Intuit- Interim Audit Timeline
Person
Particulars
Responsible
Cash and Bank
Risk Control Matrix
Process Flow chart and process note
Population:
Cash/Bank GL for the period Apr 2021 to Jan 2022
Bank statements for all Banks from Apr 2021 to Jan 2022
Approved and Reviewed BRS for two months along with GL
Balances and Bank Statements.
Revenue/O2C
Risk Control Matrix
Process Flow chart and process note
Revenue Agreement
Docs Required for Sample:
Invoices raised during the month.
Approval of Monthly Invoice by authorised person in India.
Approval of TP workings by CAR team.
Monthly excel file uploaded in Oracle along with Screenshots and TP
Calculation.
Credit Advice
Form Softex
Intercompany treasury template and approval.
Screenshot of email sent to Treasury.
Screenshot of Receipt in Bank
Payroll
Risk control matrix
Process Flow chart and process note
Population
Salary register from Apr 2021 to Jan 2022 and its reconciliation to GL
Listing of Employees newly joined and resigned during the period Apr
2021 to Jan 2022
Headcount reco from Apr 2021 to Jan 2022
Walk through sample details
FAR
Risk control matrix
Process Flow chart and process note
Population
FAR for the period Apr 01, 2021 to Jan 2022 and reconciled to GL.
Fixed assets addition listing for the period Apr 01, 2021 to Jan 2022.
Deletion listing for the period Apr 01, 2021 to Jan 2022 .
Walk through sample details
P2P
Risk control matrix
Process Flow chart and process note
Population
1. Legder dump for goods/ services falls under the process procure to
pay and reconciliation to GL
2. Change in vendor master log including new vendor for the period
Apr till Jan 22
3. Legder dump for goods/ services not captured under the process
procure to pay and reconciliation to GL and also the related control
related to these transaction.
Note: The invoice which has been booked and subsequently got
reversed, manual and contra entries should be excluded from the
populations and keep it in a separate tab.
Walk through sample details
Process Process owner
Fixed Assets- Walkthrough
Fixed Assets- Test of Controls
Payroll- Walkthrough
Payroll- Test of Controls
Cash & Bank- Walkthrough
Cash & Bank- Test of Controls
Procure to Pay- Walkthrough
Procure to Pay- Test of Controls
FSCP- Walkthrough
FSCP- Test of Controls
Equity/ SBC- Walkthrough
Equity/ SBC- Test of Controls
ISOFT
Areas Client Spoc responsible
Order to Cash- Walkthrough
Order to Cadh- Test of Controls
Fixed Assets- Walkthrough
Fixed Assets- Test of Controls
Payroll- Walkthrough
Payroll- Test of Controls
Cash & Bank- Walkthrough
Cash & Bank- Test of Controls
Procure to Pay- Walkthrough
Procure to Pay- Test of Controls
FSCP- Walkthrough
FSCP- Test of Controls
Intuit LLP - To discuss whether to take control or substantive approach
Areas Client Spoc responsible
Fixed Assets- Walkthrough
Fixed Assets- Test of Controls
Payroll- Walkthrough
Payroll- Test of Controls
Cash & Bank- Walkthrough
Cash & Bank- Test of Controls
Procure to Pay- Walkthrough
Procure to Pay- Test of Controls
FSCP- Walkthrough
FSCP- Test of Controls
Date Date
Status Comments
Expected Received
3/8/2022 Received
3/8/2022 Received
3/10/2022 Partially Received Clarifications on GL 10019
3/10/2022 Received
NA NA
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
Requested on 17.03.22
3/11/2022 Received
3/11/2022 Received
Closing head count listing for Jan22
3/15/2022
3/16/2022 Partially pending TA team WT requirements received , remaining WT requirements
Pending
Pending
3/16/2022 Received Not reconciling to GL- queries pending from client
FAR received from april to december &
January additions list received
3/16/2022 Received separately
3/16/2022 Received
Pending
Pending
Pending
3/3/2022 Received
Pending
3/3/2022 Received
3/3/2022 Received
Pending
Date when Expected Date for Status
requested providing
information
Date when Tentative Date to be Status
requested filled by client
Date when Tentative Date to be Status
requested filled by client
received , remaining WT requirements relating to payroll yet to send from EY team
ies pending from client
Date received Remarks
Date received Remarks
Date received Remarks
Intuit- Interim Audit Timeline
Person
Particulars
Responsible
Cash and Bank
Risk Control Matrix
Process Flow chart and process note
Population:
Cash/Bank GL for the period April 2021 to Jan 2022
Bank statements for all Banks from April 2021 to Jan 2022
BRS for two months along with GL Balances and Bank Statements.
