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DocumentIndustryCategoryDescriptionFileLast Updated
User GuideGeneralAdministrationREAD THIS FIRST! Basic information about the library and the documents for new users.doc11-07-19
Employee & Official Expenses Audit ProgramGeneralAudit ProgramsAudit program to perform an employee and official expenses audit.doc01-22-20
BSA, OFAC, & MIP Audit ProgramCredit UnionAudit ProgramsAudit program to test compliance with BSA, OFAC, and MIP programs.doc10-23-19
Dormant Accounts & Unclaimed Property Audit ProgramCredit UnionAudit ProgramsAudit program to assess dormant member accounts and unclaimed property processes and controls.doc02-17-20
Vendor Management Audit ProgramGeneralAudit ProgramsAudit program to assess vendor management process and controls.doc02-17-20
Vendor Management Audit ProgramCredit UnionAudit ProgramsAudit program to assess vendor management process and controls; Credit Union specialization.doc02-17-20
Fair Lending Compliance Audit ProgramCredit UnionAudit ProgramsAudit program to complete a comprehensive Fair Lending compliance audit.doc04-09-20
Fair Lending Loan Review TemplateCredit UnionWorkpaper TemplatesExcel workbook for fair lending testing and analysis.xlsx04-09-20
Fair Lending Testing MatrixCredit UnionWorkpaper TemplatesExcel workbook for fair lending testing, tracking, and analysis.xlsx04-09-20
Social Media Audit ProgramGeneralAudit ProgramsAudit program to assess company and employee use of social media.doc06-23-20
Social Media Audit ProgramCredit UnionAudit ProgramsAudit program to assess company and employee use of social media.doc06-23-20
Social Media Audit ProgramBankAudit ProgramsAudit program to assess company and employee use of social media.doc06-23-20
Corporate Culture Audit ProgramCredit UnionAudit ProgramsAudit program to assess corporate culture.doc06-17-20
Corporate Culture Audit Survey TemplateCredit UnionWorkpaper TemplatesExample of a letter and survey template to distribute to employees regarding corporate culture.doc06-17-20
Corporate Culture Audit ProgramGeneralAudit ProgramsAudit program to assess corporate culture.doc06-17-20
Corporate Culture Audit Survey TemplateGeneralWorkpaper TemplatesExample of a letter and survey template to distribute to employees regarding corporate culture.doc06-17-20
Corporate Culture Audit ProgramBankAudit ProgramsAudit program to assess corporate culture.doc06-17-20
Corporate Culture Audit Survey TemplateBankWorkpaper TemplatesExample of a letter and survey template to distribute to employees regarding corporate culture.doc06-17-20
Cash & Equivalents Audit ProgramGeneralAudit ProgramsAudit program for cash & equivalents.doc11-07-19
Cash Confirmation Letter TemplateGeneralWorkpaper TemplatesLetter template for confirming cash accounts at third party institutions.doc11-07-19
Cash Confirmation Letter TemplateCredit UnionWorkpaper TemplatesLetter template for confirming cash accounts at third party institutions; Credit Union specialization.doc11-07-19
Employee & Official Accounts Audit ProgramCredit UnionAudit ProgramsAudit program for employee and official accounts; Credit Union specialization.doc01-14-20
Employee Accounts Confirmation Letter TemplateCredit UnionWorkpaper TemplatesSample letter for employee account confirmation testing.doc11-08-19
Official Accounts Confirmation Letter TemplateCredit UnionWorkpaper TemplatesSample letter for official account confirmation testing.doc11-08-19
Fixed Assets Audit ProgramGeneralAudit ProgramsAudit program to assess Fixed Assets (or Property, Plant & Equipment).doc02-26-20
Fixed Assets Audit ProgramCredit UnionAudit ProgramsAudit program to assess Fixed Assets (or Property, Plant & Equipment); Credit Union specialization.doc02-26-20
Investments Audit ProgramGeneralAudit ProgramsAudit program to assess the investments portfolio and related controls.doc02-26-20
Investment Account Confirmation Letter TemplateGeneralWorkpaper TemplatesLetter template for confirming investment accounts.doc02-24-20
Investment Account Confirmation Letter TemplateCredit UnionWorkpaper TemplatesLetter template for confirming investment accounts; Credit Union specialization.doc02-24-20
Terminated Employees Audit ProgramGeneralAudit ProgramsAudit program to assess terminated employees processes and controls.doc03-03-20
