1. When did the engagement start and when was it supposed to end?

2. Was there an activity Plan used to carry out the audit?

3. Who are the Key Persons involved in the audit activity (both parties)
4. Were you procided with the oraganisation structure?

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1. Review, validation and report on the status of Management implementation of

action plan to address recommendations from the previous ERP System audit conducted
in previous year.
- What was reviewed
- what was the timeline for resolution
- what has/had been accomplished by the time the audit was completed
- what is still pending implementation and the reasons for their incompletion

2. Review of roles and responsibilities in the system (system matrix).

- provide the system matrix
- any issues observed on segregation of duties and role assignments
- any observed conflict of assignments
- any observed delegation problems
- any improvements required

3. Review application controls in the system

- what were the application controls identified
- what application controls were audited
- what was the status of the outcomes of testing the controls
- any identified shorcomings of the controls?
- any recommendation to improve the control specifications

4. Review the system functionality and security of the system.

- what system functionalties were reviewed
- what were the observations and recommendations
- what security functionalities/configurations were reviewed
- what were the observations and recommendations

5. Review controls on cash receipt processing, posting and amendments

- Were there any defined cash receipt processes, controls, test inputs and ouputs
that were audited
- same to posting and ammendments
- were setups/configurations documented/ user manuals reviewed
- recommendations

6. Review of the current inventory module and comment on the set up

- was/ were there any process documentation
- were setups/configurations documented/ user manuals reviewed
- recommendations

7. Review of all required process workflow designs, the workflows in consideration

are: purchase workflow, cash and payment workflow
- was/were there any documented workflows
- what was tested in the workflows and what was the observation of the outcome
- recommendations

8. Review of the system processing speed as well as associated document management

functionality.
- how was the system throughput tested
- system deploymet architecture documentation
- system administration manuals (user specific manual and system administration
manual)
9. Review the account receivable module to enable internal billing
- was/were there any AR process documents
- what were the audited functions in AR
- what were the audited controls in AR
- was data input validation checked
- were reports sufficient

10. Review of procurement management functionalities

- was/were there any Procurement process documents
- what were the audited functions in Procurement
- what were the audited controls in Procurement
- was data input validation checked
- were reports sufficient

11. Review Asset management and tracking

- was/were there any Asset management and Tracking process documents
- what were the audited functions in Asset management and Tracking
- what were the audited controls in Asset management and Tracking
- was data input validation checked
- were reports sufficient

12. Review ERP Sage 300 2018 installation requirements, to certify if what we have
can accommodate the number of ERP users we currently have, particularly items of MS
SQL Server Database CALS (Client Access Licenses ) requirements, Windows CALS
Requirement, RAM and Processor

13. Review backup and recovery arrangements

- any availablle DRP documentation
- any tested backup and recovery procedures
- database groth capacities

14. Review the functionality of web screens