AuditNet Audit Programs

 

Access to the audit programs requires registration. Click here to register and select the free option for access to the free audit programs.

 


 
Web AuditNet


The following collection of audit programs were contributed by auditors from around the world.

 

If you are interested in a corporate subscription to the Audit Programs Database providing multiple users with access then click here!

Note: Some of the following programs are available in the premium content section only to paid annual subscribers.

By submitting Materials or other communication or content, you will grant AuditNet permission to, on an irrevocable, perpetual, worldwide and royalty-free basis, reproduce, distribute, display, perform, read, enhance, adapt, modify, create derivative works or use the Submitted Materials and any other such communication or content on this site, on any other site and anywhere throughout the world in all media.

Your name and email address may or may not be added to the Materials as their "contributor."

Sections A, B and C represent some of the audit programs available in the inventory. There are also more audit programs available to paid subscribers or for exchange (1 for 1).

Another audit program resource now available is the Ask the Auditor Audit Program archives. 

A. MANAGEMENT AND FINANCIAL AUDIT PROGRAMS

  1. 3rd Party Construction Contracts (Word)  
  2. 401K Audit Program (Mar 04) 
  3. 401 K Plan Audit Program
  4. 401K Loan Audit Program  
  5. 403B Retirement Plan
  6. ABW Conversion Audit Program (June 04)
  7. A/E Design Price Audit Program
  8. Action Item Matrix (June 05)
  9. Accounting for Advertising  Revenue (Word) 
  10. Accounting Department Audit Program (Aug 04)
  11. Accounting Department Review 
  12. Accounting Sheet Format Style for Excel 
  13. Accruals Audit Program Guide (August 04)
  14. Accrued Liabilities and Other Payables
  15. Accounts Payable
  16. Accounts Payable 
  17. Accounts Payable   
  18. Accounts Payable - Discounts
  19. Accounts Payable Module IT Controls (Nov 04)
  20. Accounts Payable SAP Application Controls (Word) (pdf)
  21. Accounts Payable SAP Risk Matrix (Word)
  22. Accounts Payable Self-Assessment Questionnaire (July 04)
  23. Accounts Receivable   
  24. Accounts Receivable
  25. Accreditation Criteria Audit Program (Jan 2005)
  26. Accrual Audit Program    
  27. Acquisition Due Diligence Checklist (Oct 04)
  28. ACH Transactions Audit Program (8/1/03) 
  29. Administration Department Audit Program (April 04) 
  30. Advertising Contract Audit Program   
  31. Advertising & Promotional-Retail (Dec 05)
  32. After Sales Support- Warranty Arrangements 
  33. After Sales Support- Maintenance&Servicing
  34. After Sales Support- Spare Parts & Supplies
  35. Airline Catering Audit Program
  36. Annual Risk Assessment Worksheet   
  37. Annual Risk Assessment Worksheet  (July 04)
  38. Anti Money Laundering Quarterly Review Checklist (Oct 04)
  39. Asset-Liability/Treasury Management
  40. Automating Working Papers for Word 6.0
  41. Audit Completion Checklist - Utility (June 05
  42. Audit Finding/Recommendation Worksheet    
  43. Audit Finding Write Up Worksheet 
  44. Audit Finding Ranking System (12/1/03) 
  45. Audit Finding Tracking Worksheet 
  46. Audit Grading Matrix 
  47. Audit Materiality Assessment (Nov 04)
  48. Audit Notification Letter 
  49. Audit Plan Interview Sheet (Apr 05)
  50. Audit Plan Questionnaire 
  51. Audit Plan Template 
  52. Audit Planning Memo
  53. Audit Process Checklist (X Ref to IIA Standards) (July 05)
  54. Audit Report Color Rating System (April 04) 
  55. Audit Satisfaction Feedback Form (Mar 05)
  56. Audit Time Sheet (Feb 04) 
  57. Audit Workpaper Summary 
  58. Audit Work Program Template
  59. Bad Debt Sales Audit Program (Mar 05)
  60. Bank Audit Program 
  61. Bank and Cash (Word) (pdf)
  62. Bank Branch Audit  
  63. Bank Branch Consumer Compliance Questionnaire (Aug 05)
  64. Bank Confirmation Letter
  65. Bank Items Processing Audit Program 
  66. Bank Insurance Audit Program  
  67. Bank Premises and Equipment Audit Program (Dec 2004)
  68. Bank Reconciliation Audit Program
  69. Bank Reconciliation Audit Program (June 04)
  70. Bank Reconciliation Audit Program  
  71. Bank Reconciliation Process (May 05)
  72. Bank Reconciliation Statements 
  73. Bank Secrecy Act Section 314a Audit Program (Oct 04)
  74. Bank Secrecy Act Audit Scope & Result (Apr 05)
  75. Bank Secrecy Act Audit Program (Apr 05)
  76. Bank Security Procedures (May 04)
  77. BSA Compliance Audit Program (May 05)
  78. BSA Currency Transaction Report Test Worksheet (May 05)
  79. BSA Name of Exempt Person Worksheet (May 05)
  80. BSA Suspicious Activity Report Compliance Worksheet (May 05)
  81. Bankers Automated Clearing System (BACS) Audit Program (Dec 2004)
  82. Banking - FX Revaluation Audit Program   
  83. Banking Loan Review - Authorization and Reporting 
  84. Banking Loan Review - Compliance 
  85. Banking Loan Review - Data Integrity 
  86. Banking Loan Review - General Audit Requirements 
  87. Banking Loan Review - Other Real Estate Owned 
  88. Banking Loan Review - Physical Safeguards 
  89. Banking Loan Review - Reconciliation 
  90. Bank Risk Assessment Questionnaire  
  91. Banking Regional Branch Audit 
  92. Benchmark Retail Operations
  93. Billings for Reinsurance Recoverables ICQ (9/1/03) 
  94. Bingo Audit Program  
  95. Board Summary (July 04)
  96. Borrowed Funds Audit Program (Dec 2004)
  97. Branch ATM Audit Checklist-Banking (Dec 05)
  98. Branch Audit Program   
  99. Branch Retail Operations Risk Assessment UK (Word)  
  100. Branch Security Audit
  101. Branch Warehouse (Distribution)   
  102. Broker Dealer Review including NASD Audit Program 
  103. Budget Control
  104. Budget Controls Audit Program (August 04)
  105. Budget Hours Spreadsheet (Feb 04) 
  106. Business Application Review (Word) (pdf) 
  107. Business Case Review Checklist (May 05)
  108. Business Continuity Disaster Recovery Management
  109. Business Continuity Planning Audit
  110. Business Continuity Audit Program-Financial Services (Dec 05)
  111. Business Efficiencies Checklists (Operational Reviews)  (pdf)
  112. Business Impact Analysis Form 
  113. Business Impact Analysis Questionnaire 
  114. Business Plan Audit Program (11/1/03)
  115. Business Risk Analysis (Word)  (pdf)
  116. Capacity Utilization Methodology (MS Word)  (pdf)
  117. Capital Cost Audit Program (Mar 04) 
  118. Capital Expenditures 
  119. Capital Expenditures Post Completion Audit Program (Feb 05)
  120. Capital Stock and Other Equities
  121. Car Rental Audit Program (Sep 04)
  122. Cash (Petty Cash)
  123. Cash
  124. Cash Applications Audit Program 
  125. Cash and Negotiable Items - Bank 
  126. Cash Audit Program    
  127. Cash Audit Program   
  128. Cash Collections Audit
  129. Cash Collection and Bank Reconciliation - Fast Food (11/1/03)
  130. Cash Collections and Receipts/Revenue 
  131. Cash Count & Reconciliation 
  132. Cash Disbursements Audit Program (July 04)
  133. Cash Disbursements Key Controls (Jan 2005)
  134. Cashier Services & Petty Cash (Jan 2005)
  135. Cash Income Controls Audit Program (August 04)
  136. Cash Payments Cycle 
  137. Cash Receipts Audit Program  
  138. Cash Receipts Cycle 
  139. Casino Audit Program
  140. Catalog Circulation Audit 
  141. Cell Phone ICQ (May 05)
  142. Cell Phone Review   
  143. Central Pharmacy Operations 
  144. CEO Survey - University  
  145. Check Controls (August 04)
  146. Check Signing Process
  147. Claims Disbursement Audit Program
  148. Claim File Review Form (P&C) (Oct 05)
  149. Claim Sample Testing Worksheet (P&C) (Oct 05)
  150. Claims Management Audit Program (8/1/03)
  151. Claims Process Technical Systems Overview (August 04)
  152. Client Derivatives Audit Program 
  153. Coal Procurement Audit Program (Word)
  154. Collections Audit Program   
  155. Collections Audit Program - Insurance (May 05)
  156. Collection Debt Control 
  157. College Library Audit Program (Feb 05)
  158. Community Reinvestment Act Checklist 
  159. Company Credit Card 
  160. Conflict of Interest 
  161. Consignment Sales - Allocate Stock (Nov 04)
  162. Consignment Sales - Material Handling (Nov 04)
  163. Consignment Sales - Process Order (Nov 04)
  164. Consignment Sales- Sales Accounting (Nov 04)
  165. Consolidated Claims Compliance Review (July 04)
  166. Contract Management-Steel Industry (Dec 05)
  167. Construction Audit 
  168. Construction Audit Procedures 
  169. Construction Audit Program 1
  170. Construction Audit Program 2
