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May 14, 2018Chapter 15 – Illustrative Solutions – FINAL

CHAPTER 15 THE CONSULTING ENGAGEMENT Illustrative …

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May 14, 2018Chapter 14 – Illustrative Solutions – FINAL

CHAPTER 14 COMMUNICATING ASSURANCE ENGAGEMENT OUTCOMES AND PERFORMING FOLLOW-UP PROCEDURES Illustrative …

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May 14, 2018Chapter 13 – Illustrative Solutions – FINAL

CHAPTER 13 CONDUCTING THE ASSURANCE ENGAGEMENT Illustrative …

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May 14, 2018Chapter 12 – Illustrative Solutions – FINAL

CHAPTER 12 INTRODUCTION TO THE ENGAGEMENT PROCESS Illustrative …

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May 14, 2018Chapter 11 – Illustrative Solutions – FINAL

CHAPTER 11 AUDIT SAMPLING Illustrative …

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May 14, 2018Chapter 10 – Illustrative Solutions – FINAL

CHAPTER 10 AUDIT EVIDENCE AND WORKING PAPERS Illustrative …

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May 14, 2018Chapter 9 – Illustrative Solutions – FINAL

CHAPTER 9 MANAGING THE INTERNAL AUDIT FUNCTION Illustrative …

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May 14, 2018Chapter 8 – Illustrative Solutions – FINAL

CHAPTER 8 RISK OF FRAUD & ILLEGAL ACTS Illustrative …

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May 14, 2018Chapter 7 – Illustrative Solutions – FINAL

CHAPTER 7 INFORMATION TECHNOLOGY RISKS AND CONTROLS Illustrative …

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May 14, 2018Chapter 6 – Illustrative Solutions – FINAL

CHAPTER 6 INTERNAL CONTROL Illustrative …

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May 14, 2018Chapter 5 – Illustrative Solutions – FINAL

CHAPTER 5 BUSINESS PROCESSES AND RISKS Illustrative …

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May 14, 2018Chapter 4 – Illustrative Solutions – FINAL

CHAPTER 4 RISK MANAGEMENT Illustrative …

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May 14, 2018Chapter 3 – Illustrative Solutions – FINAL

CHAPTER 3 GOVERNANCE Illustrative …

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May 14, 2018Chapter 2 – Illustrative Solutions – FINAL

CHAPTER 2 THE INTERNATIONAL PROFESSIONAL PRACTICES FRAMEWORK: AUTHORITATIVE GUIDANCE FOR THE INTERNAL AUDIT PROFESSION Illustrative …

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May 14, 2018Chapter 1 – Illustrative Solutions – FINAL

INTRODUCTION TO INTERNAL AUDITING Illustrative …

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May 14, 2018Real world internal audit project FINAL

The information provided in the accompanying documents explains how to implement a process in an internal audit class to work with interested internal audit groups in the community to perform planned internal …

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May 14, 2018Real Internal Audit Project-Final-3rd Edition

This information explains how to implement a process in an internal audit class to work with interested internal audit groups in the community to perform planned internal …

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May 14, 2018Instructor Overview of Real Internal Audit Project-Final-3rd Edition

The Purpose of Using Real-world Audit Projects in the Internal Audit …

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May 14, 2018Illustrative Exam 2-Solution FINAL

Risk management is the process conducted by management to understand and deal with uncertainties (that is, risks and opportunities) that could affect the organization’s ability to achieve its …

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May 14, 2018Illustrative Exam 2 – FINAL

The textbook authors restricted the illustrative exams to essay questions.  One good source of multiple-choice questions is The Certified Internal Auditor: Model Exam Questions published by The Institute of Internal Auditors Research Foundation (IIARF) and available for purchase online …

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May 14, 2018Illustrative Exam 1-Solution FINAL

The purpose of The IIA’s Code of Ethics is “to promote an ethical culture in the profession of internal …

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May 14, 2018Illustrative Exam 1 – FINAL

Note to Instructors: The textbook authors restricted the illustrative exams to essay …

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May 14, 2018Compliance and Ethics Program Maturity Attributes

Exhibit CS2-5 – Compliance and Ethics Program Maturity …

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May 14, 2018Elements of an Effective Compliance and Ethics Program

To have an effective compliance and ethics program, for purposes of …[determining fines and recommending conditions of probation], an organization …

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May 14, 2018PERFORMING A BLENDED CONSULTING ENGAGEMENT CS3

Identify and document an organization’s vision, mission, and …

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May 14, 2018HR Compliance and Ethics Program Maturity Template

