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Template Workpaper - Background Research and Planning


About this template

When planning for an audit, it makes sense that we leverage off the resources and information readily available to us. Such resources and information can include:

  • Organisation charts;
  • Policy and procedures documents;
  • Business objectives and strategy;
  • Competitor information;
  • Intranet information;
  • Legislation and regulation; and
  • Better Practice Guides or guidance documents.


Whilst this isn’t an exhaustive list, it’s a starting point to help you understand who you will be engaging with in this audit, what the current processes are, and what industry (and other businesses) are doing.



Why use this template

Planning is important. Failure to properly plan an engagement can result in an ineffective review which wastes the time of both the auditor and the business area. A poorly planned audit can also strain the relationship between the business and audit function.


This template will help ensure the auditor understands the audit topic before meeting with key contacts, allowing for a more informed and meaningful planning discussion. Quality planning meetings will allow for a well scoped audit that adequately addresses the risks and opportunities within the business area, whilst providing the opportunity to value add.


When to use this template

This template should be used in the planning phase and should be one of the first activities completed by the auditor. The template should be used before there are any planning discussions.


Things to be careful about

This template is only a guide. Not all parts of the template may be relevant to your audit topic. Conversely, your audit may need to consider other items not currently factored into this template.


It’s also important that the right amount of time and effort is invested in this. The auditor should perform enough to have a good high-level understanding, but not fall into the trap of commencing fieldwork.

B1 - Background Research and Planning

Excluding VAT
  • The information contained in this template is of a general nature and is for information purposes only.


    My Audit Spot assumes no responsibility for errors or omissions in the contents of the template and any assocaited information.


    In no event shall My Audit Spot be liable for any special, direct, indirect, consequential, or incidental damages or any damages whatsoever, arising out of or in connection with the use of the template or the contents of the template and any assocaited information. My Audit Spot reserves the right to make additions, deletions, or modifications to the contents on the template and any associated information at any time without prior notice. 


    All disclaimers can be viewed here: https://www.myauditspot.com//legal-stuff.


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