  171. Construction Audit Program 3
  172. Construction Change Order Audit Program
  173. Construction Contractor Audit Program (Word) (pdf)
  174. Construction (Cost Type) Audit Program 
  175. Construction Costs - Estimation & Bidding 
  176. Construction Industry-Award of Tender and Site Management (May 05)
  177. Construction Industry-Contract Administration (May 05)
  178. Construction Industry-Project Costing (May 05)
  179. Construction Industry-Site Diary (May 05)
  180. Construction Industry-Site Management (May 05)
  181. Construction Industry-Tendering Procedures and Award of Tender (May 05)
  182. Construction Project Close Out 
  183. Consumer Leases 
  184. Contingencies (Loss)
  185. Contingency Planning Questionnaire 
  186. Contract Attribute Test - Word
  187. Contract Audit Guidance 
  188. Contract File Closeout Checklist 
  189. Contract Management 
  190. Contracts and Leases-Post Award
  191. Contracts Audit Program 
  192. Contracts Audit Program 
  193. Control Objectives 
  194. Corporate Aircraft 
  195. Corporate Cards (10/1/03) 
  196. Corporate Governance Process Audit (July 04)
  197. Corporate Security Review Audit Program 
  198. Corporate Spending Analysis Audit Program   
  199. Corporate Treasury Wire Transfer Application Security (Oct 04)
  200. COSO Control Evaluation Form 
  201. COSO Testing Template (Oct 05)
  202. Cost of Sales Audit Program   
  203. Costing Audit Program 
  204. Cost Control, Inventories and Stores Audit Checklist (June 04)
  205. Cost Plus Construction Contract 
  206. Counter-Terrorism (Government) ICQ
  207. Cover Notes (Insurance) 
  208. Credit Card Administration Audit Program  
  209. Credit Card Security Audit Program 
  210. Credit & Collections Audit Program (8/1/03)
  211. Credit Collections 
  212. Credit/Collections & Accounts Receivable 
  213. Credit Control Audit Program
  214. Creditor Controls Audit Program (August 04)
  215. Creditor Risk Register Template (9/1/03) 
  216. Crisis Management Audit Plan (txt)  (MS Word)  (PDF)
  217. CSA Worksheet - Retail Operation
  218. Currency Swap Audit Program (Word) (pdf)
  219. Currency Vault Operations Audit Program (Oct 04)
  220. Customer Privacy Audit Program (Word) 
  221. Customer Profitability Audit Program 
  222. Customer Satisfaction Questionnaire 
  223. Customer Service Audit Program 
  224. Customer Service Department
  225. Database Audit Checklist (April 04)
  226. Data Warehouse Data Reliability Process Review (Apr 04)
  227. Death Claims Audit Program (Insurance) Oct 05
  228. Debt Administration - Swing Line 
  229. Demand Deposits Audit Program (Dec 2004)
  230. Departmental Audit Program 
  231. Deposits Audit Program-Banking (Dec 05)
  232. Depreciation Audit Program   
  233. Disaster Recovery Audit Program (May 05)
  234. Disaster Recovery and Off Site Storage (Banking) (Aug 2005)
  235. Disaster Recovery Plan
  236. Disaster Recovery - Business Resumption Audit Program (Word, pdf)
  237. Disaster Recovery - Contingency Planning Audit Program
  238. Disaster Recovery Risk Evaluation (Word (pdf)
  239. Disaster Recovery Test Audit Program-Healthcare (Dec 05)
  240. Disbursement and Payroll 
  241. Display Advertising (12/1/03) 
  242. Domestic Outsourced Payroll APG (Mar 05)
  243. Dormant Accounts Audit Program 
  244. Dry Cleaner Store Review Audit Program (Mar 04)
  245. Due Diligence (Corporate Merger) 
  246. Due from Bank Accounts Audit Program (August 04)
  247. Due From/Due To Banks Audit Program (Dec 2004)
  248. EDI Order Fulfillment Audit Program   
  249. EFT Audit Questionnaire  
  250. EITF 88-16 (Carryover of Predecessor Cost in a Leveraged Buyout ) Model Spreadsheet 
  251. Electronic Building Security (Word) (pdf)
  252. Electronic Funds Transfer Audit Program
  253. Electronic Funds Transfer (SWIFT) Pre Audit Information Request
  254. Electronic Funds Transfer Audit Program (Non-Bank)
  255. Electronic Medical Record (EMR) Security Testing
  256. Employee Accounts Audit Program (8/1/03)
  257. Employee Benefit Plans Audit Program (Oct 04)
  258. Employee Expense Reports
  259. Energy Revenue Cycle
  260. Engagement Evaluation Questionnaire (Dec 2004)
  261. Engineering Supplies & Tools 
  262. Environmental Audit Program
  263. Environmental Compliance 
  264. Environmental Risks Questionnaire (Dec 2004)
  265. Equipment Leasing Audit Program 
  266. Escheatment Audit Program
  267. Ethical Investment ICQ (May 05)
  268. Evaluation of Creditors Accounts (Nov 04)
  269. Expenditures and Accounts Payable (Word) (pdf)
  270. Export Compliance Audit Program (Word) (pdf)
  271. Facility Security Procedures Audit (xls)
  272. FAS 124 Decision Chart
  273. FDA IRB Evaluation Checklist (Sep 04)
  274. Fiber Sales and Procurement Audit Program 
  275. Finance and Accounting Audit Program (July 04)
  276. Finance and Accounts - College (11/1/03)
  277. Finance and Accounts - Hotel (11/1/03)
  278. Finance & Administration (May 04) 
  279. Finance & Risk Management 
  280. Finance Audit Program-Joinery (Mar 04) 
  281. Finance Department Audit Program (July 04)
  282. Finance Department Audit Program 2 (July 04)
  283. Financial Audit Analysis (MS Word)  (pdf)
  284. Financial Audit Program Template
  285. Financial Audit Program (June 04)
  286. Financial Commitment Audit Program   
  287. Financial Controls Audit Program 
  288. Financial Discipline Review (01/04)
  289. Financial Management Controls Manual (Feb 04) 
  290. Financial Reporting Cycle-Misrepresentation (Feb 04)
  291. Finished Goods Inventory 
  292. Fire Protection Audit Checklist
  293. Firewall Audit Program (12/1/03)
  294. Fixed Assets Acquisition 
  295. Fixed Asset Audit Program (Mar 05)
  296. Fixed Assets Audit Program 
  297. Fixed Asset Counts 
  298. Fixed Assets (Word) (pdf)
  299. Fixed Assets Audit Program (11/1/03)
  300. Fixed Assets Audit Program 2 (11/1/03)
  301. Fleet Operations
  302. Fleet Operations Review
  303. Food and Beverage Audit
  304. Follow Up on Management
  305. Follow Up Audit Program (11/1/03)
  306. Foreign Corrupt Practices Act Audit Program
  307. Foreign Currency Collection Items  (Aug 05)
  308. Foreign Currency Translation Audit Program (Sep 05)
  309. Foreign Exchange Spot Trades 
  310. Foundation Audit Program (Sep 04)
  311. Foundation Trust University Audit Program
  312. Fraternity Audit Program   
  313. Fraud Consideration Checklist
  314. Fraud Financial Performance Indicators (Sep 05)
  315. Fraud Management 
  316. Freight Payables Outsourcing Process Control Checklist
  317. Fuel Audit Program 
  318. Fuel Dispensing Controls (Apr 05)
  319. Funds Transfer Audit Program (Dec 2004)
  320. Gas Production Audit Program
  321. Gathering Information About Divisions
  322. General Computer Controls Program Change (Apr 05)
  323. General Computer Controls Data Center and Computer Operations (Apr 05)
  324. General Computer Controls IT Control Environment (Apr 05)
  325. General Computer Controls Access to Programs and Data (Apr 05)
  326. General Ledger Audit Program Excel (pdf)
  327. General Ledger Maintenance Audit Program (Oct 04)
  328. General Review Finance & Admin 
  329. Generic Flow Charts (46) -Visio Format (Sep 04)
  330. Goods & Services Tax Reasonableness (Nov 04)
  331. Gramm-Leach-Bliley Act Audit Program 
  332. Group Medical Insurance Policy-Claims and Premium (April 04)
  333. Hardware Purchasing Audit Program (Oct 04)
  334. Haz Mat Audit Checklist (April 04) 
  335. Health Benefits Administration 
  336. Health Claims Audit Program 
  337. Healthcare Claims Processing Risk Assessment 
  338. Healthcare Employee Claims Processing Work Program (July 04)
  339. Health Insurance-New Business Audit (July 05)
  340. HIPAA Compliance Report Card Tracking (Oct 04)
  341. HIPAA Privacy Audit (Sep 04)
  342. HIPAA Compliance Walk Through Checklist (Sep 04)
  343. HIPAA Device & Media Control Audit (Sep 04)
  344. HIPAA Privacy Regulations Compliance (Mar 04)
  345. HIPAA Privacy Rule Compliance Audit Program (Apr 05)
  346. HOA Audit & Review Checklist
  347. HOA Audit Planning Documentation Checklist
  348. HOA Full Audit Program
  349. HOA Standard Review Program
  350. Homeland Security (Government) ICQ
  351. Homeowners Association Audit Program  
  352. Home Energy Audit (1) (MS Word)  (pdf)
  353. Home Energy Audit (2) MS Word)  (pdf)
  354. HCFA Hospital Audit Program
  355. Hospital Patient Accounting Audit Program   
  356. Hotel Audit Program (txt)  (pdf)
  357. Hotel Front Office Operation Audit (Word) (PDF)
  358. Hotel Food and Beverage Cost Control 
  359. Hotel Food and Beverage Revenue Cycle 