Terminated Employees Audit ProgramCredit UnionAudit ProgramsAudit program to assess terminated employees processes and controls; Credit Union specialization.doc03-03-20
Executive Exit Audit ProgramGeneralAudit ProgramsAudit program for an executive or official termination.doc08-04-20
Executive Exit Audit ProgramCredit UnionAudit ProgramsAudit program for an executive or official termination.doc08-04-20
Executive Exit Audit ProgramBankAudit ProgramsAudit program for an executive or official termination.doc08-04-20
Member Verification Audit ProgramCredit UnionAudit ProgramsAudit program to perform an annual member verification, as required by the NCUA.doc03-09-20
Member Verification Letter TemplateCredit UnionWorkpaper TemplatesLetter template for annual member verification.doc02-12-20
Closed Account Verification Letter TemplateCredit UnionWorkpaper TemplatesLetter template for closed account verification.doc03-09-20
Accounting Department Audit ProgramGeneralAudit ProgramsAudit program to assess general Accounting department processes and controls.doc03-17-20
Call Report Audit ProgramCredit UnionAudit ProgramsAudit program to assess the quarterly Call Report.doc04-26-20
Wire Transfers Audit ProgramCredit UnionAudit ProgramsAudit program to audit wire transfers processing, compliance and security.doc03-17-20
Facilities & Site Inspections Audit ProgramGeneralAudit ProgramsAudit program for company facilities site inspections of buildings and construction sites.doc03-17-20
Facility Inspection ChecklistCredit UnionWorkpaper TemplatesChecklist to aid a site inspection; Credit Union specialization.doc03-19-20
Facility Inspection ChecklistGeneralWorkpaper TemplatesChecklist to aid a site inspection.doc03-19-20
Card Servicing Audit ProgramCredit UnionAudit ProgramsAudit program to assess card servicing processes, controls and staff.doc03-20-20
Card Rewards Audit ProgramCredit UnionAudit ProgramsAudit program to assess card rewards programs.doc05-14-20
Accounts Payable Audit ProgramGeneralAudit ProgramsAudit program to assess accounts payable processes and controls.doc03-25-20
Accounts Payable Confirmation TemplateGeneralWorkpaper TemplatesLetter template for confirming accounts payable.doc03-25-20
Accounts Payable Confirmation TemplateCredit UnionWorkpaper TemplatesLetter template for confirming accounts payable; Credit Union specialization.doc03-25-20
Borrowings (Debt Payable) Audit ProgramGeneralAudit ProgramsAudit program to assess debt payable processes and controls.doc04-02-20
Borrowed Funds ConfirmationGeneralWorkpaper TemplatesLetter template for confirming borrowed funds (debt payable).doc04-02-20
Borrowed Funds ConfirmationCredit UnionWorkpaper TemplatesLetter template for confirming borrowed funds (debt payable); Credit Union specialization.doc04-02-20
Member Shares & Deposit Operations Audit ProgramCredit UnionAudit ProgramsAudit program to assess member shares and deposit operations.doc04-03-20
Member Shares Confirmation Letter TemplateCredit UnionWorkpaper TemplatesLetter template for confirming member share accounts.doc04-03-20
Individual Retirement Accounts Audit ProgramCredit UnionAudit ProgramsAudit program to assess processes and controls for individual retirement accounts; Credit Union specialization.doc05-19-20
Individual Retirement Accounts Audit ProgramBankAudit ProgramsAudit program to assess processes and controls for individual retirement accounts.doc05-19-20
General Loans Receivable Audit ProgramCredit UnionAudit ProgramsAudit Program to assess the loan portfolio and origination controls for all loan types; Credit Union specialization.doc05-22-20
Member Loans Confirmation Letter TemplateCredit UnionWorkpaper TemplatesLetter template for confirming loans receivable.doc05-22-20
General Loans Receivable Audit ProgramBankAudit ProgramsAudit Program to assess the loan portfolio and origination controls for all loan types.doc05-22-20
Loan Confirmation Letter TemplateBankWorkpaper TemplatesLetter template for confirming loans receivable.doc05-22-20
Consumer Lending Audit ProgramCredit UnionAudit ProgramsAudit Program to assess the consumer lending function..doc05-28-20
Consumer Secured Loan Review TemplateCredit UnionWorkpaper TemplatesExcel workbook for consumer secured loan testing and analysis.xlsx02-17-20
Consumer Unsecured Loan Review TemplateCredit UnionWorkpaper TemplatesExcel workbook for consumer unsecured loan testing and analysis.xlsx02-17-20