Revenue/O2C
Risk Control Matrix
Process Flow chart and process note
Population:
Sales register for the period April 1,2021 to Jan 31, 2022 reconciled to
GL.
Docs Required for Sample:
Revenue WT - Online Sales
Copy of Invoice of the above sample.
Deferred Revenue Accounting Entry with Backup Workings & Raw
Reports for December 2021.
Amortisation of Revenue Accounting Entry with Backup Workings &
Raw Reports for December 2021.
Payment Raw report generated for December 2021.
Transactions Raw report generated for December 2021.
Email received from Razorpay on Succesful payment for the selected
sample.
Email of Invoice sent to Finance Team for Digital Signature Sign off.
Screenshot of 1) Sale Recoding Entry
2) Payment receipts entry.
Approval of Special discounts, if any.
Screenshot of Receipt in Bank statement reconciled to the Monthly
Payments report from Razorpay.
Revenue WT - oBill and RevStream
Details of Offer:
Screenshot of Summary of Offer
Screenshot of Package details of Offer
Screenshot of Charge details of Offer
Screenshot of detailed Publication logs and approval logs
Screenshot of Details of Latest CAR Approval
Details of Sample:
Accounting entry screenshot for Receipt for the day matching with the
Sales Register for the day.
Deferred Revenue Reconciliation for September 2021.
Report of Deferred Revenue Listing from oBill for September 2021.
Screenshot of GL Balance from Oracle on September 2021.
Deferred Revenue Amortisation Report from RevStream for
September 2021.
TOC Documents for O2C
Monthly Controls:
Sales reports
Reports from Razorpay
Reports from oBill
Reconciliations
Sales Testing:
Invoice
Razorpay Report
Price List
Discount details and Approval
Activation date
Discount details for the year.
TOC Documents for oBill and RevStream
Screenshots of Approvals for Offers
Monthly Revenue Reconciliation of 2 months.
Payroll
Risk control matrix
Process Flow chart and process note
Population
Salary register from April 2021 to Feb 2022 and its reconciliation to GL
Listing of Employees newly joined and resigned during the period April
2021 to Feb 2022
Headcount reco from April 2021 to Feb 2022
Walk through sample details
FAR
Risk control matrix
Process Flow chart and process note
Population
FAR for the period April 01, 2021 to February 28, 2022 and reconciled
to GL.
Fixed assets addition listing for the period April 01, 2021 to February
28, 2022.
Deletion listing for the period April 01, 2021 to February 28, 2022 .
Walk through sample details
P2P
Risk control matrix
Process Flow chart and process note
Population
1. Legder dump for goods/ services falls under the process procure to
pay and reconciliation to GL
2. Legder dump for goods/ services not captured under the process
procure to pay and reconciliation to GL and also the related control
related to these transaction.
Note: The invoice which has been booked and subsequently got
reversed, manual and contra entries should be excluded from the
populations and keep it in a separate tab.
Walk through sample details
Process Process owner
Fixed Assets- Walkthrough
Fixed Assets- Test of Controls
Payroll- Walkthrough
Payroll- Test of Controls
Cash & Bank- Walkthrough
Cash & Bank- Test of Controls
Procure to Pay- Walkthrough
Procure to Pay- Test of Controls
FSCP- Walkthrough
FSCP- Test of Controls
Equity/ SBC- Walkthrough
Equity/ SBC- Test of Controls
ISOFT
Areas Client Spoc responsible
Order to Cash- Walkthrough
Order to Cadh- Test of Controls
Fixed Assets- Walkthrough
Fixed Assets- Test of Controls
Payroll- Walkthrough
Payroll- Test of Controls
Cash & Bank- Walkthrough
Cash & Bank- Test of Controls
Procure to Pay- Walkthrough
Procure to Pay- Test of Controls
FSCP- Walkthrough
FSCP- Test of Controls
Intuit LLP - To discuss whether to take control or substantive approach
Areas Client Spoc responsible
Fixed Assets- Walkthrough
Fixed Assets- Test of Controls
Payroll- Walkthrough
Payroll- Test of Controls
Cash & Bank- Walkthrough
Cash & Bank- Test of Controls
Procure to Pay- Walkthrough
Procure to Pay- Test of Controls
FSCP- Walkthrough
FSCP- Test of Controls
Date Date
Status Comments
Expected Received
3/8/2022 Received
3/8/2022 Received
3/10/2022 Partially Received Clarifications on GL 10019
3/10/2022 Received
Same as last year.