  360. Hotel Serviced Apartment Front Office 
  361. Hotel Laundry Operation 
  362. Hotel Casual Labor 
  363. Hotel Front Office 
  364. Hotel Surprise Cash Count 
  365. HR Payroll & Personnel Audit Program (10/1/03) 
  366. Human Resource and Payroll  
  367. Human Resource Management 
  368. Human Resource and Administration College (11/1/03)
  369. Human Resources Benefits Attributes Testing (Dec 2004)
  370. Human Resources Payroll Attributes Testing (Dec 2004)
  371. Human Resources (May 04) 
  372. Human Resources Audit (Apr 05)
  373. Human Resources - Operational and Performance
  374. Human Resources Audit Program (Excel) (pdf)
  375. Human Resources Audit Program 
  376. Human Resource Transaction System Review-Healthcare (Dec 05)
  377. Import Compliance Audit Program  (Word) (pdf)
  378. Imprest Expense 
  379. Internal Control Documentation Guide
  380. Income-Other Audit Program (Mar 04) 
  381. Income Statement
  382. Indirect Lending 
  383. Individual Retirement Account Administration (Word) 
  384. Individual Retirement Account Program (June 04)
  385. Initial Audit Activities
  386. Insider Affiliate Transactions 
  387. Insider Trading (May 04)
  388. Insurance Claims Audit Program 
  389. Insurance Claims Audit Program (July 04)
  390. Insurance (Risk Management) Audit Program
  391. Insurance Underwriting 
  392. Intellectual Property Audit Program (Word)
  393. Interactive Risk Controls Testing
  394. Interest Expense Audit Program   
  395. Interest Expense Audit Program 
  396. Interest Rate Risk Audit Program 
  397. Interest Rate Swaps 
  398. Internal Audit Grading System (12/1/03)
  399. Internal Communications Review Questionnaire 
  400. Internal Control Error Considerations (Nov 04)
  401. Internal Control Questionnaire (Comprehensive-62 pages) (Aug 04)
  402. Internal Loan Review Construction (12/1/03)
  403. Internal Loan Review Residential Real Estate (12/1/03)
  404. Internal Services Audit Program 
  405. International Financial Reporting Standards (IFRS) Checklist (Nov 04)
  406. Interplant Shipping-Receiving (Manufacturing) (Sep 05)
  407. Intrusion Prevention System (July 04)
  408. Investments and Other Assets 
  409. Investment Banking Security Brokerage Audit Program  (pdf)
  410. Investments Internal Controls (11/1/03)
  411. Investments
  412. Inventory
  413. Inventory Audit Program
  414. Inventory Audit Program
  415. Inventory Audit Program   
  416. Inventory Audit Program (June 04)
  417. Inventory Audit Program Mining Industry (Oct 04)
  418. Inventory Cycle Count
  419. Inventory Observation Questionnaire (Word) 
  420. Inventory Observation Audit Program 
  421. Investments
  422. Investment Securities Audit Program (Dec 2004)
  423. Invoicing Audit Program 
  424. IRIX Security Audit Checklist (Dec 2004)
  425. IT Audit Assessment Questionnaire
  426. IT General Controls Review (Sep 04)
  427. IT General Controls System Security (Mar 05)
  428. IT Application Systems Review (Apr 05)
  429. IT Risk Assessment Firewall Audit Program (Apr 05)
  430. ITIL Change Management Audit Program (Sep 04)
  431. Journals Audit Program 
  432. Key Controls Checklist - Spanish (Apr 05)
  433. Key Management Checklist
  434. Key Performance Indicator Review
  435. Kiting Audit Program (May 04) 
  436. Know Your Customers Audit Policies and Procedures (May 04) 
  437. Labor System Audit Program (Sep 04)
  438. Laundry Service Audit Program (Oct 04)
  439. Lease Audit Program (June 2004)
  440. Leave Usage (June 2004)
  441. Legal and Government Affairs (9/1/03) 
  442. Legal Compliance Audit Program
  443. Lending and Collections 
  444. Licensee Royalty Audit Program (Word) (pdf)
  445. Licensing & Contracting (Insurance) Oct 05
  446. Debit Card Policies and Procedures
  447. Life Underwriting Audit Program (Sep 04)
  448. Liquor & Gaming Store Compliance Audit Program (Feb 05)
  449. Loan Operations Internal Control Assessment (Oct 04)
  450. Location Audit Program (May 04)
  451. Lumber Mill Audit Program (Sep 05)
  452. M&A Acquisition Investigation Program (Oct 04)
  453. M&A Checklist (Oct 04)
  454. M&A Corporate Profile Checklist (Oct 04)
  455. M&A Detailed Checklist (Oct 04)
  456. M&A Evaluating Assets for LBO (Oct 04)
  457. M&A Evaluating Personnel (Oct 04)
  458. M&A Evaluation (Oct 04)
  459. M&A LBO Basis Change (Oct 04)
  460. M&A Legal (Oct 04)
  461. M&A Securities Law (Oct 04)
  462. M&A Transition Plans (Oct 04)
  463. Managed Care Audit Program
  464. Management and Internal Control Evaluation 
  465. Management Letter Compliance Audit Program
  466. Management Performance Audit Program
  467. Management Reporting 
  468. Marketing Expenditures (Word)  
  469. Marketing Expense Control/Advertising Audit Program (Oct 04)
  470. Marketing & Sales- Agents
  471. Marketing & Sales- Distributors
  472. Marketing & Sales- Marketing Research
  473. Marketing & Sales- Order Processing
  474. Marketing & Sales- Product Development
  475. Marketing & Sales- Pricing Discount Policies
  476. Marketing & Sales- Promotion & Advertising
  477. Marketing & Sales- Relationship with Parent Company
  478. Marketing & Sales- Sales Management
  479. Marketing & Sales- Sales Performance and Monitoring
  480. MCRP Bank Review Procedures Audit Program (Dec 2004)
  481. Medicare Audit Procedures
  482. Merchandise Control System 
  483. Merchant Fraud Detection Report Audit Program
  484. Metro Transit Advertising Revenue (XLS) (pdf)
  485. Microsoft Server SQL Audit Work Pack (May 04)
  486. Microsoft SMS Audit Checklist (April 04)
  487. Microsoft SQL Server Audit Checklist ((9/1/03)
  488. MS Exchange Email Outlook Audit Program (Sep 04)
  489. MS SQL Server Audit Program
  490. Money Market Euro Currency Audit Program
  491. Mortgage Lending Audit Program
  492. Mortgage Lending Audit Program
  493. Municipal Desk Review Audit Program
  494. NASD Annual Audit Program 
  495. Non Profit Organization Audit Checklist 
  496. Notes Receivable
  497. Office of Foreign Asset Control Audit Program (Oct 04)
  498. Office Supplies Audit Program 
  499. Oil Refinery Audit Program
  500. Operational Audit Program 
  501. Operational Overview
  502. Operating Expense Audit Program  
  503. Operating Unit Compliance Audits
  504. Oracle Database Audit Program (Sep 04)
  505. Organizational Transparency ICQ (May 05)
  506. Other Assets Other Liabilities Audit Program (Dec 2004)
  507. Overseas Bank Accounts Audit Program (June 04)
  508. Overtime
  509. Overtime
  510. Overtime - Police
  511. Packaged Payroll System Audit Program (PeopleSoft) (Aug 04)
  512. Parking Garage Audit Program-Healthcare (Dec 05)
  513. Parking Services Audit Program (Oct 04)
  514. Payment Verification Audit Program (11/1/03)
  515. Payroll Audit
  516. Payroll Audit Program (Jan 2005)
  517. Payroll Audit Program 
  518. Payroll Audit Program (01/04)
  519. Payroll Audit Program (April 04) 
  520. Payroll Controls Audit Program (August 04)
  521. Payroll Generic Audit Work Program (01/04) 
  522. Payroll Audit Program - Retail Store  
  523. Payroll Department Audit Program 
  524. Payroll Distribution Audit Procedures
  525. Payroll & Human Resources 
  526. Payroll-Human Resources Operations 
  527. Payroll/Personnel Cycle 
  528. PBX Audit Review and Checklist
  529. PBX Telecommunications System
  530. PCAOB Standard 2 (Feb 05)
  531. PC Software License Compliance
  532. Penetration Testing and Vulnerability Analysis (July 04)
  533. PeopleSoft Security Work Program (May 04)
  534. Petty Cash Audit Program Checklist  
  535. Petty Cash Audit Program
  536. Petty Cash
  537. Petty Cash Review-Healthcare (Dec 05)
  538. Pharmaceutical Audit Program 
  539. Pharmacy Review (pdf)
  540. Physical Security and Environmental Controls (MS Word) (pdf)
  541. Physical Inventory (Word) (pdf)
  542. Physician Contract Review (Healthcare) (Oct 05)
  543. Pier Operations Audit Program 
  544. Plant Utilities Audit Program (Oct 04)
  545. Post Balance Sheet Events and Contingencies (Excel) (pdf)
  546. Post Implementation Review Audit Program 
  547. Post-SAP Production Facility Review (Feb 05)
  548. Potential Audit Comment (IT) Workpaper (Dec 05)
  549. Power Plant Operations Audit Program (9/1/03) 
  550. Preliminary IT Risk Assessment Questionnaire
  551. Premium Process Audit Program 
  552. Procurement Financial Controls (July 04)
  553. Procurement and Contract Management Audit  
  554. Project Audit Templates (Prince 2 Methodology) (July 05)
  555. Project Audit (with COBIT standards 18 pages) (Aug 05)
  556. Project Management Audit Procedures (Aug 05)