Consumer Lending Audit ProgramBankAudit ProgramsAudit Program to assess the consumer lending function..doc05-28-20
Real Estate Lending Audit ProgramCredit UnionAudit ProgramsAudit Program to assess the real estate lending function..doc05-28-20
Real Estate Loan Review TemplateCredit UnionWorkpaper TemplatesExcel workbook for real estate loan testing and analysis.xlsx02-11-20
Real Estate Lending Audit ProgramBankAudit ProgramsAudit Program to assess the real estate lending function..doc05-28-20
Member Business Lending Audit ProgramCredit UnionAudit ProgramsAudit Program to assess the member business lending function..doc05-29-20
Business Loan Review TemplateCredit UnionWorkpaper TemplatesExcel workbook for business loan testing and analysis.xlsx02-11-20
Business Lending Audit ProgramBankAudit ProgramsAudit Program to assess the business lending function..doc05-29-20
Indirect Lending Audit ProgramCredit UnionAudit ProgramsAudit program to assess indirect lending programs..doc05-29-20
Loan Servicing & Credit Administration Audit ProgramCredit UnionAudit ProgramsAudit program to assess the loan servicing and credit administration functions.doc06-09-20
Loan Servicing & Credit Administration Audit ProgramBankAudit ProgramsAudit program to assess the loan servicing and credit administration functions.doc06-10-20
Collections Audit ProgramCredit UnionAudit ProgramsAudit program to assess collections processes and controls.doc06-19-20
Collections Audit ProgramBankAudit ProgramsAudit program to assess collections processes and controls.doc06-19-20
Allowance for Credit Losses Audit ProgramCredit UnionAudit ProgramsAudit program to assess the allowance for credit losses model.doc03-26-20
Accounts Receivable Audit ProgramGeneralAudit ProgramsAudit program to assess receivables and allowance processes and controls.doc06-19-20
Accounts Receivable Confirmation TemplateGeneralWorkpaper TemplatesLetter template for confirming accounts receivable.doc06-19-20
Accounts Receivable Audit ProgramCredit UnionAudit ProgramsAudit program to assess receivables and allowance processes and controls.doc06-20-20
Accounts Receivable Confirmation TemplateCredit UnionWorkpaper TemplatesLetter template for confirming accounts receivable.doc06-20-20
Accounts Receivable Audit ProgramBankAudit ProgramsAudit program to assess receivables and allowance processes and controls.doc06-20-20
Accounts Receivable Confirmation TemplateBankWorkpaper TemplatesLetter template for confirming accounts receivable.doc06-20-20
Inventory Audit Program – RetailGeneralAudit ProgramsAudit program to review inventory at a retail company.doc04-17-20
Inventory Audit Program – ManufacturingGeneralAudit ProgramsAudit program to review inventory at a manufacturing company.doc04-17-20
Human Resources Audit ProgramGeneralAudit ProgramsAudit program to assess Human Resources and payroll processes and controls.doc06-28-20
Human Resources Audit ProgramCredit UnionAudit ProgramsAudit program to assess Human Resources and payroll processes and controls.doc06-28-20
Human Resources Audit ProgramBankAudit ProgramsAudit program to assess Human Resources and payroll processes and controls.doc06-28-20
Marketing & Public Relations Audit ProgramGeneralAudit ProgramsAudit program to assess Marketing and Public Relations.doc06-28-20
Marketing & Public Relations Audit ProgramCredit UnionAudit ProgramsAudit program to assess Marketing and Public Relations.doc06-28-20
Marketing & Public Relations Audit ProgramBankAudit ProgramsAudit program to assess Marketing and Public Relations.doc06-28-20
Instant Issue Audit ProgramCredit UnionAudit ProgramsAudit program to address instant issue of plastic cards.doc06-30-20
Branch Operations & Security Audit ProgramCredit UnionAudit ProgramsAudit program to address branch operations & security oversight at the corporate level.doc06-30-20
Branch Operations & Security Survey TemplateCredit UnionWorkpaper TemplatesExample of a letter and survey template to distribute to employees regarding branch security.doc06-30-20
Branch Operations & Security Audit ProgramBankAudit ProgramsAudit program to address branch operations & security oversight at the corporate level.doc06-30-20
Branch Operations & Security Survey TemplateBankWorkpaper TemplatesExample of a letter and survey template to distribute to employees regarding branch security.doc06-30-20
