Audit System
How do I utilise the Deliverables Table in the Audit Strategy document?
1. To open the Audit Strategy document, browse for it within your audit engagement (Australian or Oneform). It should be located in the 'Phase A- Risk Assessment' folder, under '2-400- Audit Strategy'. For Micro Audit, this is contained in the MIC ...
Our approach to Cloud security with CaseWare Cloud
Choosing a cloud service provider can be a complex task given the nature of today’s security concerns. The number of potential threats - both malicious and benign - and the ever-increasing number of attack vectors can cause even security experts to ...
Continuous loading screen when adding risks in Audit
The primary reason for an engagement file to encounter issues such as an infinite loading screen when adding risks is due to the Engagement file name containing special characters. As demonstrated by the image below. The way this issue can be ...
Mapping Guide
This guide attached below is designed to assist CaseWare users with the mapping process. It covers frequently asked questions about mapping and provides guidance on where to map accounts for the key financial statement areas and different entity ...
How to Export and Merge Documents into a PDF Document?
When performing interim or planning procedures in a CaseWare engagement file, users have the option to import a trial balance for that interim period (i.e. less that 12 months of data). Therefore all leadsheets, trial balance and analytical review ...
How to Add a Reference to a Procedure within an Audit Program?
A 'manual reference' and/or a 'document reference' can be added to any procedure within the Audit Program. To add a reference to a procedure, open the Audit Program and complete the following steps: 1. Click anywhere in the row that contains the ...
Retrieving Corrupt CaseView Documents
Please use these instructions with the help of an IT administrator to prevent data loss In the client file folder, each saved CaseView document will have generated a backup file that can be used in these circumstances. 1. In the Working ...
How to Highlight all Issues Assigned?
Users are able to highlight all cells with assigned Issues within a CaseView Document. If we use the Independence Questionnaire document as an example, users are expected to add issues (to the appropriate cell) for any question they answer Yes to. ...
Can DropBox be integrated with CaseWare?
CaseWare Australia & New Zealand do not specifically recommend or support using Working Papers with DropBox as it has not been tested enough by CaseWare nor does DropBox have any specific integration with CaseWare. Therefore we advise any customer ...
How to Export the Working Trial Balance into Microsoft Excel
Procedure: 1. From the 'Navigation Toolbar', click on Trial Balance. 2. Right-Click and Click on "Select all". 3. From the Home tab, select Copy. 4. Launch Microsoft Excel. 5. Highlight the entire spreadsheet and from the main tabs, ...
How to set up Engagement Properties for Planning Balances?
In some instances, an auditor may want to import interim or planning balances into an engagement file prior to year-end, in order to conduct interim audit procedures. CaseWare, in conjunction with the Audit System template allows users to import ...
Can I use CaseView documents from other Audit Profiles
The Audit System template provides several profiles for a user to select upon creating a new engagement file. - Australia - New Zealand - Review - OneForm (Australia) - OneForm (New Zealand) Sometimes it may be necessary to use a CaseView document ...
Audit Profile 6 - OneForm (New Zealand)
How can I tell if I am using a “Profile 6” engagement file? There are a number of ways to confirm what type of “audit-profile” engagement file you have created: AO - General Options Template Toolbar and Existing Workpapers Comparison to the document ...
Audit Profile 5 - OneForm (Australia)
How can I tell if I am using a “Profile 5” engagement file? There are a number of ways to confirm what type of “audit-profile” engagement file you have created: AO - General Options Template Toolbar and Existing Workpapers Comparison to the document ...
Tip Vid - What is OneForm
What is OneForm? OneForm is a free form workpaper (memo) designed by CaseWare International and updated to suit Australian and New Zealand requirements. OneForm is designed to provide a Microsoft Word type of experience, where it is easy to add, ...
Why is the 6-150 - Completion Memorandum considered to be the final Audit System sign-off workpaper?
As an audit partner, reviewing and signing off multiple files at a stretch can be a tedious and time-consuming task. Maintaining no loose ends and ensuring the engagement file's consistency can also be a difficult administrative job. To assist with ...
How do I insert a separate Financial Statement Area (FSA) for individual entities in an Internally-Consolidated entity?
Within an internally consolidated CaseWare file, you may often need to calculate different Financial Statement Area (FSA) for each subsidiary or individual entities. To do so, you would need separate Financial Statement Area (FSA) Worksheets for your ...
How to insert the Risk Report at the Top of Programs Checklists?
Identified risks are can be assigned to the relevant program / checklist by using the Addressed/Reference field in the Risk dialog. This allows the user to view the risks associated with each financial statement while in the program or checklist. 1. ...
How to use the Audit Program Checklist Filters?
In the Audit System Program or Checklists, sorting or searching through all your audit procedures can be tedious and time-consuming. To assist with this, the audit procedures can be filtered. Procedure: 1. Click on the Filter Procedures button, to ...
How do I use the Risks, Controls, and Reportable Items in my audit engagement file?
Risk / Controls / Reportable Items Note: You will require a password to view this video. Please contact support on 03 9660 4688 or support@caseware.com.au. Tip Vid - Part 1: Tip Vid - Part 2: What are Risks in CaseWare Audit System? As part of the ...