  557. Project Management (Banking) (Oct 05)
  558. Project Wrap Checklist 
  559. Proof of Cash Workpaper  
  560. Property Development Audit Program (July 04)
  561. Property Income Audit Program 
  562. Property Management 
  563. Property, Plant, and Equipment
  564. Prepaid Expenses
  565. Process Walk Through Template (April 04) 
  566. Procurement Card Audit Program
  567. Procurement Program 1 
  568. Procurement Program 2 
  569. Procurement Program 3 
  570. Production Process Audit Program-Joinery (Mar 04) 
  571. Program Results
  572. Project Development Audit 
  573. Project Management Audit Guide 
  574. Project Management - Variation Orders MS Word (pdf)
  575. Project Management - Delays EOT & LD MS Word (pdf)
  576. Project Management - Selection & Approval of Consultants MS Word (pdf)
  577. Project Management - Tender for Projects MS Word (pdf)
  578. Project Management - Tender Procedures for Main Contract MS Word (pdf)
  579. Project Management - Billing of Project Management Fees MS Word (pdf)
  580. Professional Services Contract Audit Program
  581. Project Management Audit Questionnaire (ISO) (Word) 
  582. Property & Casualty Loss Control Audit Program (July 05)
  583. Property Plant & Equipment Audit Program (Mar 04) 
  584. Publishing House 
  585. Purchasing/Accounts Payable 3 Way Test Plan (July 05)
  586. Purchasing Audit Program (Mar 05) 10 pages
  587. Purchasing and Payments Expenditure Cycle (11/1/03)
  588. Purchasing Audit Program 
  589. Purchasing Audit Program
  590. Purchasing Audit Program
  591. Purchasing Audit Program 
  592. Purchasing Audit Program Feb 05 (April 05) 2 pages
  593. Purchasing Department Audit (Apr 05)
  594. Purchasing Key Control Matrix (Nov 04)
  595. Purchasing/Payables Cycle  
  596. QA Risk Library (Oct 05)
  597. Quality Assurance Review (12/1/03)
  598. Rating Scale Key Business & Financial Processes (Nov 04)
  599. Real Estate Construction Audit Plan (12/1/03)
  600. Reconciliation Testing Audit Program (Mar 04) 
  601. Recruitment Process (10/1/03) 
  602. Reinsurance Ceded (Individual) Audit Program (May 04)
  603. Reinsurance Assumed (Individual) Audit Program (May 04)
  604. Reinsurance Assumed Audit Program (May 04)
  605. Reinsurance Consolidated Audit Program (July 04)
  606. Repair Shop Audit Program
  607. Reporting-Critical Issue Matrix 
  608. Reporting-Basis of Rating Findings 
  609. Research & Development - Product Development 
  610. Research & Development - Project Appraisal and Monitoring 
  611. Research & Development -  Development Project Management 
  612. Research & Development - Plant and Equipment 
  613. Research & Development - Legal and Regulatory Issues 
  614. Retail Cash Office Audit 
  615. Retail Drug Store Audit Program (July 05)
  616. Retail Distribution Warehouse-Picking Accuracy 
  617. Retail Operations Audit Program (Word) 
  618. Retail Store Audit Program (Word) (pdf)
  619. Retail Store Operations
  620. Returned Checks Audit Program (April 04) 
  621. Revenue & Receivables Key Controls (Oct 04)
  622. Revenue Cycle Audit Program
  623. Revenue Cycle (Mining & Quarries) 10 pages (Aug 05)
  624. Revenue Cycle Audit Program
  625. Revenue Cycle Control Matrix (May 04) 
  626. Revenue Cycle Flowchart (Nov 04)
  627. Revenue Master Data Audit Program 
  628. Revenue Questionnaire
  629. Revenue Recognition Audit Guide
  630. Revenue Testing Audit Program
  631. Risk & Response Matrix (Nov 04)
  632. Risk Assessment Methodology (CSA) 
  633. Risk Assessment Questionnaire Setup (01/04) 
  634. Risk Assessment Worksheet and Instructions (Sep 04)
  635. Risk Management Checklist 
  636. Risk Management Issues Paper (MS Word) (pdf)
  637. Risk Management Methodology (MS Word) (pdf)
  638. Risk Management Policy (Draft) 
  639. Risk Management
  640. Risk Matrix - Financial 
  641. Risk Matrix - Commercial 
  642. Risk Scoring Matrix (12/1/03) 
  643. Risk Scoring Template (12/1/03) 
  644. Royalty Audit Program 
  645. Safe Deposit Box Audit Program (Oct 04)
  646. Safety deposit boxes Questionnaire 
  647. Salary Reduction Plan 401K APG (Mar 05)
  648. Sales and Accounts Receivable Audit Program (Word) (pdf)
  649. Sales & Debtors
  650. Sales and Marketing (11/1/03)
  651. Sales and Marketing College (11/1/03)
  652. Sales & Marketing Audit Program (11/1/03)
  653. Sales Commission Audit Program 
  654. Sales Contract Review 
  655. Sales - Food Distributor 
  656. Sales Incentive Bonus Plan Audit Program 
  657. Sales Office Audit Guide (Word) (pdf)
  658. Sales Office Operations Audit (May 04) 
  659. Sales Revenue Audit Program 
  660. Sales System Audit Program (9/1/03) 
  661. Sample Strategic Internal Audit Plan (Mar 04) 
  662. Sampling Checklist (12/1/03)
  663. School Activity Funds Audit
  664. Securing Government Buildings 
  665. Security Audit Program 
  666. Security Management (Sep 05)
  667. Security Policy Questionnaire (01/04) 
  668. Security Scope Questionnaire 
  669. Segregation of Duties Matrix 
  670. Shipping (Traffic and Distribution) Audit Program
  671. Short-Term Investments Audit Program (August 04)
  672. Skilled Nursing Facility (Nov 04)
  673. Small Sample Size Excel Workbook (April 04) 
  674. Software Licensing (01/04) 
  675. SQL Server Master Audit Program
  676. Standard Audit Program
  677. Standard Document Request List - Lost Profits 
  678. Standards for Business Controls Vol. 1 General Business Processes
  679. Standards for Business Controls Vol. 2 IT Processes
  680. Stationary Supply Audit Program (01/04) 
  681. Stores and Spare Parts Audit Program (Oct 04)
  682. Store Audit Program (Drugstore) (Nov 04)
  683. Store Visit Non Conformity Report (May 04) 
  684. Stratification Example (Nov 04)
  685. Study Abroad Audit Program 
  686. Subsequent Review Audit Program (Word) 
  687. Supermarket Perishables Audit Program 
  688. Supply Chain Application Review (Word) (PDF)
  689. Surface Water Management (SWM) Compliance (April 04) 
  690. Swift Alliance Control Assessment (May 05)
  691. System Administration and Operations (April 04) 
  692. Determine Audit Strategy and Other Procedures
  693. Tax Identification Number Compliance & Backup Withholding (July 04)
  694. Telecommunications APG (cellular & voicemail)
  695. Telecommunications Audit of East Texas State University
  696. Telecommunications
  697. Telephone Expenses Audit Program (Oct 04)
  698. Telephone Information
  699. Temporary Employee Audit Program 
  700. Tender process Audit Program 
  701. Third Party Administrator Health Care Audit Program (pdf)
  702. Third Party Administrator Medical Claims  
  703. Third Party Claims Processing Audit Program 
  704. Third Party Portfolio Audit Program (Dec 05)
  705. Time Budget Excel Worksheet 
  706. Time and Attendance Audit Program (June 05)
  707. Time & Attendance Work Program (University) (Sep 05)
  708. Trade Creditors Audit Program (Word) 
  709. Trade Debtors Audit Program (11/1/03)
  710. Trade Receivables 
  711. Trading Operations Audit Program (Word pdf)
  712. Travel and Business Conference Audit Program
  713. Travel and Entertainment Expenses (10/1/03) 
  714. Travel Program Audit 
  715. Travel and Expense Reimbursement Audit Program
  716. Travel Review Audit Work Program
  717. Travel Systems Checklist (GAO)
  718. Treasury Auction Audit
  719. Treasury Department Audit Program (01/04)
  720. Treasury Department Reconciliation (01/04) 
  721. Treasury Preliminary Controls Assessment Questionnaire
  722. Treasury Operations Foreign Exchange Audit Program
  723. Trust Department Audit Program 
  724. Tuition Reimbursement Audit Program (July 2004)
  725. Underwriting Procedures 
  726. UNIX Servers APG (Jan 2005)
  727. UNUM Reinsurance Treaty File Audit Program (May 04)
  728. Using the Work of Internal Auditors Checklist (Sep 04)
  729. VAT Audit Work Program 
  730. Vehicle Auction End of Lease Charges Audit Program   
  731. Vendor Audit Checklist - Energy Industry (July 04) 
  732. Vendor Audit Procedures- Energy Industry (July 04) 
  733. Vendor Audit Program - Energy Industry (July 04) 
  734. Vendor File Validity Audit Program (Word) PDF
  735. Vendor Review Audit Program (July 05)
  736. Warehouse Management (Word) (pdf)
  737. Warehouse Operations Audit Program (Word)  
  738. Warehouse Audit Program 
  739. Warehousing and Storage Checklist 
  740. Water Scarcity ICQ
  741. Web Server Audit Program (Word) (pdf)
  742. Wholesaler Charge Backs Audit Program   
  743. Wire Transfer Audit Program
  744. Wire Transfer Audit Program (Oct 04)
  745. Working Capital Management Audit Program (June 04)