Business Continuity & Disaster Recovery Audit ProgramGeneralAudit ProgramsAudit program to assess business continuity, business resumption, & disaster recovery.doc07-07-20
Business Continuity & Disaster Recovery Audit ProgramCredit UnionAudit ProgramsAudit program to assess business continuity, business resumption, & disaster recovery.doc07-07-20
Business Continuity & Disaster Recovery Audit ProgramBankAudit ProgramsAudit program to assess business continuity, business resumption, & disaster recovery.doc07-07-20
Contact Center Audit ProgramCredit UnionAudit ProgramsAudit program to assess a Credit Union Contact Center.doc07-07-20
Contact Center Audit ProgramBankAudit ProgramsAudit program to assess a bank Contact Center.doc07-07-20
Corporate Governance Audit ProgramGeneralAudit ProgramsAudit program to assess corporate governance processes.doc07-08-20
Corporate Governance Audit ProgramCredit UnionAudit ProgramsAudit program to assess corporate governance processes.doc07-10-20
Corporate Governance Audit ProgramBankAudit ProgramsAudit program to assess corporate governance processes.doc07-10-20
Regulation E Compliance Audit ProgramCredit UnionAudit ProgramsAudit program to assess controls and processes related to Regulation E.doc05-01-20
eCommerce Audit ProgramCredit UnionAudit ProgramsAudit program to assess website functionality, compliance, and security.doc11-05-19
Website Compliance Testing ChecklistCredit UnionWorkpaper TemplatesTesting checklist to perform a website compliance review.xlsx11-05-19
Member Development Audit ProgramCredit UnionAudit ProgramsAudit program to assess the Member Development (Business Development) function.doc07-15-20
Risk Management Department Audit ProgramGeneralAudit ProgramsAudit program to assess a Risk Management department.doc07-16-20
Risk Management Process Audit ProgramGeneralAudit ProgramsAudit program to assess the Risk Management processes for companies with no formal department.doc07-16-20
Risk Management Department Audit ProgramCredit UnionAudit ProgramsAudit program to assess a Risk Management department.doc07-16-20
Risk Management Process Audit ProgramCredit UnionAudit ProgramsAudit program to assess the Risk Management processes for Credit Unions with no formal department.doc07-16-20
Risk Management Department Audit ProgramBankAudit ProgramsAudit program to assess a Risk Management department.doc07-16-20
Risk Management Process Audit ProgramBankAudit ProgramsAudit program to assess the Risk Management processes for banks with no formal department.doc07-16-20
Employee Incentives Audit ProgramCredit UnionAudit ProgramsAudit program to assess employee incentive programs; Credit Union specialization.doc09-05-19
Skip-a-Payment Audit ProgramCredit UnionAudit ProgramsAudit program to test Credit Union Skip-a-Payment program processes and controls.doc06-29-20
ALM Model Validation Audit ProgramCredit UnionAudit ProgramsAudit program to test the ALM Model, and perform a “validation” according to NCUA guidelines.doc10-03-19
Regulation CC Compliance Audit ProgramCredit UnionAudit ProgramsAudit program to complete a Regulation CC (funds availability) compliance audit.doc01-15-20
S.A.F.E. Act Compliance Audit ProgramCredit UnionAudit ProgramsAudit program to complete a S.A.F.E. Act (Regulation G) compliance audit.doc01-17-20
Fair Credit Reporting Act Compliance Audit ProgramCredit UnionAudit ProgramsAudit program to complete a FCRA / FACT Act / Regulation V compliance audit.doc01-30-20
Identity Theft Red Flags Audit ProgramCredit UnionAudit ProgramsAudit program to assess the Identity Theft Red Flags program.doc05-08-20
Truth in Savings Act Compliance Audit ProgramCredit UnionAudit ProgramsAudit program to complete a Truth in Savings Act compliance audit.doc02-03-20
Legal Department or Function Audit ProgramGeneralAudit ProgramsAudit program to complete a legal department or function audit.doc03-12-20
Legal Department or Function Audit ProgramCredit UnionAudit ProgramsAudit program to complete a legal department or function audit; Credit Union specialization.doc03-12-20
Records Retention Audit ProgramCredit UnionAudit ProgramsAudit program to complete a records retention audit for Credit Unions.doc04-08-20
Risk Suite Overview & InstructionsGeneralAudit Risk SuiteA guide to the Audit Risk Suite documents and recommended process.doc10-01-19
