Questions for the Audit Committee (editable Word, ₹99 / $0.99): Ten actions that help audit committee members challenge management on fraud risk, plus an agenda for the annual fraud discussion.Fraud Red Flags Reference Tool: 177 Warning Signs (Excel) (editable Excel, ₹199 / $1.99): 177 red flags grouped by opportunity, pressure, behaviour, fieldwork indicators and process symptoms, each with what to check.Fraud Scenario Library and Risk Assessment Worksheet (Excel) (editable Excel, ₹99 / $0.99): 26 common fraud schemes in 4 categories, each explained with an example, with space to record how it could happen, controls and gaps.Fraud Scheme Dictionary for an Entity-Level Fraud Risk Assessment (Excel) (editable Excel, ₹99 / $0.99): 57 fraud schemes with common definitions, so everyone in an organisation-wide fraud risk assessment rates the same risk the same way.Fraud Schemes and Detection Tests by Process (Excel) (editable Excel, ₹149 / $1.49): 31 schemes from real (anonymised) cases across 6 process areas, each paired with the analytical test most likely to reveal it.Fraud Schemes and Red Flags by Business Process (Excel) (editable Excel, ₹149 / $1.49): 73 schemes across 9 business processes, with the red flags to watch for in planning, analytics and fieldwork.Fraud: Internal Audit's Role in Prevention and Detection (Training Deck) (editable PowerPoint, ₹49 / $0.49): A beginner-friendly 21-slide training module: why fraud happens, red flags, the fraud triangle, defences and what auditors must do.Holiday Period Fraud Prevention: What to Do Before the Break and Check When You Return (editable Word, ₹99 / $0.99): A practical plan to reduce fraud risk when offices are quiet: steps before the break, checks in the first week back and warning signs.Money Laundering Red Flags by Activity (Excel) (editable Excel, ₹99 / $0.99): 90 red flags for money laundering and terrorist financing across 10 activities, from onboarding to trade finance, with what to check.Who Commits Fraud: Insiders, Outsiders and the Organisation Itself (editable Word, ₹99 / $0.99): Three perspectives on fraud risk, how management can distort each balance-sheet area, and the ratios that may reveal it.Job Descriptions
Policies
Process Flows
Risk Control Matrix
Accounting and Finance Operations: Risk and Control Matrix (Excel) (editable Excel, ₹249 / $2.49): 58 controls (46 key) for 16 objectives and 32 risks, each with walkthrough questions, evidence to ask for and test steps.Administrative Expenses and Office Services: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 75 controls (50 key) for 13 objectives and 20 risks, each with walkthrough questions, evidence to ask for and test steps.Capital Projects and Capital Expenditure: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 68 controls (46 key) for 12 objectives and 19 risks, each with walkthrough questions, evidence to ask for and test steps.Cash and Treasury: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 39 controls (26 key) for 13 objectives and 19 risks, each with walkthrough questions, evidence to ask for and test steps.Contract Labour Management: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 23 controls (18 key) for 7 objectives and 11 risks, each with walkthrough questions, evidence to ask for and test steps.Customer Service, Installation and Warranty: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 29 controls (16 key) for 10 objectives and 15 risks, each with walkthrough questions, evidence to ask for and test steps.Depot and Distribution Warehouse Operations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 105 controls (59 key) for 17 objectives and 33 risks, each with walkthrough questions, evidence to ask for and test steps.Distribution Planning and Freight Management: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 43 controls (30 key) for 9 objectives and 12 risks, each with walkthrough questions, evidence to ask for and test steps.Employee Benefits and Retiree Administration: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 22 controls (14 key) for 9 objectives and 13 risks, each with walkthrough questions, evidence to ask for and test steps.Enterprise Management and External Relations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 26 controls (15 key) for 11 objectives and 16 risks, each with walkthrough questions, evidence to ask for and test steps.Enterprise Risk Management (ERM) Process: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 23 controls (19 key) for 7 objectives and 7 risks, each with walkthrough questions, evidence to ask for and test steps.Export and Import (EXIM) Compliance: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 25 controls (19 key) for 10 objectives and 15 risks, each with walkthrough questions, evidence to ask for and test steps.Financial Accounting, Reporting and Treasury: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 