Scenarios

An audit request traced backwards to source

Runs the chain in reverse. The external auditor samples one account and asks a series of increasingly specific questions; each is answered by retrieval rather than reconstruction, because every artefact was linked to the next when the work was done.

Starting event

The external auditor selects Northfield Retail's operating cash account at 31 March as part of a SOX 404 sample and requests supporting documentation.

Spans

Six weeks after close

Scenario steps6
  • Northfield Retail LLC · Auditor Access & Self-Service
  • Northfield Retail LLC · Preparer / Reviewer Workflow & Certification
  • Northfield Retail LLC · Evidence Repository
  • Northfield Retail LLC · Supporting Documentation & Entry Audit Trail
  • Northfield Retail LLC · Match Audit Trail
  • Northfield Foods Inc. · Evidence Collection & Retention