AUDIT PROGRAMS-GOVERNMENT 

  1. Accounts Payable Purchasing Audit Program (pdf)
  2. Building Inspections Receipts Review
  3. Capital Assets and Depreciation (Government) (Sep 05)
  4. Central Automotive Maintenance
  5. Child Support Services (CSS) (July 04) 
  6. Child Support Services Segregation of Duties Matrix (July 04)
  7. County - Arts Audit Program
  8. EMS Revenue Recovery (Feb 04) 
  9. File Review Checklist Social Services (Nov 04)
  10. Fire Expenditures
  11. FLSA Audit Program (Excel)
  12. General Services Expenditures Audit Program (pdf)
  13. Grants Audit Program 
  14. Head Start Pre Audit Checklist 
  15. Investment Review
  16. Library Expenditures (Feb 04) 
  17. Mental Health and Mental Retardation Fee Billings and Collections 
  18. Miscellaneous Expenditures (pdf) (CAATS & Benford's Law)
  19. Overtime Review
  20. Personnel Rules Compliance Audit-Government (Dec 05)
  21. Police Administration Audit Program (pdf)
  22. Police Expenditures
  23. Position Control Audit
  24. Professional & Other Contractual Services
  25. Protecting Personal Information Audit Program - SSN (11/1/03)
  26. Protecting Personal Information Survey (11/1/03)
  27. Public Information Office Audit
  28. Public Utilities Receipts Review
  29. Recorder of Deeds Audit Program (Mar 05)
  30. Risk Assessment Audit Program from the City of San Jose
  31. Risk Management Review
  32. Risk Management Operation Audit Program (pdf)
  33. Sheriff's Office Expenditures
  34. Solid Waste Audit Program  (pdf)
  35. South Carolina Budget and Control Board Compliance Audit 
  36. Sub-recipient Monitoring Checklist 
  37. Travel Audit Program (Government) (August 04)
  38. Uniform Guide for Initial Review of A-133 Audit Reports (8/1/03)
  39. Uniform Quality Control Review Guide for A-133 Audits (8/1/03)
  40. Using a Service Entity Checklist (Nov 04)
  41. Vendor File Validity Audit Program PDF  

 

Round Rock Independent School District Audit Programs

  1. Accounts Payable
  2. Attendance Accounting
  3. Campus Audit – Elementary
  4. Campus Audit – High School
  5. Campus Audit – Middle School
  6. Cash Operations
  7. Construction
  8. Criminal History Background Checks
  9. Disaster Management & Recovery
  10. Dropout-Leaver Records
  11. Energy Management
  12. Food Services
  13. Human Resources
  14. Maintenance Operations
  15. Payroll
  16. PEIMS
  17. Program Evaluation
  18. Purchasing
  19. Risk Management
  20. Tax Office Operations
  21. Textbooks

