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Factual Findings Audit Report

Factual Findings Audit Report Template for Australia

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Key Requirements PROMPT example:

Factual Findings Audit Report

"I need a Factual Findings Audit Report for our mining company's environmental compliance procedures, focusing on water usage and waste management practices for the period ending March 31, 2025, to be submitted to the Australian environmental regulators."

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Document background
The Factual Findings Audit Report is a specialized document used in the Australian business and regulatory environment when stakeholders require independent verification of specific matters without the need for an audit opinion or assurance conclusion. This document is prepared in accordance with ASRS 4400 and other relevant Australian professional standards, making it suitable for situations such as regulatory compliance checks, due diligence processes, grant acquittals, or specific financial investigations. The report strictly presents factual findings based on agreed-upon procedures, providing objective information that allows intended users to form their own conclusions. It's particularly valuable in scenarios where traditional audit opinions are not required or when stakeholders need focused examination of specific areas or transactions.
Suggested Sections

1. Title: Clear identification that this is a Report of Factual Findings

2. Addressee: Specific party or parties who engaged the service

3. Scope: Description of the nature and extent of work performed, including specific reference to ASRS 4400

4. Management's Responsibility: Statement of management's responsibility for the subject matter

5. Practitioner's Responsibility: Clear statement of the auditor's responsibility to perform agreed procedures and report findings

6. Restrictions on Use: Statement restricting the use of the report to specified parties and purposes

7. Procedures and Findings: Detailed listing of specific procedures performed and corresponding factual findings

8. Other Matter: Standard disclaimers and statements about independence and quality control

9. Practitioner's Signature: Signature, name, firm, location and date of the report

Optional Sections

1. Executive Summary: Brief overview of key findings - used for complex or lengthy reports

2. Specific Regulatory Compliance: Additional section when procedures relate to specific regulatory requirements

3. Methodology: Detailed explanation of methods used - included for complex engagements

4. Limitations: Additional specific limitations beyond standard disclaimers - used when special circumstances exist

5. Management Responses: Inclusion of management's responses to findings - when agreed with the engaging party

Suggested Schedules

1. Schedule 1 - Agreed-Upon Procedures: Detailed listing of all procedures agreed with the engaging party

2. Schedule 2 - Detailed Findings: Comprehensive presentation of all findings in tabular or detailed format

3. Schedule 3 - Source Documents: List of all documents and information sources used in performing the procedures

4. Appendix A - Terms of Engagement: Copy or summary of the engagement letter defining the scope

5. Appendix B - Sample Documentation: Examples of key documents or templates used, if relevant

6. Appendix C - Glossary: Definitions of technical terms and abbreviations used in the report

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓƵ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions


















Clauses


















Relevant Industries

Financial Services

Mining and Resources

Manufacturing

Healthcare

Technology

Real Estate

Retail

Professional Services

Government and Public Sector

Education

Non-profit Organizations

Infrastructure

Relevant Teams

Finance

Internal Audit

Compliance

Risk Management

Legal

Corporate Governance

Treasury

Board Secretariat

External Audit

Regulatory Affairs

Relevant Roles

Chief Financial Officer

Financial Controller

Compliance Manager

Internal Audit Manager

External Auditor

Risk Manager

Company Secretary

Finance Director

Audit Partner

Regulatory Compliance Officer

Due Diligence Manager

Board Director

Chief Executive Officer

Treasury Manager

Industries







Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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