Audit System Articles
How do I import risks from other files / CaseWare Risk Space?
Viewed 5820 times since Tue, May 6, 2014
The Audit System template offers the functionality to copy risks from other CaseWare engagement files and/or CaseWare RiskSpace.  Open the appropriate work paper.  From the risk drop-down menus, select either Import Risks or CaseWare RiskSpace. ... Read More
What are the current release versions distributed by CaseWare A&NZ?
Viewed 5720 times since Mon, Jun 23, 2014
The following release versions are currently distributed by CaseWare A&NZ: CaseWare Working Papers 2017.00.225  CaseWare Working Papers SmartSync 2016.00.136 CaseWare Working Papers SmartSync Server 2016.00.115 CaseWare Connector 2017... Read More
How to set thresholds in Analytical Review Documents
Viewed 5483 times since Thu, May 8, 2014
Within both the Audit System and the FinancialsIFRS templates, the following documents have been included.  Audit System 3-110: Analytical review - by account number 3-115: Analytical review - by leadsheet  Financial IFRS 30-402: Variance report... Read More
Tip Vid - What is OneForm?
Viewed 4988 times since Wed, Sep 24, 2014
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,... Read More
What is the relationship between FSA and Sampling Worksheets?
Viewed 4828 times since Fri, Sep 26, 2014
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.  Required Level of... Read More
Audit System Process Map
Viewed 4742 times since Tue, May 6, 2014
Audit System flowcharts attached in this FAQ below illustrate the best step by step process to use our CaseWare Audit System Templates for an audit engagement. The process map below reflects an example of a flowchart of actions best followed for a... Read More
What are ’Master Files’?
Viewed 4655 times since Fri, Jun 12, 2015
What is a master file? A master file is a CaseWare engagement file that is built internally by a firm. It is not a complete template, but rather an engagement file being used as a blueprint to minimise engagement setup processes for the audit... Read More
How to create a Combined Audit and Financials Engagement File
Viewed 4538 times since Thu, May 8, 2014
To create a combined Audit and Financial Engagement File, follow the steps below. Prerequisites: A combined file can only be created if both the Audit Systems and Financial IFRS templates are installed. Audit Systems Template Financials IFRS... Read More
Audit Profile 5 - OneForm (Australia)
Viewed 4485 times since Mon, Sep 15, 2014
What is the OneForm (Australia) Profile? The OneForm (Australia) profile includes automatic documents, work programs, materiality and the Financial Assertions Worksheet. It also includes "OneForm" - a memo document designed as a framework for ASA... Read More
How to total a Account Balances in a leadsheet or other automatic documents?
Viewed 3878 times since Thu, Oct 9, 2014
CaseWare allows users to calculate the totals of a number of selected rows in an Automatic Document. Procedure:  Step 1: Open any Automatic Document (with account information) in your engagement file.  Step 2: Hold CTRL on your keyboard and use... Read More
How do I customise the Understanding the entity or Audit Strategy documents?
Viewed 3822 times since Thu, May 8, 2014
The CaseWare Audit template provides users with a key document to cater for the overall audit strategy. Document 2-400 ASA Worksheet - Overall Audit Strategy is a simple CaseView document which can be used to document the various aspects of... Read More
How do I use the Reportable Items module with the integrated Management Letters?
Viewed 3745 times since Wed, May 7, 2014
The Audit System template includes the Reportable Items module. This module allows users to record items during the audit that they wish to consider reporting to management and / or those charged with governance at the conclusion of the engagement. ... Read More
Audit Profile 1 - Australia
Viewed 3691 times since Mon, Sep 15, 2014
What is the Australian Profile? The Australian Profile includes all available documents and forms based on the requirements of the Australian Auditing standards. This profile should be used for all medium to large audit engagements.    The... Read More
Tip Vid - FSA
Viewed 3428 times since Tue, Aug 5, 2014
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. Note: You will require a password to view this video.... Read More
How to Roll Forward Risks and Controls
Viewed 3343 times since Thu, May 8, 2014
When recording risks throughout an engagement file, there is an option to have the risk roll forward to the next year.If the risk is likely to remain, this option should be ticked. This will avoid the need to re-enter the details in future years. To... Read More
How to create own user-defined Ratios in CaseWare
Viewed 3341 times since Thu, Jun 19, 2014
As soon as the user has imported and mapped their trial balance, CaseWare will automatically calculate 37 pre-defined ratios.These ratios are set towards a company which deals in sales and inventory. These 37 ratios are set by the industry and do... Read More
What is CaseWare RiskSpace?
