Audit System New Zealand Process Map
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- Valerie Henderson
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1 FIRST YEAR 1. Engagement file setup Create file Select engagement type (New Zealand) Engagement Properties Set-up Consolidations (if required) Import TB Map TB (yr 1 only) Determine materiality (2-200) Refresh & review materiality checkboxes (FSA) Engagement Optimiser (OPTNZ) Run Optimiser Confirmation Report (OCR) Review & confirm recommendations from the OPT, then click Proceed with Deletion Review & confirm recommendations from the FSA, then click Proceed with Deletion 2. Client Acceptance and Continuance Confirm that all potential audit team members are independent (Folder & 6-115) relevant acceptance/ continuance workpapers (1-220NZ to 1-235NZ) Draft engagement letter (1-310) Issue engagement letter Attach signed engagement letter to placeholder (1-315) 3. Plan the engagement Document understanding of the entity (2-100NZ, 2-105NZ & 2-110NZ) relevant Risk Assessment workpapers (Folder Phase A Risk Assessment) Document overall audit strategy in compliance with ISA (NZ) 300 (2-400NZ) Determine Specific Overall/ance Materiality balances (if required 2-200) Hold audit team planning meeting (2-420NZ) Page 1
2 FIRST YEAR 4. Risk assessment Review Risk Reports Link risks to Risk Response Record relevant controls (select New Control, Import Controls or RiskSpace) walkthroughs where relevant Document and assess results in (CRPT and/or Folder 3-150) Re-visit FSA and document Inherent, Control and Overall risk assessments and work to be performed Import Year-end balances 5. Risk Response Use Document Manager to include evidence. (Make use of the Internal Image Viewer and Annotations) relevant work and risk response Calculate sample sizes using worksheets (B.70 to X.70) Analytical (Folder 3-100) Post Adjusting Journal Entries (Folder 4-100) the FSA and sign off applicable assertions Open Constellations to visualise the relationships between Risks, Controls, Reportable Items, Business Cycles and the FSA 6. performed performed & document review notes (6-110, Document Manager & Add New Issue) issues (Review OS1 & RP1) Review audit responses to assessed risks Ensure all relevant ISA (NZ) requirements have been addressed (6-100NZ) Review Management Letter Report (MPRT) Corps Act section 311 Reporting to ASIC (if required 6-130) Reconfirm Independence at the end of the engagement (Review 6-115) Page 2
3 FIRST YEAR 7. and Form opinion Assess auditor and management responses to assessed risks (5-330 & 5-340NZ) Consider subsequent events & going concern (4-200NZ, 2-150NZ & 4-250NZ) relevant Audit Opinion and KAMs workpapers (Folder 4-700) Draft Audit Report (4-760) Draft relevant Management letter(s) (5-210 and/or 5-220) quality control (5-300NZ, 5-310NZ & 5-320NZ) Clear issues (Review PPA3) Assess and complete the memorandum (6-150) 8. File Wrap Up Review Roll forward properties Year End Close (Engagement > Year End Close) Clean up file (Engagement > Clean Up) Lock down file (Engagement > Lockdown) Page 3
4 SUBSEQUENT YEARS 1. Engagement file setup Roll forward & Update engagement file Review Engagement Properties Check Consolidations Import current period TB Map new TB accounts Determine materiality (2-200) Refresh & review materiality checkboxes. Re-insert any associated work programs from the WP/Ref column for newly material FSAs. (FSA) Review & re-confirm deleted workpapers in the OCR workpaper and for immaterial FSAs. (Click Proceed with Deletion button) 2. Client Continuance Confirm that all existing / new audit team members are independent (Folder & 6-115) or Review relevant continuance workpapers (1-235NZ) Draft engagement letter (1-310) Ensure all other requirements of ISA (NZ) 210 are addressed (1-300NZ) Issue engagement letter Attach signed engagement letter to placeholder (1-315) 3. Plan the engagement Confirm understanding of the entity (2-100NZ, 2-105NZ & 2-110NZ) relevant Risk Assessment workpapers (Folder Phase A Risk Assessment) Review overall audit strategy in compliance with ISA (NZ) 300 (2-400NZ) Determine Specific Overall/ance Materiality balances (if required 2-200) Hold audit team planning meeting (2-420NZ) Page 4
5 SUBSEQUENT YEARS 4. Risk assessment Review Risk Reports Link risks to Risk Response Record relevant controls (select New Control, Import Controls or RiskSpace) walkthroughs where relevant Document and assess results in (CRPT and/or Folder 3-150) Re-visit FSA and document Inherent, Control and Overall risk assessments and work to be performed Import Year-end balances 5. Risk Response Use Document Manager to include evidence. (Make use of the Internal Image Viewer and Annotations) relevant work and risk response Calculate sample sizes using worksheets (B.70 to X.70) Analytical (Folder 3-100) Post Adjusting Journal Entries (Folder 4-100) the FSA and sign off applicable assertions Open Constellations to visualise the relationships between Risks, Controls, Reportable Items, Business Cycles and the FSA 6. performed performed & document review notes (6-110, Document Manager & Add New Issue) issues (Review OS1 & RP1) Review audit responses to assessed risks Ensure all relevant ISA (NZ) requirements have been addressed (6-100NZ) Review Management Letter Report (MPRT) Reconfirm Independence at the end of the engagement (Review 6-115) Page 5
6 SUBSEQUENT YEARS 7. and Form opinion Assess auditor and management responses to assessed risks (5-330 & 5-340NZ) Consider subsequent events & going concern (4-200NZ, 2-150NZ & 4-250NZ) relevant Audit Opinion and KAMs workpapers (Folder 4-700) Draft Audit Report (4-760) Draft relevant Management letter(s) (5-210 and/or 5-220) quality control (5-300NZ, 5-310NZ & 5-320NZ) Clear issues (Review PPA3) Assess and complete the memorandum (6-150) 8. File Wrap Up Review Roll forward properties Year End Close (Engagement > Year End Close) Clean up file (Engagement > Clean Up) Lock down file (Engagement > Lockdown) Page 6
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