The Audit Risk Assessment Matrix is a fundamental tool required for effective audit planning and risk management in Indonesian organizations. It is developed in compliance with Indonesian regulations, including Law No. 5 of 2011 on Public Accountants and OJK regulations. This document becomes necessary when organizations need to systematically evaluate their audit risks, prioritize audit areas, and allocate resources effectively. The matrix typically includes comprehensive risk evaluations across various categories (strategic, operational, financial, and compliance), assessment of control effectiveness, and residual risk calculations. It serves as a crucial input for audit planning, helping organizations meet both regulatory requirements and internal control objectives while addressing specific Indonesian business and regulatory context.
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1. Document Control Information: Document version, date, approval status, and revision history
2. Executive Summary: Overview of the risk assessment process, key findings, and major risk areas identified
3. Audit Scope and Objectives: Clear definition of the audit scope, objectives, and boundaries of the risk assessment
4. Methodology: Description of risk assessment approach, rating criteria, and evaluation methods used
5. Risk Categories: Classification of different risk types (operational, financial, compliance, strategic, etc.)
6. Risk Assessment Criteria: Detailed explanation of impact and likelihood scales used for risk evaluation
7. Risk Register: Comprehensive list of identified risks with their inherent risk ratings
8. Control Assessment: Evaluation of existing controls and their effectiveness
9. Residual Risk Analysis: Assessment of remaining risks after considering control effectiveness
10. Risk Heat Map: Visual representation of risks based on likelihood and impact
11. Action Plans: Recommended mitigation strategies and responsible parties
12. Monitoring and Review: Process for ongoing monitoring and periodic review of identified risks
1. Industry-Specific Risk Factors: Detailed analysis of risks specific to the organization's industry sector
2. IT Systems Risk Assessment: Specific evaluation of technology-related risks and controls
3. Fraud Risk Assessment: Detailed assessment of potential fraud risks and anti-fraud controls
4. Environmental and Social Risk Analysis: Assessment of environmental and social impact risks
5. Regulatory Compliance Matrix: Detailed mapping of compliance requirements and associated risks
6. Stakeholder Analysis: Assessment of stakeholder-related risks and communication strategies
7. Historical Risk Analysis: Review of past incidents and historical risk patterns
1. Risk Assessment Worksheets: Detailed worksheets showing risk calculations and assessments
2. Control Testing Results: Documentation of control effectiveness testing results
3. Risk Rating Criteria: Detailed criteria and matrices used for risk evaluation
4. Interview and Workshop Notes: Documentation of risk assessment interviews and workshop outcomes
5. Previous Audit Findings: Summary of relevant previous audit findings and their current status
6. Risk Response Templates: Standard templates for documenting risk response strategies
7. Regulatory Requirements Reference: Reference guide to applicable Indonesian regulations and compliance requirements
8. Risk Assessment Tools and Templates: Collection of tools and templates used in the risk assessment process
Relevant legal definitions
Clauses
Relevant Industries
Banking and Financial Services
Manufacturing
Mining and Resources
Healthcare
Technology
Retail and Consumer Goods
Transportation and Logistics
Energy and Utilities
Telecommunications
Real Estate
Education
Government and Public Sector
Insurance
Professional Services
Relevant Teams
Internal Audit
Risk Management
Compliance
Finance
Legal
Operations
Information Technology
Quality Assurance
Corporate Governance
Process Control
Relevant Roles
Internal Audit Manager
Risk Management Officer
Compliance Officer
Chief Risk Officer
Audit Director
Chief Internal Auditor
Financial Controller
Chief Financial Officer
Audit Committee Member
Risk Assessment Specialist
Corporate Governance Officer
Quality Assurance Manager
Process Control Manager
Regulatory Compliance Manager
Senior Auditor
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