SHR Compliance and Ethics Program Maturity Template For use with Scenario …

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May 14, 2018Code of Ethics and Business Conduct Survey

Code of Ethics and Business Conduct Survey Results For use with Scenario …

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May 14, 2018AUDITING THE COMPLIANCE AND ETHICS PROGRAM CS2

Understand the concept of compliance and its relationship to a healthy ethical …

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May 14, 2018AUDITING ENTITY-LEVEL CONTROLS CS1

Describe why entity-level controls are a critical component of a system of internal …

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May 14, 2018CS3 Consulting Engagement-solutions-FINAL

The case study activities are presented below in bold italic print. Our illustrative solution for each activity is presented in regular …

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May 14, 2018CS2 Compliance Program-solutions FINAL

The case study activities are presented below in bold italic print. Our illustrative solution for each activity is presented in regular …

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May 14, 2018CS1 Entity Level Controls-solutions FINAL

The primary purpose of these exercises is to impress upon students the importance of understanding entity-level controls and how to audit them. The exercises, which are research-oriented, can be used at the discretion of the instructor to generate class …

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May 14, 2018Internal audit charter

An internal audit charter is a formal document that defines internal audit’s purpose, authority, responsibility and position within an organisation. It may also be known as terms of …

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May 14, 2018Template Registration Private Interests

To increase transparency and trust in the procurement process and avoid legal and negative public perception …

fraudfighting.org/wp-content/uploads/2018/05/template-registration-private-interests.pdfchecklists
May 14, 2018Template checklist enhancing integrity non competitive tender methods

To assist procuring authorities and procurement practitioners to increase value for money and transparency, and to mitigate risks in public procurement that may arise when using non – competitive tender …

fraudfighting.org/wp-content/uploads/2018/05/template-checklist-enhancing-integrity-non-competitive-tender-methods.pdfchecklists
May 14, 2018Risk Ranking Model

List potential risk events. Consider events that may result in injuries, loss of life, property damage, reputational damage, or other adverse impacts to the …

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May 14, 2018Risk Dashboard

Risk …

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May 14, 2018Public-Procurement-Tool

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May 14, 2018Process Development Plan Template-PD

This template provides a step by step guide to developing the processes around organizational risk management, although with minimal adjustment it will be applicable to other organizational …

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May 14, 2018Process Analysis Checklist-PD

This checklist assumes that you will be developing a process analysis matrix similar to that shown in Table …

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May 14, 2018Portfolio Risk Summary Template-PD

This document is the master document for a single risk. Don’t try to save a few minutes by only completing it in a rudimentary fashion – someone reviewing the document years after the project is completed in an attempt to help them to manage a similar risk should be able to understand the …

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May 14, 2018Portfolio Risk Management Plan Template-PD

Don’t try and do too much with the risk management plan. It is just a summary document that provides an overview of the portfolio risks and allows access to more …

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May 14, 2018Portfolio Contingency Plan Template-PD

This document summarizes the contingency plan for a risk. Every actively managed risk requires a contingency plan and it is vital that the document is completed thoroughly and maintained as the risk evolves and …

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May 14, 2018Anti-Money Laundering (AML) Program

This template is provided to assist small firms in fulfilling their responsibilities to establish an Anti-Money Laundering (AML) Program as required by the Bank Secrecy Act (BSA) and its implementing regulations and FINRA Rule 3310 (AML Compliance Program). Nothing in this template creates any new requirements for AML …

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May 14, 2018Organizational Risk Planning Summary-PD

This document consolidates information from the External Risk Checklist and Internal Risk Checklist templates to provide a summary of the expected risk exposure for a proposed initiative and adds additional information designed to assist in decision …

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May 14, 2018Organizational Risk Identification Checklist-PD

This checklist is deliberately kept as simple as possible to avoid unnecessary overhead. Although the template is set up with Yes / No options it can be considered as a personal memory prompt for risk identification resources rather than a formal document that needs to be …

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May 14, 2018Organizational Risk Analysis Checklist

This checklist is deliberately kept as simple as possible to avoid unnecessary overhead. Although the template is set up with Yes / No options it can be considered as a personal memory prompt for risk analysis resources rather than a formal document that needs to be …

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May 14, 2018MnDOT Illustration of Potential Impacts

Populated Illustration of Executive-Level Risk …

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May 14, 2018Micro Finance Risk Tool

PlaNet Finance Risk Management Public Tools …

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May 14, 2018Internal Control Assessment