153 controls (125 key) for 23 objectives and 38 risks, each with walkthrough questions, evidence to ask for and test steps.Fixed Assets, Analysis and Reconciliation: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 23 controls (16 key) for 8 objectives and 12 risks, each with walkthrough questions, evidence to ask for and test steps.Human Resource Management: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 27 controls (16 key) for 9 objectives and 16 risks, each with walkthrough questions, evidence to ask for and test steps.Human Resource Operations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 68 controls (45 key) for 15 objectives and 29 risks, each with walkthrough questions, evidence to ask for and test steps.Inbound Logistics (Receiving and Stores): Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 27 controls (17 key) for 13 objectives and 16 risks, each with walkthrough questions, evidence to ask for and test steps.Insurable Risk and Legal Affairs: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 21 controls (14 key) for 8 objectives and 14 risks, each with walkthrough questions, evidence to ask for and test steps.Inventory Management: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 43 controls (36 key) for 13 objectives and 24 risks, each with walkthrough questions, evidence to ask for and test steps.Managing Information Technology: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 32 controls (21 key) for 10 objectives and 16 risks, each with walkthrough questions, evidence to ask for and test steps.Manufacturing Operations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 26 controls (15 key) for 7 objectives and 17 risks, each with walkthrough questions, evidence to ask for and test steps.Manufacturing Plant Operations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 137 controls (80 key) for 17 objectives and 32 risks, each with walkthrough questions, evidence to ask for and test steps.Marketing and Sales: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 22 controls (15 key) for 10 objectives and 13 risks, each with walkthrough questions, evidence to ask for and test steps.Outbound Logistics (Orders to Dispatch): Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 24 controls (13 key) for 10 objectives and 17 risks, each with walkthrough questions, evidence to ask for and test steps.Payables and Receivables: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 27 controls (21 key) for 11 objectives and 16 risks, each with walkthrough questions, evidence to ask for and test steps.Payroll Processing: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 35 controls (20 key) for 9 objectives and 14 risks, each with walkthrough questions, evidence to ask for and test steps.Planning, Budgeting and Administrative Services: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 17 controls (7 key) for 8 objectives and 11 risks, each with walkthrough questions, evidence to ask for and test steps.Plant Maintenance: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 22 controls (17 key) for 9 objectives and 13 risks, each with walkthrough questions, evidence to ask for and test steps.Procurement: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 19 controls (11 key) for 10 objectives and 12 risks, each with walkthrough questions, evidence to ask for and test steps.Product Costing and Inventory Valuation: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 16 controls (11 key) for 6 objectives and 10 risks, each with walkthrough questions, evidence to ask for and test steps.Regional Office Administration and Accounts: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 58 controls (41 key) for 13 objectives and 14 risks, each with walkthrough questions, evidence to ask for and test steps.Research and Development Laboratory Operations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 60 controls (44 key) for 14 objectives and 18 risks, each with walkthrough questions, evidence to ask for and test steps.Sales (Inquiry to Cash): Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 53 controls (38 key) for 13 objectives and 28 risks, each with walkthrough questions, evidence to ask for and test steps.Tax Compliance and Financial Reporting: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 22 controls (14 key) for 9 objectives and 15 risks, each with walkthrough questions, evidence to ask for and test steps.Technology and Product Development: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 15 controls (10 key) for 8 objectives and 12 risks, each with walkthrough questions, evidence to ask for and test steps.Trade Schemes and Dealer Promotions: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 27 controls (21 key) for 9 objectives and 11 risks, each with walkthrough questions, evidence to ask for and test steps.Sample Audit Reports
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