Annual Risk & Planning SurveyGeneralAudit Risk SuiteRisk & planning survey for managers to complete annually.doc09-25-19
Risk & Planning Survey Control LogGeneralAudit Risk SuiteSpreadsheet to control sending and receiving of risk & planning surveys.xlsx09-25-19
Audit Risk Assessment TemplateGeneralAudit Risk SuiteSpreadsheet to summarize, analyze, and assess risks from surveys.xlsx02-18-20
Annual Risk & Planning SurveyCredit UnionAudit Risk SuiteRisk & planning survey for managers to complete annually; customized for Credit Union risk categories.doc09-25-19
Risk & Planning Survey Control LogCredit UnionAudit Risk SuiteSpreadsheet to control sending and receiving of risk & planning surveys; Credit Union specialization.xlsx09-25-19
Audit Risk Assessment TemplateCredit UnionAudit Risk SuiteSpreadsheet to summarize, analyze, and assess risks from surveys; Credit Union specialization.xlsx02-18-20
Monetary Budget Preparation TemplateGeneralPlanning & BudgetingTemplate to aid monetary budgeting process.xlsx09-06-19
Monetary Budget Preparation TemplateCredit UnionPlanning & BudgetingTemplate to aid monetary budgeting process, Credit Union specialization.xlsx09-06-19
Audit Time Budget TemplateGeneralPlanning & BudgetingSpreadsheet tool to budget annual audit hours to projects.xlsx07-12-20
Audit Time Budget TemplateCredit UnionPlanning & BudgetingSpreadsheet tool to budget annual audit hours to projects.xlsx07-12-20
Audit Time Budget TemplateBankPlanning & BudgetingSpreadsheet tool to budget annual audit hours to projects.xlsx07-12-20
Risk-Based Audit Plan Template with Timesheet 1 StaffGeneralPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 1 staff.xlsx07-20-20
Risk-Based Audit Plan Template with Timesheet 2 StaffGeneralPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 2 staff.xlsx07-12-20
Risk-Based Audit Plan Template with Timesheet 3 StaffGeneralPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 3 staff.xlsx07-12-20
Risk-Based Audit Plan Template with Timesheet 4 StaffGeneralPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 4 staff.xlsx07-12-20
Risk-Based Audit Plan Template with Timesheet 5 StaffGeneralPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 5 staff.xlsx07-17-20
Risk-Based Audit Plan Template with Timesheet 1 StaffCredit UnionPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 1 staff.xlsx07-20-20
Risk-Based Audit Plan Template with Timesheet 2 StaffCredit UnionPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 2 staff.xlsx07-14-20
Risk-Based Audit Plan Template with Timesheet 3 StaffCredit UnionPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 3 staff.xlsx07-14-20
Risk-Based Audit Plan Template with Timesheet 4 StaffCredit UnionPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 4 staff.xlsx07-14-20
Risk-Based Audit Plan Template with Timesheet 5 StaffCredit UnionPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 5 staff.xlsx07-14-20
Risk-Based Audit Plan Template with Timesheet 1 StaffBankPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 1 staff.xlsx07-20-20
Risk-Based Audit Plan Template with Timesheet 2 StaffBankPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 2 staff.xlsx07-18-20
Risk-Based Audit Plan Template with Timesheet 3 StaffBankPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 3 staff.xlsx07-18-20
Risk-Based Audit Plan Template with Timesheet 4 StaffBankPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 4 staff.xlsx07-18-20
Risk-Based Audit Plan Template with Timesheet 5 StaffBankPlanning & BudgetingSpreadsheet to track audit hours, productivity, and realization for 5 staff.xlsx07-18-20
Audit Committee Charter TemplateGeneralPolicy & Charter TemplatesBasic Audit Committee charter template.doc02-06-20
Supervisory Committee Charter TemplateCredit UnionPolicy & Charter TemplatesSupervisory Committee charter template.doc02-06-20
Internal Audit Charter TemplateGeneralPolicy & Charter TemplatesBasic Internal Audit charter template.doc02-18-20
Internal Audit Charter TemplateCredit UnionPolicy & Charter TemplatesInternal Audit charter template; customized for Credit Unions.doc02-18-20
Internal Audit Policy TemplateGeneralPolicy & Charter TemplatesInternal Audit department policy template.doc08-01-20
Internal Audit Policy TemplateCredit UnionPolicy & Charter TemplatesInternal Audit department policy template.doc08-01-20
Internal Audit Policy TemplateBankPolicy & Charter TemplatesInternal Audit department policy template.doc08-01-20
