Fieldwork or analysis
This phase marks the beginning of formal audit activities, including holding the entrance conference, gathering and analyzing data and evidence, and preparing findings, conclusions and recommendations.
Entrance conference. At the start of an audit, the auditors will meet with agency staff for an entrance conference. The following document includes four best practices for agencies to consider for the entrance conference.
Data request tracking sheet. The data request tracking sheet is used to document data requests from the auditor, control versions of data provided to the auditor and track whether requests were answered timely.
Issue tracking log. The issue tracking log provides a mechanism for tracking issues and their resolution. The agency liaison should identify issues, assign them for resolution, monitor them for completion and then close.
- Key communications tracking (.doc)
- Summary log for status meetings and issues raised (.doc)
- Audit liaison status meeting (.doc)