AUDIT PROGRAMS-SPANISH

  1. Application Controls (Portuguese) (Nov 04)
  2. Cajas de Ahorro ICQ (Dec 2004)
  3. Checklist General (en espanol)  (01/04)
  4. Cuestionario de Control Interno (Jan 2005)
  5. General Business Audit Program (Spanish)
  6. Inmuebles E Instalaciones (Fixed Assets) Spanish (Nov 04)
  7. Lista de Chequeo Pare el Centro de Computo
  8. Matriz de Objetivos de Controles para Interfaces (Jan 2005)
  9. Mercadotecnia (Marketing) Audit Program (Spanish) (July 04)
  10. Metodologia de Desarrollo (Systems Development Audit Program in Spanish) (12/1/03)
  11. Riesgo Seguros (Insurance Risk-Spanish) (Sep 05) Resort Industry
  12. Riesgo Funcionarios y Empleados (Loan Risk-Spanish) (Sep 05) Resort Industry
  13. Seguridad Fisica Control Interno
  14. Programa General Completo de la Auditoría del Negocio
  15. Sarbanes Oxley Audit Review-Portuguese (Mar 07)
  16. Sarbanes Oxley Governance Risk-Portuguese (Mar 07)

AUDIT PROGRAMS-WORLDWIDE

  1. Unit Trust New Business Audit Program (South Africa) (Word) (pdf)
  2. Unit Trust Repurchases Audit Program (South Africa) (Word) (pdf)

INTERNAL CONTROL QUESTIONNAIRES

  1. Absenteeism ICQ 
  2. ACH ICQ (xls)  
  3. Accounts Payable Questionnaire (Healthcare) (Oct 05)
  4. Admissions & Transfers (Schools) ICQ (10/1/03) 
  5. Applications Controls Questionnaire (Sep 04)
  6. Alcohol Harm Reduction Strategy (Government) ICQ (Dec 2004)
  7. AS 400 ICQ (May 04) 
  8. ATM-EFT Controls ICQ (Oct 04)
  9. ATM Network ICQ (July 04)
  10. Background Screening ICQ (April 04) 
  11. Bank Consumer Compliance ICQ 
  12. Banking ICQ (July 05)
  13. Branch ICQ (May 04) 
  14. Budgetary Control ICQ (9/1/03) 
  15. Business Units ICQ (April 04) 
  16. Capital Accounting ICQ (12/1/03)
  17. Capital Projects ICQ (Feb 04) 
  18. Cash Advance ICQ 
  19. Cash Advance ICQ (8/1/03) 
  20. Cash Security ICQ-Banking (Dec 05)
  21. Cataclysmic Disasters ICQ (Oct 05)
  22. Cell Phone ICQ (May 05)
  23. Change Control ICQ (Mar 04) 
  24. Change Management Questionnaire (Nov 04)
  25. Checklist by Cycle (Nov 04)
  26. Circuit Fiber Procurement ICQ (May 04) 
  27. Claimant Eligibility ICQ (April 04) 
  28. Climate Change (Government) ICQ (June 04)
  29. Communications Review ICQ 
  30. Company Credit Card ICQ 
  31. Complaints ICQ (12/1/03)
  32. Computer Data Processing ICQ (June 04)
  33. Conflict Management Policy ICQ (Aug 05)
  34. Congestion Reduction Strategy ICQ (Dec 2004)
  35. Consumer Loans Procedures and ICQ 
  36. Corporate Governance ICQ 
  37. CSR Infrastructure ICQ  (Aug 05)
  38. Counter-Terrorism (Government) ICQ
  39. Creditors ICQ (11/1/03)
  40. Crisis Management Self Assessment Questionnaire (12/1/03)
  41. Customer Focus ICQ (Dec 05)
  42. Damaged Stock Processing ICQ 
  43. Decision Making ICQ (Dec 05)
  44. Departmental Performance Measurement ICQ (12/1/03)
  45. Deposit Accounts ICQ (xls) 
  46. Disaster Recovery - Contingency Planning ICQ
  47. Economic Development in the Mining Industry ICQ (Dec 2004)
  48. Electronic Funds Transfer ICQ
  49. Electronic Funds Transfer (SWIFT) ICQ
  50. E-mail System ICQ (May 05)
  51. Emergency Response Plan ICQ (Mar 04) 
  52. Engineering & Maintenance ICQ (8/1/03)
  53. Engineering Maintenance Inventory ICQ (1) 
  54. Engineering Maintenance Inventory ICQ (2) 
  55. Environmental Audit ICQ
  56. Environmental Health Inspections ICQ 
  57. Ethical Investment ICQ (May 05)
  58. Ethical Standards ICQ
  59. External Consultants ICQ (9/1/03) 
  60. Financial Regulations ICQ (12/1/03)
  61. Fixed Assets ICQ (Sep 04)
  62. Food & Beverage Outlet ICQ 
  63. Freedom of Information ICQ (July 05)
  64. Funding for Students with Difficulties ICQ (8/1/03)
  65. General Ledger ICQ (Mar 04) 
  66. Government Policy ICQ (Mar 04) 
  67. Gramm-Leach-Bliley Act ICQ 
  68. Harassment ICQ 
  69. HOA ICQ 
  70. Hotel Outlet Spot Check Questionnaire (12/1/03)
  71. Human Resources Audit Checklist (May 05)
  72. Human Rights ICQ (June 04)
  73. Income and Debtors ICQ (Mar 04) 
  74. Individual Retirement Account ICQ (June 04)
  75. Insider Lending ICQ  
  76. Inventories ICQ (Sep 04)
  77. Inventory ICQ 
  78. Inventory ICQ (10/1/03) 
  79. Inventory Control ICQ Power Generation & Transmission Company (Oct 04)
  80. Inventory Management ICQ (Nov 04)
  81. IS Maintenance Activities General Controls Questionnaire  (Nov 04)
  82. Knowledge Management ICQ (Mar 04) 
  83. Maintenance & Materials Management ICQ (May 05)
  84. Material Stores Inventory ICQ (1) 
  85. Material Stores Inventory ICQ (2) 
  86. Mult-Security Assessment Checklist (Mar 04) 
  87. Obesity Reduction Strategy ICQ (June 04)
  88. Ordering and Purchasing ICQ 
  89. Organization Structure ICQ (July 05)
  90. Partnership Agreements (Education) ICQ (9/1/03) 
  91. Payroll ICQ (Sep 04)
  92. Payroll ICQ (Feb 04) 
  93. Payroll/HR ICQ 
  94. Performance Management ICQ (Sep 04)
  95. PFI (Private Finance Initiative) Contracts ICQ (Oct 04)
  96. Pharmacy Regulation ICQ 
  97. Physical Security Data Center ICQ (Mar 04) 
  98. Poverty Reduction Strategy (Government) ICQ (June 04)  
  99. Procurement ICQ 
  100. Procurement ICQ 
  101. Procurement Operations
  102. Promotional Fund ICQ 
  103. Publishing Policy ICQ (June 04)
  104. Purchasing & Accounts Payable ICQ (Sep 04)
  105. Recruitment of Staff ICQ 
  106. Recruitment of Staff (Medical) ICQ (Oct 04)
  107. Representation Expense ICQ
  108. Retirement Plan ICQ 
  109. Sales & Accounts Receivable ICQ (Sep 04)
  110. Sales & Marketing Inventory ICQ (1) 
  111. Sales & Marketing Inventory ICQ (2) 
  112. Scaffolding ICQ (Construction Industry) (Oct 05)
  113. Space Utilization ICQ (Oct 04)
  114. Sports Development ICQ (July 05)
  115. Staff Administration (General) ICQ (Oct 04)
  116. Staff Planning ICQ (12/1/03) 
  117. Staff Utilization ICQ (12/1/03)
  118. Strategic Asset Management ICQ (9/1/03) 
  119. Student Counseling and Support ICQ 
  120. Talent Creation ICQ (Nov 04)
  121. Tape Library ICQ (Mar 05)
  122. Treasury Management ICQ 
  123. Treasury Management (Local Government) ICQ (Oct 04)
  124. Treasury Management ICQ (17 pages) (Aug 05)
  125. Use of Contract and Agency Staff ICQ (12/1/03)
  126. Vote Buying (Government) ICQ (June 04)
  127. Water Scarcity ICQ
  128. Whistleblowing ICQ (Sep 04)
  129. Wire Room ICQ (Word)
  130. Wire Transfers Branch ICQ 