How do I adopt the Audit Phases with Constellations?
Constellations may be used during any audit phase by using the Constellation “Skins”. The Skins sit above Constellations and allows users to filter by the appropriate audit phase: Planning Risk Assessment Risk Response Based on the ...
Why is my constellations not working?
Constellations is a visual diagram that enables users to visualise the relationships between the key elements identified in an audit engagement. In order for the Constellations to be fully utilised, we need to: Import and map our working trial ...
What is CaseWare Constellations?
One of our challenges as an auditor using audit system, is the ability to visualise the relationships between the key elements identified within our engagement file. Constellations is a visual diagram that enables users to visualise the relationships ...
Why should I use the CaseWare Australia and New Zealand Engagement Letter document (1-310)?
CaseWare Australia and New Zealand will always ensure that the workpapers provided in our template are up-to-date and compliant with the current ASAs and ISA (NZ). The engagement letter in the Audit System template will provide you with the latest ...
Tip Vid - Independence
This video demonstrates how to use the Independence documents in the Audit System template. Please review the Audit System Process Map for further information on the engagement file setup procedures. Note: You will require a password to view this ...
What happens when I ’Change the Assertions’ in FSA?
The FSA worksheet provides the functionality to pick and choose which assertions are applicable for each FSA. This will have a global effect on the audit engagement file. It will hide these assertion rows in: The FSA worksheet; The risk reports; The ...
Can the FSA be used before a Trial balance is imported?
A user can pre-fill the FSA prior to the import of a Working Trial balance. For example, a user may select the Inherent, Control and Residual risks for each assertion of every FSA prior to the import of a working trial balance. However please ...
What is the relationship between FSA and Sampling Worksheets?
The sample size worksheets from B.70 - X.70, are linked to the Inherent Risk and Control Risk ratings made in the FSA Worksheet. Furthermore for an auditor this helps to begin the calculation for their sample size worksheet. 1. Required Level of ...
Why can’t I choose a specific FSA when identifying a risk?
If Materiality has not been calculated and FSA has not been refreshed; or no FSA is selected as material, then the Risk Dialog will not display FSA items. Only the pervasive risks will appear. What is required in FSA (assuming 2-200 Materiality has ...
Why can’t I choose a specific FSA when identifying a risk?
If Materiality has not been calculated and FSA has not been refreshed; or no FSA is selected as material, then the Risk Dialog will not display FSA items. Only the pervasive risks will appear. What is required in FSA (assuming 2-200 Materiality has ...
What is FSAs relationship between the Risks, Controls and Reportable Items dialog?
The FSA worksheet is one of the most important documents in the Audit System template. One key feature of the FSA is to control the FSAs that appear in the risk, control and reportable items dialog. The risk dialog will only show material items based ...
Can I use CaseView documents from other Audit Profiles.
The Audit System template provides several profiles for a user to select upon creating a new engagement file: - Australia - New Zealand - Review - OneForm (Australia) - OneForm (New Zealand) Sometimes it may be necessary to use a CaseView document ...
What is the audit responses finalisation column in FSA used for?
In FSA the ‘Audit responses finalisation’ column is used to identify the auditor’s response to the ‘Materiality Assessment’ column warnings. If the FSA gives an indicator in the ‘Materiality Assessment’ , the audit manager can do two things: 1. Based ...
Audit Profile 4 - Review
How can I tell if I am using a “Profile 4” engagement file? There are a number of ways to confirm what type of “audit-profile” engagement file you have created: AO - General Options Template Toolbar and Existing Workpapers Comparison to the document ...
Audit Profile 2 - New Zealand
How can I tell if I am using a “Profile 2” engagement file? There are a number of ways to confirm what type of “audit-profile” engagement file you have created: AO - General Options Template Toolbar and Existing Workpapers Comparison to the document ...
Random "0s" and "1s" in heading section and missing content in FSA
If you are receiving random "0s" and "1s" in the heading section of the FSA, and are missing some content, please follow the instructions below: 1. Within the Document Manager, open the Audit System - Control Documents (do not delete) > Firm ...
Audit Profile 1 - Australia
How can I tell if I am using a “Profile 1” engagement file? There are a number of ways to confirm what type of “audit-profile” engagement file you have created: AO - General Options Template Toolbar and Existing Workpapers Comparison to the document ...
Tip Vids - FSA and 3-210
FSA This video demonstrates how to use the FSA worksheet in the Audit System template. Please review the Audit System Process Map for further information on the engagement file setup procedures. 3-210 Risk Assessment Summary Worksheet This next video ...
Tip Vid - Materiality Workpaper (2-200)
This video demonstrates how to use the Materiality worksheets (2-200) in the Audit System template. Please review the Audit System Process Map for further information on the engagement file setup procedures. Note: You will require a password to view ...
What do the FSA indicators in the Materiality Column mean?
The indicators within the FSA worksheet are used to determine the amount of work the auditor needs to do or has done in relation to materiality. The red indicator will appear in the Materiality Assessment column if the planning balance ...
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