Exception Tracking Spreadsheet (TicklerTrax™)
Downloaded by more than 1,000 bankers. Free Excel spreadsheet to help you track missing and expiring documents for credit and loans, deposits, trusts, and more. Visualize your exception data in interactive charts and graphs. Provided by bank technology vendor, AccuSystems. Download TicklerTrax for free.
Internal Audit Risk Assessment
Maria Roush shared this tool. It is a risk assessment model that would be used to assist with the audit scheduling. The model consists of two pages on Excel.The summary page will give an auditor a tool to prioritize his/her audits. She says it is the best she has seen because it is so simple, and management can participate in it, so they have a "buy-in".
Instructions:The data sheet is where the items are risk rated by both management and audit/compliance. Audit/Compliance would use column D then "hide" the column before printing and submitting to management for their assessment (column F).Column H calculates the two risk assessments.These assessments are then "pulled" into the Summary page by specific categories. Both use the numberical basis of 1 = low through 5 = high.Column D currently has example numbers in it with the totals coming to100 in each area.Again, these are samples and should not be mistaken for actual risk ratings.
First published on 01/15/2005