B. INFORMATION SYSTEMS TECHNOLOGY AUDIT PROGRAMS

  1. Access Controls
  2. Access Security Checklist (Word) 
  3. AIX Audit Program 
  4. AIX Security Issues (01/04) 
  5. Application Controls Audit Program (01/04) 
  6. Application Infrastructure (01/04) 
  7. Application Security Audit Program (July 2004)
  8. Application Security Review (01/04) 
  9. Application Systems IT Audit Program 
  10. AS/400 Control Matrix (8/1/03) 
  11. AS400 Audit Program (Word) (pdf)
  12. AS 400 ICQ (May 04) 
  13. AS 400 Information Security Audit Program (Oct 04)
  14. AS400 Template
  15. AS400 Operations Audit Program (Mar 05)
  16. AS400 Security Audit 
  17. Audit Guide for Web Based Applications (Word) (pdf)
  18. Auditing Windows Web Server IIS 5.0 (01/04)
  19. Baan Audit Program (9/1/03) 
  20. Banyan Vines Audit Program 
  21. Call Center Audit Program (Word) (pdf)
  22. Call Center Audit Program 
  23. Computer Room - Physical Security Audit Checklist
  24. Change Control Audit Program (12/1/03)
  25. Change Management Work Program (01/04)
  26. Change Management Audit Program (8/1/03)
  27. Change Management 
  28. Change Management 
  29. Change Management Audit Program
  30. Checkpoint Firewall Audit Program (Word) (PDF)
  31. Checkpoint Firewall Review (Apr 05)
  32. Cisco PIX Firewall Audit Program (11/1/03)
  33. Cisco Router Audit Program (12/1/03) 
  34. Cisco Router Audit Program (Word)
  35. Cisco Router Audit Program 
  36. Client Server Audit Program 
  37. Client Server Audit Program 
  38. Client Server Data Center Controls Review
  39. Client/Server Front-End Security and Control 
  40. Client Server Security 
  41. Computer Application Controls Audit
  42. Computer Centers Audit Program 
  43. Computer Incident, Intrusion, Emergency Response (Word) (pdf)
  44. Computer Security Control Objectives 
  45. Computer Systems and Controls (01/04) 
  46. Computer Support Audit Program 
  47. Configuration Management (Dec 2004)
  48. Configuration Management Based on NIST 800-53
  49. CM Controls (Professional Services) (Sep 05)
  50. Data Backup and Recovery AS400 Data Center Audit Program
  51. Data Center Examination
  52. Data Communication Controls Review (11/1/03)
  53. Data Center General Controls (Word) (pdf)
  54. Data Test Objective Audit Program (11/1/03) 
  55. Data Warehouse Control Worksheet  (pdf) 
  56. DB2 Audit Plan (Nov 04)
  57. Desktop Audit Program  (Mar 04) 
  58. Desktop Software License Audit Program (11/1/03)
  59. EDI Systems Audit Program (10/1/03) 
  60. EDP Controls 
  61. EDP-IT General Controls Review (Sep 04)
  62. Electronic Banking Work Program 
  63. E-Banking Examination Procedures
  64. E-Business Audit Check List 
  65. E-commerce Audit Program
  66. E-commerce Questionnaire and Audit Program (xls)
  67. EFT Wire Transfer Audit Program 
  68. EFT Questionnaire 
  69. E-mail audit guidelines
  70. E-Mail Policy Compliance 
  71. E-Mail Security Controls Audit Program (Federal) (Sep 05)
  72. Email Usage Policy (01/04)
  73. Enterprise Network Review (Aug 2005)
  74. Firewall Audit Program (8/1/03)
  75. Firewall Audit Program 
  76. Firewall Audit Program
  77. Firewall Audit Program (Word) 
  78. Firewall Audit Program December 2003 (Feb 04) 
  79. Firewalls Management Policy (01/04) 
  80. Firewall Risk Matrix (14 pages) (Aug 05)
  81. Generalized Application Security Audit Program
  82. General Computer Controls Program Change (Apr 05)
  83. General Computer Controls Data Center and Computer Operations (Apr 05)
  84. General Computer Controls IT Control Environment (Apr 05)
  85. General Computer Controls Access to Programs and Data (Apr 05)
  86. General IT Audit Program (Dec 2004)
  87. Handheld Devices Audit Checklist  
  88. Help Desk Audit Objectives (8/1/03)
  89. Help Desk Audit Program 
  90. Help Desk Audit Review
  91. Help Desk Internal Control Questionnaire
  92. Help Desk Audit Objectives
  93. HP-UX Audit Program 
  94. HP-UX Checklist
  95. Information Security Administration & Access Security Review 
  96. Information System Objective & Control Environment Summary 
  97. Information System Security Administration Questionnaire
  98. Information Technology Policy Audit Program  
  99. IP Telephony Questionnaire 
  100. IT Audit Process Description (April 04) 
  101. IT Environment Controls Audit Program 
  102. IT Environment Controls Audit Guide 
  103. IT General Controls (April 04)
  104. IT General Controls 
  105. IT General Controls 
  106. IS General Controls Review (Word)
  107. IT General Controls Review 
  108. IT General Risk Review (11/1/03)
  109. IT General Risk Review (12/1/03)
  110. IT Control Environment 
  111. IT General Controls Review Audit Program
  112. ITIL Incident Problem & Change Management Audit Program (Federal) (Sep 05)
  113. IT Integration Audit Program 
  114. IT Project Management Review Procedures 
  115. IT Risk Assessment Form (Sep 05)
  116. IT Risk Assessment Planning GLB (Nov 04)
  117. IT Risk Assessment Template (Excel) 
  118. IT Risk Matrix   
  1. IT Security Control Objectives Audit Program (May 04) 
  2. Integrated Audit Program (Dec 2004)
  3. Internet Access Audit Program 
  4. Internet Audit Program (August 04)
  5. Internet Banking Audit Program 
  6. Internet Banking Audit Program (10/1/03) 
  7. Internet - Evaluation of Use
  8. Internet Information Services ICQ 
  9. Internet Review Audit Program (Word) (pdf)  
  10. Internet Security Audit Program
  11. Internet Usage Policy (01/04) 
  12. Intrusion Detection and Incident Escalation Policies (01/04) 
  13. IT Application Audit Program (August 04)
  14. IT Audit Assessment Questionnaire
  15. IT General Controls Review (Sep 04)
  16. IT General Controls System Security (Mar 05)
  17. IT Application Systems Review (Apr 05)
  18. IT Risk Assessment Firewall Audit Program (Apr 05)
  19. IT Risk Audit Work Program (August 04)
  20. IRIX Security Audit Checklist (Nov 04)
  21. ISA Server Security Checklist (Nov 04)
  22. JD Edwards Audit Program
  23. JD Edwards IT & A/P 
  24. JDE One World Security Audit Program (9/1/03) 
  25. Key Card Audit Questionnaire 
  26. LAN Audit Program 
  27. LAN (Novell 4.1) Audit Program (Word)  (pdf)  
  28. LAN Review Checklist
  29. LAN Review ICQ
  30. LAN Data backup and recovery (DBAR) test plan
  31. Local Area Network Audit Program (Dec 05)
  32. Local Area Networks (LAN)
  33. Local Area Networks (LAN)
  34. Local Area Networks (LAN)
  35. Local Area Networks (LAN)
  36. Logical Security Generic Audit Program
  37. Lotus Notes Audit Program
  38. Lotus Notes Risk Matrix  
  39. Malicious Code Prevention
  40. MFGPro Application Review (Oct 04)
  41. Microcomputer End User Virus Protection Audit Program 
  42. Microsoft Server SQL Audit Work Pack (May 04)
  43. Microsoft SMS Audit Checklist (April 04)
  44. Microsoft SQL Server Audit Checklist ((9/1/03)
  45. MS Exchange Email Outlook Audit Program (Sep 04)
  46. MS SQL Server Audit Program
  47. Microsoft Windows 2000 Risk Matrix (June 05)
  48. Middle Tier Audit Program 
  49. MIS Review Work Program from the FFIEC
  50. Materials Audit Questionnaire
  51. Net Readiness Scorecard
  52. Network Engineering & Operations Audit Program 
  53. Netview/Omegamon Audit Program 
  54. New Application Audit Program (01/04) 
  55. Novell Groupwise Review 
  56. Novell Netware 4.11 LAN Audit Program
  57. Novell Work Program (01/04) 
  58. NT Audit Guide 
  59. Top 10 Risks of NT OS 
  60. Novell Network Security Self Assessment
  61. NT Audit and Security Configuration Guidelines 
  62. NT Security Guide 
  63. Oracle Audit Checklist (9/1/03) 
  64. Oracle Audit Program (Word) (PDF)
  65. Oracle Database Audit Program (Sep 04)
  66. Oracle Application Audit (Word) (PDF)
  67. Oracle Database Auditing
  68. Oracle DB Technical Audit Program 
  69. Oracle Financial Applications Audit Guidelines (Oct 05)
  70. Oracle Financials Security Checklist 
  71. Oracle Infrastructure Audit (Word) (PDF)
  72. Oracle Inventory Audit 
  73. Oracle Security Guide 
  74. Packaged Payroll System Audit Program (PeopleSoft) (Aug 04)
  75. Packaged Software Control Objectives 
  76. Password and Security Controls (Sep 04)
  77. Password & Security Controls (Nov 04)
  78. PC Network Audit Program
  79. PeopleSoft Audit Review (Word) (pdf)
  80. PeopleSoft Audit Program 
  81. PeopleSoft Audit Release 7.X 
  82. PeopleSoft Security Work Program (May 04)
  83. PIN Security Program-Auditors Guide (Dec 05)
  84. Post Implementation Review
  85. Post-SAP Production Facility Review (Mar 05)
  86. Powerlock Network Security (9/1/03) 
  87. Preliminary IT Risk Assessment Questionnaire
  88. Remote Access Policy 
  89. Remote Access Security Audit Program 
  90. Review of Information System Controls (Feb 04)
  91. Review of Information System Controls Supplemental Information (Feb 04) 
  92. Router Security Audit Program (Word) (pdf)
  93. SAP Access Risk Procedures Matrix (June 04)
  94. SAP Accounts Payable Audit Program    
  95. SAP Audit Program (Word) (pdf) 
  96. SAP Audit Program 
  97. SAP Audit Info. Approach 
  98. SAP Fixed Assets 
  99. SAP-HR Audit Program 
  100. SAP Materials Management 
  101. SAP Processing Monitorization Checklist (Sep 04)
  102. SAP Reports Request (May 04) 
  103. SAP Security 
  104. SAP Systems Parameters Review  
  105. SAP Audit and Control Points (Feb 04)
  106. SAP Business Process Sales & Customer Service Risk & Control Matrix
  107. SAP Cut-Over Checklist (July 04)
  108. SAP HR Audit Program (Functional) (July 05)
  109. SAP Manual & Fixed Assets Risk & Control Matrix
  110. SAP Master Data Maintenance Audit Plan (Mar 04)
  111. SAP Process Controls Audit Program
  112. SAP R3 Interface Controls Audit Program
  113. Security Administration Network Access 
  114. Security of Electronic Information
  115. Software Change Management (Feb 04) 
  116. Software Configuration Management (Word)
  117. SQL Server Security Audit Program (Aug 05)
  118. Sun Solaris Audit Guide 
  119. Survey on Project Management of the Development of Information Systems 
  120. Sybase Security Controls and Audit 
  121. System Conversion and Reconciliation
  122. System Conversion Best Practices (10/1/03) 
  123. System 88 Audit Program (Word) (pdf)
  124. System Development Project Audit Checklist 
  125. System Development Project Audit Program (Oct 04)
  126. Systems & Computer Environment (Oct 04)
  127. Systems Maintenance Audit Program (8/1/03)
  128. Systems Software Audit Program 
  129. Tandem Audit Program (Word) (pdf)
  130. Tandem Audit Program
  131. TCP IP and Internet Audit Program (11/1/03)
  132. TCP Ports
  133. Technology Help Desk Review (Apr 05)
  134. Telephone Banking Audit Program
  135. Top Secret Audit Program (Word) (pdf)
  136. Top Secret V5.3 Audit Program (Oct 04)
  137. UNIX Audit Script 
  138. Unix Configuration Questions (August 04)
  139. Unix Security Guide 
  140. Unix Security 
  141. UNIX Servers APG (Jan 2005)
  142. Unix System Questions (August 04)
  143. Unix System Services   
  144. UNIX Work Program (01/04) 
  145. User Access Controls Work Program (SOX) (May 04) 
  146. Virtual Private Network Audit Program (Jan 2005)
  147. Virus Detection Audit Program
  148. Viruses Policy Example (01/04) 
  149. Virus Protection & Compliance (01/04) 
  150. Visual Basic Controls 
  151. Voice Response Unit Audit Program (Word) 
  152. Voice Response Unit (Aug 05)
  153. Web Applications Due Diligence (Sep 04)
  154. Web Security Guide 
  155. Web Site Management  
  156. Windows NT 2000 Audit Program (Sep 04)
  157. Windows NT 4.0 (June 04)
  158. Windows NT Audit Program (8/1/03)
  159. Windows NT Audit and References
  160. Windows NT Audit and Security (Word) (PDF)
  161. Windows NT Audit Program Risks/Controls  (PDF)
  162. Windows NT Information Request
  163. Windows NT Logical Security
  164. Windows NT Security Audit 
  165. Windows NT Security Survey 
  166. Windows 2000 Risk Matrix (Aug 05)
  167. Windows 2000 Operating System Audit Checklist (11/1/03)
  168. Wireless LAN Audit Briefing (Feb 04) 
  169. Wireless LAN Review (9/1/03) 
  170. Wireless Networking 
  171. Year 2000 Audit Program
  172. Year 2000 Best Practices
  173. Year 2000 Internal Control Questionnaire
  174. Y2K Audit Program
  175. Z Operating System Audit 