Viewed 3253 times since Thu, May 8, 2014
CaseWare RiskSpace, an initiative from CaseWare International, is an online community that lets you quickly download free content to help you identify risks, related controls, and management letter comments. RiskSpace already has over 100 risks,... Read More
Tip Vid - How do I use the Risks / Controls / Reportable Items in my audit engagement file?
Viewed 3170 times since Wed, Oct 1, 2014
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 Tip Vid - Part 3   What are Risks in CaseWare Audit... Read More
Why can’t I make changes to the DARTs (Detailed Audit Response Tables)?
Viewed 3152 times since Wed, May 7, 2014
The main reason why the DARTs (Detailed Audit Response Tables) become non-adjustable is due to the incorrect DART being included in the Audit Program. There are two different DARTs that may exist within an Audit Program.  DART linked to FSA DART... Read More
What are the Different Audit Document Formats?
Viewed 3125 times since Tue, May 6, 2014
The Audit System Template provides several different document formats within the Document Manager.  The most common formats are: Programs: These documents generally contain instructions (or procedures) that the auditor conducts. There are columns... Read More
Audit Business Cycles
Viewed 3065 times since Tue, Oct 4, 2016
The Audit System template utilises 4 Business Cycles. It is essential to have the correct Business cycles in your engagement because it ties your FSA to the control’s risk ratings. The four business cycles can be located in your 3-150 folder.... Read More
Why should I use the CaseWare Australia and New Zealand Engagement Letter document (1-310)?
Viewed 2991 times since Fri, Oct 10, 2014
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... Read More
What happens when I ’Change the Assertions’ in FSA?
Viewed 2983 times since Fri, Oct 3, 2014
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... Read More
How to Print Out my RRPT - Risk Report
Viewed 2877 times since Wed, May 7, 2014
The RRPT Risk Report is quite a large document.  Therefore the document has particular view users can select to 'neatly' print out their RRPT Risk Report.  Follow the steps below to select this view:  Ensure the Filters and Views area... Read More
Audit Profile 4 - Review
Viewed 2829 times since Mon, Sep 15, 2014
What is the Review Profile? The Review Profile includes all available documents and forms based on the requirements of the ASRE requirements. This profile should be used for review engagements.   The Review Profile includes: Trial balance, journal... Read More
Tip Vid - Materiality Workpaper (2-200)
Viewed 2450 times since Fri, Aug 1, 2014
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... Read More
Why is my FSA missing assertions and showing strange column headings?
Viewed 2419 times since Wed, Jun 24, 2015
Sometimes the FSA can end up having issues like the column headings showing 0’s and 1’s in them (highlighted in yellow in the screenshot below) as well as missing assertions. In order to resolve this issue follow these instructions: ... Read More
Disclosure Checklist Update
Viewed 2305 times since Tue, Oct 18, 2016
  Update method To update the Disclosure Checklist documents in the engagement file you will need to remove the existing Disclosure Checklist and re-insert the new documents from Disclosure Checklist library. This means any work  already... Read More
How to sort Groups / Procedures within the Programs / Checklists / Worksheets?
Viewed 2281 times since Thu, May 8, 2014
The Audit System template has a feature called "Groupings" & "Sub-groupings" to group similar procedures. Follow the steps below to sort any group or subgroup within Programs / Checklists / Worksheets: Place the cursor on the required group... Read More
Tips to save time when Gathering the Evidence for an Audit Engagement.
Viewed 2253 times since Thu, May 8, 2014
Gathering audit evidence is generally the longest stage of the engagement. Below are some tips to consider to save time:Scanning Documentation Avoid scanning a document that you could get electronically.  Ask the client if you can get the... Read More
How to resize the Risk Report (RRPT) table
Viewed 2148 times since Thu, May 8, 2014
The Risk Report table can be resized as follows:  Open the Risk Report document (RRPT).  Turn on the ruler.  Select the column heading of the column you wish to resize.  Using the ruler, resize the column to desirable width.  Read More
How do I sort by a specific column in an Automatic document?
Viewed 2071 times since Thu, Oct 9, 2014
CaseWare has the option to sort by all columns in Automatic documents. Open the Automatic document you wish to sort. Place the cursor over the required column heading.  Click the drop down arrow  Select the sorting options as required (for example... Read More
What happens when I copy across a CaseView document from an older engagement?
Viewed 2059 times since Thu, Feb 5, 2015
Am I able to copy across a CaseView document from an older engagement?No. You are not able to copy across Audit or Financials CaseView documents from old engagement files. Any transfers between engagement files must ensure that both engagement files... Read More
Audit Profile 6 - OneForm (New Zealand)
Viewed 2027 times since Mon, Sep 15, 2014
What is the OneForm (New Zealand) Profile? The OneForm (New Zealand) profile includes automatic documents, work programs, materiality and the Financial Assertions Worksheet. It also includes "OneForm" - a memo document designed as a framework for ISA... Read More
How do I correct the procedure response without removing the original completion details?
