Statewide Internal Audit
Quality Assessment Review - Progress Chart
September 2009
Tool
Title
Tool 16
Preparation and Planning for
Conducting a QA
Self-Assessment Guide
Chief Audit Executive
Questionnaire
Audit Customer Survey
Internal Audit Activity Staff
Survey
Interview Guide - Board (Audit
Committee) Member
Interview Guide – Executive to
Whom the CAE Reports
Interview Guide – Senior and
Operating Management
Interview Guide – Chief
Information Officer
Interview Guide – Chief Audit
Executive
Interview Guide – Internal Audit
Activity Staff
Interview Guide – External
Auditor
IA Activity Structure and
Responsibilities
Risk Assessment and Audit
Planning
Staff Professional Proficiency
Information Technology
Assessing Production and Value
Added
Tool 17
Planning and Conducting the
Engagement, Work Paper
Review, Audit Report, and
Monitoring Progress
Tool 1
Tool 2
Tool 3
Tool 4
Tool 5
Tool 6
Tool 7
Tool 8
Tool 8A
Tool 9
Tool 10
Tool 11
Tool 12
Tool 13
Tool 14
Tool 15
Tool 18
Tool 19
Tool 20
Observations and Issues
Worksheet
Standards Compliance
Evaluation Summary
Reports – Explanatory
Information
Completed
Date
Notes
12/1/2008
Completed
5/13/2009
7/24/2009
Completed
Completed
6/18/2009
Completed
5/21/2009
Completed with Joe Trubacz, CFO
9/3/2009
This is the expected completion date
1/12/2009
Completed
1/20/2009
2/2/2009
2/16/2009
Completed
Completed
Completed
3/9/2009
Completed
Prior audits have been selected for
this review, but the work will not
begin until our external audit work is
complete
This is where we describe the
exceptions noted in any of the other
tools.
This is the summary of all the other
work papers