C. MAINFRAME AND TECHNICAL AUDIT PROGRAMS

  1. Access Control Facility Review (Part 1 of 2)
  2. Access Control Facility Review (Part 2 of 2)
  3. ACF2/VM Review
  4. ACF2 Review
  5. ACF/VTAM Review
  6. AIX Control and Risks 
  7. AS400 Audit Program
  8. AS 400 Security Review 1
  9. AS 400 Security Review 2
  10. Auditing MVS
  11. Backup and Data Retention Audit Program
  12. CA-1 Tape Management System Review
  13. CA-7 Job Scheduling System Review
  14. CA-11 Restart Management System Review
  15. CA-Top Secret Audit Program
  16. CICS Computer
  17. CICS Audit
  18. Change Control Audit
  19. Change management test plan
  20. Control of Applications Using DB2 Database (Truncated)
  21. Control of DB2 Software and Environment (Truncated)
  22. Security Posture of the DPA/ATS
  23. Data Facility/Data Set Services DASD Management Review
  24. DB2 Audit Program
  25. DMS/OS DASD Management Review
  26. DEC VAX/VMS Operating System Security Review
  27. DEC VAX/VMS Operating System/Logical Security Review
  28. Dial-In Audit Program
  29. DOS/VSE Review
  30. EDI Audit
  31. Endeavor Audit
  32. Fast Dump Restore DASD Management System Review
  33. FAQS/VM Review
  34. Imaging Work System
  35. IMS Database
  36. IMS System Controls
  37. Information Systems General Control Review
  38. Ingres Audit
  39. IOF MVS Audit Program
  40. JES2 Subsystem Review
  41. Librarian/Panapt
  42. MPE V/E Operating System Review
  43. MVS Audit Program (Word)
  44. MVS Operating System Review
  45. MVS Audit
  46. MVS Technical Operating System Audit Program (Dec 2004)
  47. Omegamon MVS Review
  48. Omegamon/C/VS Review
  49. Open VMS Access Controls (August 04)
  50. Program Change Review MVS
  51. RACF Audit Program (Word) (PDF)
  52. RACF Audit Program 2004 (Nov 04)
  53. RACF Audit
  54. RACF Security
  55. General RACF Protection
  56. SAR/SYSOUT Archive and Retrieval
  57. System Display and Search Facility Review
  58. System Implementation Audit
  59. Tape Inventory Audit Program
  60. Time Sharing Option Subsystem Review
  61. TSO Online Services
  62. UNIX Operating System Security Review
  63. UNIX Security Checklist
  64. UNIX Auditor's Practical Handbook
  65. VAX-VMS Systems
  66. VAX/VMS
  67. VM/Secure Review
  68. VM/Batch Review
  69. VM Operating System Review
  70. VSE/SP Review