Regional Branch Audit Program

 Regional Branch Audit Program GENERAL MATTERS PLANNING Background Information Step: Review previous W/Ps, copies of previous audit report, management responses and permanent file. Presentation Letter Step: Prepare the Presentation Letter and List of Personnel to be provided to the Unit Manager in the Entrance Meeting. Also, ascertain that the Assistant Administrative receives a copy of the Presentation Letter to update the audit log. Walk Thru Step: Performs a walk-through of the audit area. Interviews Branch Region Supervisor Team to determine whether a risk assessment is performed. Prepare the Risk Assessment for the Unit based on the 35 EMR Risk Categories. Update narratives/ flowcharts included in the Permanent File. Changes in Unit's Operations Step: Identifies and analyzes the nature and extent of major changes in the unit's operation ( new systems, procedures or products). Update or Prepare Permanent File Step: Ensure that the Permanent File include the below mentioned items. If yes, Updates the following information in the permanent file: ◊ Organization chart ◊ List of key personnel and duties ◊ Job Descriptions ◊ Long-range objectives of the unit (Strategic Planning) ◊ Chart of Accounts ◊ Accounting Manuals ◊ List of policies and procedures ◊ List of Forms and Reports utilize by the branch ◊ List of laws and regulations applicable to the branch A.1.PS - Update Audit Program Step: Structures the audit program ...