Viewed 1990 times since Thu, Oct 30, 2014
Right-click Procedure Response.  Select Edit Response Comments. Correct text and click OK. The comments box will now display a red background indicating that it has been amended. The original completion details are unchanged.  Read More
Audit Profile 2 - New Zealand
Viewed 1986 times since Mon, Sep 15, 2014
What is the New Zealand Profile? The New Zealand Profile includes all available documents and forms based on the requirements of the New Zealand Auditing standards. This profile should be used for all medium to large audit engagements.    The New... Read More
Why am I getting ‘Publish Current Engagement Details’ each time I close the file?
Viewed 1986 times since Thu, Aug 6, 2015
Why am I getting ‘Publish Current Engagement Details’ each time I close the file? It is important to select an Audit Engagement Profile whenever you create a new engagement file. If you fail to do this, it will cause the following... Read More
What gets rolled forward on FSA?
Viewed 1982 times since Sun, Sep 28, 2014
CaseWare provides the ability to roll forward the audit engagement file to the next year. The FSA (Financial Statement Areas worksheet) will maintain the following on a year-end close: The Inherent, Control Risk and Residual Risk ratings made to... Read More
Audit FAQs Guidecard
Viewed 1981 times since Tue, May 6, 2014
The attached document details key areas and functions within the Audit template and the frequently asked questions (FAQs) about each. The answers to these FAQs can be found by entering their number into the 'Search Knowledgebase' field on... Read More
Can the FSA be used before a Trial balance is imported?
Viewed 1979 times since Fri, Oct 3, 2014
A user can pre-fill the FSA prior to a 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... Read More
Can I use CaseView documents from other Audit Profiles?
Viewed 1978 times since Wed, Sep 24, 2014
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... Read More
Yellow Warnings for Assertions in FSA
Viewed 1852 times since Thu, Apr 21, 2016
The Yellow triangle warning is a new feature that we have implemented into the Audit template for Audit 17.    What does this new feature do?  The Yellow warnings indicate that there are no procedures to address a particular assertion in the... Read More
Tip Vid - Independence
Viewed 1835 times since Fri, Oct 3, 2014
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... Read More
Can I insert a DART (Detailed Audit Response Table) in a Checklist?
Viewed 1825 times since Wed, May 7, 2014
The DARTs (Detailed Audit Response Tables) are a Program only feature.  At this stage, it cannot be inserted into any other documents (including Checklists / Worksheets).  Read More
CaseWare Q Tip Vid
Viewed 1807 times since Fri, Nov 13, 2015
This video demonstrates how to use the Q document 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 video.... Read More
What is CaseWare Constellations?
Viewed 1756 times since Thu, Aug 20, 2015
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... Read More
Hotfix - Blank Drop-down options in Independent Questionnaire (1-100)
Viewed 1753 times since Wed, May 31, 2017
If the dropdown options in the Independent Questionnaire for Team Members are 'blank' and have no following options to choose from, make sure: Your engagement file is up to date. To do so please see FAQ 411.  You have chosen an audit... Read More
Tip Vid #6 - How to use programs / checklists in Audit System
Viewed 1737 times since Wed, May 7, 2014
This Tip Vid demonstrates the functionality of the Programs / Checklists / Worksheets in the Audit System template. Note: You will require a password to view this video. Please email support at support@caseware.com.au for the password.  Read More
How do I adopt the Audit Phases with Constellations?
Viewed 1683 times since Thu, Aug 20, 2015
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 ... Read More
How do I use Sampling Worksheets with a OneForm profile?
Viewed 1680 times since Fri, Feb 19, 2016
OneForm has been designed for Micro Audits. Sampling is one of the many workpapers excluded from a OneFrom Engagement file as a result.  Note: You will require a password to view this video. Please contact support on 03 9660 4688 or support@caseware... Read More
What are Milestones?
Viewed 1616 times since Fri, Feb 19, 2016
What are milestones and how can I utilise the feature? The milestone feature allows you to create a record of a CaseView or Automatic document at a point in time and using the Compare function to compare any subsequent changes at a later time. This... Read More
How do you ensure your CaseWare Engagement file(s) compliant with the ASAs? (6-100)
Viewed 1599 times since Fri, May 12, 2017
The Audit System compliance document, 6-100 Sign-off Report - ASA Requirements, lists every requirement of the ASAs (Australian Auditing Standard) and automatically indicates which ones have been addressed, as the auditor completes relevant... Read More
Why is my Sampling Worksheet no longer working with my FSA?
