16 August 2007
Audit Scope Planner Audit title: Audit reference: Audit location: www.adm.bham.ac.uk/finance/audit Risk based scope planner (ver 2).doc No. Question Answer 1. What are the (key) objectives of your unit? How are these relevant to the identified objectives of the Corporate Plan? 2. Describe the regulatory environment for your school / unit. In particular, are there any laws, rules or regulations that you know you specifically have to work within? NB – this can also include specific University policies for the area concerned. What are the consequences of not complying with these requirements? 3. What information do you draw upon, and what records do you maintain to help you manage your school / unit? Detail the types of information used, their sources and how you ensure that it is accurate meaningful and reliable. How effective are they in helping the school / unit manage the other aspects of its work as defined in questions 1,2, 4 & 5? 4. How do you ensure that your processes and activities remain effective, efficient and economical? Do you review or compare your school / unit on a regular basis to secure improvements in operations and costs? 28/11/03 University of Birmingham Internal Audit Service Audit Scope Planner Audit title: Audit reference: Audit location: www.adm.bham.ac.uk/finance/audit Risk based scope planner (ver 2).doc No. Question Answer 5. What are the key assets and resources that you use for the successful operation of your school / unit? How do you safeguard your investment in them and ensure that they are employed for optimum use? 6. How would you measure the success of your unit? Compare response to VFM issues arising from Q4 above. 7. What are the factors that could potentially help you achieve your objectives? 8. What are the factors that could potentially prevent you from achieving your objectives? 9. How would you describe your unit’s attitude / approach towards risk? 28/11/03 University of Birmingham Internal Audit Service Audit Scope Planner Audit title: Audit reference: Audit location: www.adm.bham.ac.uk/finance/audit Risk based scope planner (ver 2).doc No. Question Answer 10. What are the key challenges and changes facing your school / unit over: �� The next year? �� The next three years? How do they relate to the Corporate Plan? How do you intend to address them? 11. If you had additional resources how would you use them? Link answer back to answers from questions 1 to 5 but with specific emphasis on the accomplishment of objectives (question 1). 12. What is the worst thing that could happen in your unit? Relate answer to answers from questions 1 to 5.
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