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Internal Audit

B3.1 – Process Level Risk Assessment

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About this template

Help plan for a risk based audit by using this process level risk assessment tool. This tool encourages the team to think of the high level end to end process for the audit topic. Within this high level process flow, the team can record all identified controls, and ay actual or potential risks Once completed, the team can then perform a risk assessment, considering the liklihood and impact of the risk occuring. The final conclusion can then help the team to better determine where they should direct their audit effort and ensure a test plan appropraitely addresses the risk.

When to use this template

This template should be used in the planning phase and should be completed once all process walkthoughs have been performed. The template should be used before there are any planning discussions.

Things to be careful about

The risk matrix and guidance slide within this document should be updated to reflect / align to your organisations current risk framework.

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