Internal Audit Procedures TemplateGeneralPolicy & Charter TemplatesInternal Audit department procedures template.doc08-01-20
Internal Audit Procedures TemplateCredit UnionPolicy & Charter TemplatesInternal Audit department procedures template.doc08-01-20
Internal Audit Procedures TemplateBankPolicy & Charter TemplatesInternal Audit department procedures template.doc08-01-20
Anti-Fraud and Whistleblower Protection Policy TemplateGeneralPolicy & Charter TemplatesTemplate for anti-fraud and whistleblower protection policy.doc08-03-20
Anti-Fraud and Whistleblower Protection Policy TemplateCredit UnionPolicy & Charter TemplatesTemplate for anti-fraud and whistleblower protection policy.doc08-03-20
Anti-Fraud and Whistleblower Protection Policy TemplateBankPolicy & Charter TemplatesTemplate for anti-fraud and whistleblower protection policy.doc08-03-20
Whistleblower Hotline Provider Selection ToolGeneralInvestigation Tools & TemplatesDocument used to compare and contrast basic information about hotline providers.doc07-30-20
Whistleblower Hotline Provider Selection ToolCredit UnionInvestigation Tools & TemplatesDocument used to compare and contrast basic information about hotline providers.doc07-30-20
Whistleblower Hotline Provider Selection ToolBankInvestigation Tools & TemplatesDocument used to compare and contrast basic information about hotline providers.doc07-30-20
Alert or Complaint Investigation ToolGeneralInvestigation Tools & TemplatesDocument used to aid an alert or complaint investigation and document auditor actions.doc08-01-20
Alert or Complaint Investigation ToolCredit UnionInvestigation Tools & TemplatesDocument used to aid an alert or complaint investigation and document auditor actions.doc08-01-20
Alert or Complaint Investigation ToolBankInvestigation Tools & TemplatesDocument used to aid an alert or complaint investigation and document auditor actions.doc08-01-20
Interview Guide & Notes TemplateGeneralInvestigation Tools & TemplatesTemplate to help plan, execute, and document fraud interviews.doc08-04-20
Interview Guide & Notes TemplateCredit UnionInvestigation Tools & TemplatesTemplate to help plan, execute, and document fraud interviews.doc08-04-20
Interview Guide & Notes TemplateBankInvestigation Tools & TemplatesTemplate to help plan, execute, and document fraud interviews.doc08-04-20
Complaint Rating Definitions ExampleGeneralInvestigation Tools & TemplatesExample of ratings definitions for whistleblower alerts and other investigations.doc08-06-20
Complaint Rating Definitions ExampleCredit UnionInvestigation Tools & TemplatesExample of ratings definitions for whistleblower alerts and other investigations.doc08-06-20
Complaint Rating Definitions ExampleBankInvestigation Tools & TemplatesExample of ratings definitions for whistleblower alerts and other investigations.doc08-06-20
Complaint Tracking TemplateGeneralInvestigation Tools & TemplatesSpreadsheet used for tracking and organizing complaints and alerts.xlsx08-06-20
Complaint Tracking TemplateCredit UnionInvestigation Tools & TemplatesSpreadsheet used for tracking and organizing complaints and alerts.xlsx08-06-20
Complaint Tracking TemplateBankInvestigation Tools & TemplatesSpreadsheet used for tracking and organizing complaints and alerts.xlsx08-06-20
Customer Complaint Response TemplateGeneralInvestigation Tools & TemplatesLetter template and writing aid to respond to a customer complaint.doc08-07-20
Customer Complaint Response TemplateBankInvestigation Tools & TemplatesLetter template and writing aid to respond to a customer complaint.doc08-07-20
Member Complaint Response TemplateCredit UnionInvestigation Tools & TemplatesLetter template and writing aid to respond to a member complaint.doc08-07-20
NCUA Complaint Response TemplateCredit UnionInvestigation Tools & TemplatesLetter template and writing aid to respond to an NCUA complaint.doc08-07-20
Audit Issue Tracking TemplateGeneralReporting & TrackingSpreadsheet used to track status of audit issues and completion rates.xlsx07-25-20
Audit Issue Tracking TemplateCredit UnionReporting & TrackingSpreadsheet used to track status of audit issues and completion rates.xlsx07-25-20
Audit Issue Tracking TemplateBankReporting & TrackingSpreadsheet used to track status of audit issues and completion rates.xlsx07-25-20