Viewed 1578 times since Thu, Feb 18, 2016
The FSA and Sampling Worksheet have been enhanced and therefore required users to re-copy in the Sampling Worksheets from the template. Copy Components > Audit System Select Documents | select Sampling Worksheets filter Select the worksheets you... Read More
Why are my signoffs displaying as a different person?
Viewed 1564 times since Wed, Jun 24, 2015
The reason why your Audit Conclusions will display a different staff member’s name when you sign-off, is because the document you are signing off has been copied from an engagement file that is an older version than the file you are working on.... Read More
How do I save my own personal views in Constellations?
Viewed 1486 times since Thu, Aug 20, 2015
  Constellations offers many views and ways you can view the data in your Audit Engagement File. Users are also able to create their own personal views as documents on their document manager. Follow the steps below to achieve this: Prepare your... Read More
Does Constellations have a Legend?
Viewed 1431 times since Thu, Aug 20, 2015
Legend External Refresh - Refreshes  constellation, clearing all filters Internal Refresh - Refreshes Constellation with the currently selected filters. Search - Type the name of the node you need to search for. This will highlight... Read More
How do I use the Programs and Checklists sign-off report (6-110)?
Viewed 1409 times since Tue, May 23, 2017
Status of Programs and Checklists Document 6-110: Sign-off Report - Programs/Checklists, allows reviewers to ascertain the completion status of all programs and checklists. This document lists individually the status of every program / checklist with... Read More
Hotfix - Blank Drop-down Results in CaseView Risk Response Programs
Viewed 1380 times since Mon, Jul 10, 2017
If the "Results" drop-down options in any Audit Risk Response Programs are Blank and not showing relevant options, make sure: Your engagement file is up to the date with the latest templates installed. If your engagement file is up to date, please... Read More
Why does the font differ between Constellations Nodes?
Viewed 1378 times since Thu, Aug 20, 2015
Constellations when appropriate, will try to maximise the amount of text shown in a node. For example, if you consider the examples below you can see we have a couple of FSA nodes (Equity and Receivables) and Pervasive Risk nodes (Fraud and Business)... Read More
Why is my constellations not working?
Viewed 1362 times since Thu, Aug 20, 2015
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... Read More
Mapping source is missing
Viewed 1348 times since Wed, Aug 31, 2016
Mapping Source Missing The error message means the mapping structure in your engagement file currently contains incorrect template information. You will need to replace the mapping structure in your engagement file by following the steps below. ... Read More
How to use the Audit Program/Checklist Filters
Viewed 1244 times since Wed, Jul 26, 2017
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,... Read More
Hotfix - Random "0s" and "1s" in heading section and missing content in FSA
Viewed 1237 times since Thu, Jun 15, 2017
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... Read More
How do I ensure my 6-100 is working post-update?
Viewed 1126 times since Wed, Jan 25, 2017
Open each engagement file to be updated to 18.00 using the bubble. Click Yes Ensure you select “Audit System preUpdate Setting.scp” Once the update is completed. Open 6-100, look for any purple items appearing in the procedure column. If... Read More
Do I have to use the “Constellations” component?
Viewed 1113 times since Thu, Aug 20, 2015
Constellations has been added as an overlay to the existing Audit System template. Therefore it is not compulsory for users to adopt. Constellations will only open if a user selects the constellation buttons, either in the Working papers template... Read More
What is meant by the Red / Yellow Warning Icons for FSA proposed journals?
Viewed 1051 times since Wed, Jul 26, 2017
When posting any of the following journal entries:   Unrecorded - factual Unrecorded - projected Unrecorded - judgemental   If the resulting total balance for the account falls below the Final Materiality total for Performance, then will appear... Read More
Why is the font different in my Materiality (2-200) and Group Materiality documents?
Viewed 923 times since Thu, Oct 12, 2017
After updating your Audit System templates to version 19, the font size in your Materiality (2-200) and Group Materiality documents may be out of proportion and larger than other documents. If it is too big, follow the steps below to amend it. ... Read More
How do I ensure my 6-100 is working post update?
Viewed 904 times since Wed, Jan 25, 2017
What are the new changes to Materiality (2-200) and Group Materiality?
Viewed 901 times since Tue, Oct 31, 2017
With the latest Audit System template update to version 19.00.310Rev A (2017), there are several new improvements to the Materiality (2-200) and Group Materiality documents. The video below illustrates the following changes:   The following... Read More
Where are the AASB Programs in the Audit System Template?
Viewed 828 times since Thu, Oct 12, 2017
AASB programs listed below will by default no longer be automatically included in any profile selected upon creating new audit engagement files.  A.30 Risk Response Program - Derivative Financial Instruments A.32 Checklist -  Business... Read More