Internal Control …

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May 14, 2018Internal Risk Checklist

When an organization undertakes a major initiative there is potential for many different factors to influence the …

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May 14, 2018indicators-procurement-risk

To provide procurement agencies with a guide to detect corruption risks at every stage of the …

fraudfighting.org/wp-content/uploads/2018/05/indicators-procurement-risk-1.pdfchecklists
May 14, 2018Evaluating Risk

List potential risk events. Consider events that may result in injuries, loss of life, property damage, reputational damage, or other adverse impacts to the …

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May 14, 2018Risk Control 5 Process

Risk Control 5 …

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May 14, 2018Level 2 and 3 processes

Level 2 and 3 …

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May 14, 2018Gifts gratuities checklist

To provide procurement practitioners with guidance on the appropriateness on …

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May 14, 2018Fraud-Risk-Management-Tool-2

The Risk Assessment Matrix Tab is used to document the fraud risk assessment. It identifies every fraud risk or exposure, scores the likelihood and significance of each fraud risk/exposure, enables identification of existing control activities and their effectiveness, records the assessed effectiveness of each control activity, identifies residual fraud risk, and allows recording of fraud risk response action …

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May 14, 2018Fraud-Risk-Management-Tool-1

The Governance, Risk Assessment, Control Activities, Investigation-Corrective Action, and Monitoring Tabs list the FRM Points of Focus (POF) and provide space for brief documentation of how the organization has responded to each …

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May 14, 2018Fraud checklist 2012

Examples of Risk Factors Relating to Misstatements Arising from Fraudulent Financial …

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May 14, 2018Fraud Assessment Coso Tool ACFE

Fraud Assessment Coso Tool …

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May 14, 2018External Risks Checklist-PD

When an organization undertakes a major initiative there is potential for many different factors to influence the project. This checklist identifies categories of risk that exist external to the organization that may impact the ability of the organization to successfully deliver the …

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May 14, 2018ERM Work plan

The internal environment encompasses the management tone of the campus/medical center, and sets the basis for how risk is viewed and addressed by all employees. It includes the campus/medical center’s risk management philosophy and risk appetite, integrity and ethical values, and the environment in which they …

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May 14, 2018ERM Plan

The internal environment encompasses the management tone of the campus/medical center, and sets the basis for how risk is viewed and addressed by all employees.  It includes the campus/medical center’s risk management philosophy and risk appetite, integrity and ethical values, and the environment in which they …

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May 14, 2018ERM Implementation Narrative

Activities critical to the completion of the Global ERM Strategy have been identified; this document provides further explanation and details about the most important activities, including …

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May 14, 2018corruption risks associated different phases procurement cycle

Tool: Corruption risks associated with the different phases of the procurement …

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May 14, 2018Coso-frame2

Internal control deficiency …

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May 14, 2018FSSCC ACAT v2

Expand each section to answer each Risk Attribute Statement [i.e. activity, service or …

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May 14, 2018Code of conduct procurement practitioners

To set out values and clear guidance on expected behaviour as well as conflict of interest and post -employment measures for procurement practitioners and other …

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May 14, 2018Checklist post award risk assessments contractor financial vulnerability

To facilitate procurement practitioners’ task to screen contractors’ financial resources in order to ensure the timely and pertinent delivery of supplies, services or works stipulated in the contract …

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May 14, 2018Checklist design tender methods reduce bid rigging

To promote effective competition in public procurement and to achieve better value for money through targeting bid rigging risks in the design of the tender …

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May 14, 2018Checklist 02 Integrity

To guide and support public procurement practitioners in reviewing, developing and updating their procurement framework, according to the 12 principles of the Recommendation of the Council  on Public …

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May 14, 2018Checklist 01 Transparency

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May 14, 2018Anti collusion tender clause

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May 14, 2018Anti Fraud Data Test

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March 22, 2018Compliance and Ethics Program Maturity Attributes

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March 22, 2018Internal Control Assessment, Account Payable

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March 16, 2018Tool-Kit for Grants Management Professionals

intranet.agacgfm.org/public/candidateassessment/?viewmode=0toolkit
March 16, 2018Risk Assessment Tool for Govt

www.agacgfm.org/AGA/Intergovernmental/documents/riskassessmentmonitoringtool.pdfpolicies-procedures
March 9, 2018Subrecipient vs. Contractor Checklist

www.agacgfm.org/AGA/Intergovernmental/documents/subcontractor_checklist.pdfchecklists
January 22, 2016Internal Control Best Practices for Govt

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