Audit Issue Writeup ToolGeneralReporting & TrackingDocument used to write-up audit issues and recommendations.doc07-25-20
Audit Issue Writeup ToolCredit UnionReporting & TrackingDocument used to write-up audit issues and recommendations.doc07-25-20
Audit Issue Writeup ToolBankReporting & TrackingDocument used to write-up audit issues and recommendations.doc07-25-20
Audit Rating Definitions ExampleGeneralReporting & TrackingExample of audit rating definitions.doc07-25-20
Audit Rating Definitions ExampleCredit UnionReporting & TrackingExample of audit rating definitions.doc07-25-20
Audit Rating Definitions ExampleBankReporting & TrackingExample of audit rating definitions.doc07-25-20
Department or Process Audit Report TemplateGeneralReporting & TrackingAudit report template for a department or process audit.doc07-26-20
Department or Process Audit Report TemplateCredit UnionReporting & TrackingAudit report template for a department or process audit.doc07-26-20
Department or Process Audit Report TemplateBankReporting & TrackingAudit report template for a department or process audit.doc07-26-20
Audit Report Template – Branch or Site AuditGeneralReporting & TrackingAudit report template for a site or branch audit.doc07-25-20
Branch Audit Report TemplateCredit UnionReporting & TrackingAudit report template for a branch audit.doc07-25-20
Branch Audit Report TemplateBankReporting & TrackingAudit report template for a branch audit.doc07-25-20
External Audit Provider Selection ToolGeneralExternal Audit ToolsDocument used to compare/contrast basic firm info during an RFP process.doc08-11-20
External Audit Provider Selection ToolCredit UnionExternal Audit ToolsDocument used to compare/contrast basic firm info during an RFP process.doc08-11-20
External Audit Provider Selection ToolBankExternal Audit ToolsDocument used to compare/contrast basic firm info during an RFP process.doc08-11-20
RFP Letter Template Financial Statement AuditGeneralExternal Audit ToolsLetter template to prepare an external audit RFP.doc02-17-20
RFP Letter Template Financial Statement AuditCredit UnionExternal Audit ToolsLetter template to prepare an external audit RFP; Credit Union specialization.doc02-17-20
Quality Assurance Review Provider ToolGeneralExternal Audit ToolsDocument used to compare and contrast basic info from bids for a Quality Assurance Review (QAR).doc08-12-20
Quality Assurance Review Provider ToolCredit UnionExternal Audit ToolsDocument used to compare and contrast basic info from bids for a Quality Assurance Review (QAR).doc08-12-20
Quality Assurance Review Provider ToolBankExternal Audit ToolsDocument used to compare and contrast basic info from bids for a Quality Assurance Review (QAR).doc08-12-20
RFP Letter Template Quality Assurance ReviewGeneralExternal Audit ToolsLetter template to prepare a Quality Assurance Review RFP.doc02-12-20
RFP Letter Template Quality Assurance ReviewCredit UnionExternal Audit ToolsLetter template to prepare a Quality Assurance Review RFP; Credit Union specialization.doc02-12-20
RFP Letter Template IT Security AuditGeneralExternal Audit ToolsLetter template to prepare an IT Security Audit.doc02-13-20
RFP Letter Template IT Security AuditCredit UnionExternal Audit ToolsLetter template to prepare an IT Security Audit; Credit Union specialization.doc02-13-20
External Audit Assessment Survey – Internal AuditGeneralExternal Audit ToolsSurvey to assess external audit post-engagement; for Internal Audit staff.doc08-13-20
External Audit Assessment Survey – Company PersonnelGeneralExternal Audit ToolsSurvey to assess external audit post-engagement; for company personnel.doc08-13-20
External Audit Assessment Survey – Audit CommitteeGeneralExternal Audit ToolsSurvey to assess external audit post-engagement; for Audit Committee members.doc08-13-20
External Audit Assessment Survey – Internal AuditCredit UnionExternal Audit ToolsSurvey to assess external audit post-engagement; for Internal Audit staff.doc08-13-20
External Audit Assessment Survey – Company PersonnelCredit UnionExternal Audit ToolsSurvey to assess external audit post-engagement; for company personnel.doc08-13-20
External Audit Assessment Survey – Supervisory CommitteeCredit UnionExternal Audit ToolsSurvey to assess external audit post-engagement; for Supervisory Committee members.doc08-13-20
External Audit Assessment Survey – Internal AuditBankExternal Audit ToolsSurvey to assess external audit post-engagement; for Internal Audit staff.doc08-13-20
External Audit Assessment Survey – Company PersonnelBankExternal Audit ToolsSurvey to assess external audit post-engagement; for company personnel.doc08-13-20
External Audit Assessment Survey – Audit CommitteeBankExternal Audit ToolsSurvey to assess external audit post-engagement; for Audit Committee members.doc08-13-20
Audit Strategic Plan TemplateGeneralQuality Control & Continuous ImprovementAudit Strategic Plan example document with notes and customization options.doc08-15-19
Audit Strategic Plan TemplateCredit UnionQuality Control & Continuous ImprovementAudit Strategic Plan example document with notes and customization options; Credit Union specialization.doc08-15-19
Quality Assurance and Improvement Program TemplateGeneralQuality Control & Continuous ImprovementQuality Assurance Improvement Program example document with notes and customization options.doc03-09-20
Quality Assurance and Improvement Program TemplateCredit UnionQuality Control & Continuous ImprovementQuality Assurance Improvement Program example document with notes and customization options; Credit Union specialization.doc03-09-20
Peer Review Work ProgramGeneralQuality Control & Continuous ImprovementDetailed work program to perform a quality assurance peer review.doc08-15-19
Peer Review Work ProgramCredit UnionQuality Control & Continuous ImprovementDetailed work program to perform a quality assurance peer review; Credit Union specialization.doc08-15-19
Quality Assurance Self-Assessment Work ProgramGeneralQuality Control & Continuous ImprovementDetailed work program to perform a quality assurance self assessment.doc10-02-19
Quality Assurance Self-Assessment Work ProgramCredit UnionQuality Control & Continuous ImprovementDetailed work program to perform a quality assurance self assessment; Credit Union specialization.doc10-02-19
Internal Audit Survey for Self AssessmentGeneralQuality Control & Continuous ImprovementSurvey to assess the Internal Audit department for a self-assessment engagement.doc08-16-19
Internal Audit Survey for Self-AssessmentCredit UnionQuality Control & Continuous ImprovementSurvey to assess the Internal Audit department for a self-assessment engagement; Credit Union specialization.doc08-16-19
Internal Audit Post-Engagement SurveyGeneralQuality Control & Continuous ImprovementSurvey to assess Internal Audit performance post-engagement.doc08-16-19
Internal Audit Post-Engagement SurveyCredit UnionQuality Control & Continuous ImprovementSurvey to assess Internal Audit performance post-engagement; Credit Union specialization.doc08-16-19
Preliminary Audit Plan TemplateGeneralWorkpaper TemplatesBasic Preliminary Audit Plan template.doc08-19-19
Preliminary Audit Plan TemplateCredit UnionWorkpaper TemplatesBasic Preliminary Audit Plan template.doc08-19-19
Preliminary Audit Plan TemplateBankWorkpaper TemplatesBasic Preliminary Audit Plan template.doc06-09-20
Account Confirmation Letter TemplateGeneralWorkpaper TemplatesLetter template for confirming third-party accounts.doc06-08-20
Account Confirmation Letter TemplateCredit UnionWorkpaper TemplatesLetter template for confirming third-party accounts.doc06-08-20
Account Confirmation Letter TemplateBankWorkpaper TemplatesLetter template for confirming third-party accounts.doc06-08-20
Attorney Confirmation Letter TemplateGeneralWorkpaper TemplatesSample attorney audit confirmation letter template.doc08-19-19
Attorney Confirmation Letter TemplateCredit UnionWorkpaper TemplatesSample attorney audit confirmation letter template; Credit Union specialization.doc08-19-19
Random Sample GeneratorGeneralWorkpaper TemplatesSpreadsheet to generate a random sample from a small population without duplicates.xlsx09-24-19
Audit Committee Minutes TemplateGeneralAudit Department AdministrationAudit Committee minutes template with customization options.doc02-18-20
Supervisory Committee Minutes TemplateCredit UnionAudit Department AdministrationSupervisory Committee minutes template with customization options.doc02-18-20
Audit Committee Planning ToolGeneralAudit Department AdministrationSpreadsheet for Audit Committee planning and organization.xlsx08-08-20
Audit Committee Planning ToolBankAudit Department AdministrationSpreadsheet for Audit Committee planning and organization.xlsx08-08-20
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