Received only till Dec 21.
To be reconciled to GL along with Jan
3/10/2022 Partially Received 2022
Email sent on 14.03.2022
3/11/2022 Received
3/11/2022 Received
3/15/2022
3/16/2022 Partially pending TA team WT requirements received , remaining WT requirements
Pending
Pending
Pending
Pending
Pending
Pending
Pending
Pending
3/3/2022 Received
3/3/2022 Received
3/3/2022 Received
Pending
Date when Expected Date for Status
requested providing
information
Date when Tentative Date to be Status
requested filled by client
Date when Tentative Date to be Status
requested filled by client
received , remaining WT requirements relating to payroll yet to send from EY team
Date received Remarks
Date received Remarks
Date received Remarks
Intuit- Interim Audit Timeline
Person
Particulars
Responsible
Cash and Bank
Risk Control Matrix
Process Flow chart and process note
Population:
Cash/Bank GL for the period April 2021 to Jan 2022
Bank statements for all Banks from April 2021 to Jan 2022
Approved and Reviewed BRS for two months along with GL
Balances and Bank Statements.
Revenue/O2C
Risk Control Matrix
Process Flow chart and process note
Revenue Agreement
Docs Required for Sample of 2 months:
Invoices raised during the month.
Approval of Monthly Invoice by authorised person in India.
Approval of TP workings by CAR team.
Monthly excel file uploaded in Oracle along with Screenshots and TP
Calculation.
Credit Advice
Form Softex
Intercompany treasury template and approval.
Screenshot of email sent to Treasury.
Screenshot of Receipt in Bank
Payroll
Risk control matrix
Process Flow chart and process note
Population
Salary register from April 2021 to Feb 2022 and its reconciliation to
GL
Listing of Employees newly joined and resigned during the period
April 2021 to Feb 2022
Headcount reco from April 2021 to Feb 2022
Walk through sample details
FAR
Risk control matrix
Process Flow chart and process note
Population
FAR for the period April 01, 2021 to February 28, 2022 and reconciled
to GL.
Fixed assets addition listing for the period April 01, 2021 to February
28, 2022.
Deletion listing for the period April 01, 2021 to February 28, 2022 .
Walk through sample details
P2P
Risk control matrix
Process Flow chart and process note
Population
1. Legder dump for goods/ services falls under the process procure to
pay and reconciliation to GL
2. Legder dump for goods/ services not captured under the process
procure to pay and reconciliation to GL and also the related control
related to these transaction.
Note: The invoice which has been booked and subsequently got
reversed, manual and contra entries should be excluded from the
populations and keep it in a separate tab.
Walk through sample details
Process Process owner
Fixed Assets- Walkthrough
Fixed Assets- Test of Controls
Payroll- Walkthrough
Payroll- Test of Controls
Cash & Bank- Walkthrough
Cash & Bank- Test of Controls
Procure to Pay- Walkthrough
Procure to Pay- Test of Controls
FSCP- Walkthrough
FSCP- Test of Controls
Equity/ SBC- Walkthrough
Equity/ SBC- Test of Controls
ISOFT
Areas Client Spoc responsible
Order to Cash- Walkthrough
Order to Cadh- Test of Controls
Fixed Assets- Walkthrough
Fixed Assets- Test of Controls
Payroll- Walkthrough
Payroll- Test of Controls
Cash & Bank- Walkthrough
Cash & Bank- Test of Controls
Procure to Pay- Walkthrough
Procure to Pay- Test of Controls
FSCP- Walkthrough
FSCP- Test of Controls
Intuit LLP - To discuss whether to take control or substantive approach
Areas Client Spoc responsible
Fixed Assets- Walkthrough
Fixed Assets- Test of Controls
Payroll- Walkthrough
Payroll- Test of Controls
Cash & Bank- Walkthrough
Cash & Bank- Test of Controls
Procure to Pay- Walkthrough
Procure to Pay- Test of Controls
FSCP- Walkthrough
FSCP- Test of Controls
Date Date
Status Comments
Expected Received
3/8/2022 Received
3/8/2022 Received
3/10/2022 Partially Received Clarifications on GL 10019
3/10/2022 Received
NA NA
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
3/10/2022 Received
Requested on 17.03.22
3/11/2022 Received
3/11/2022 Received
3/15/2022
3/16/2022 Partially pending TA team WT requirements received , remaining WT requirements
Pending
Pending
Pending
Pending
Pending
Pending
Pending
Pending
3/3/2022 Received
3/3/2022 Received
Pending
Date when Expected Date for Status
requested providing
information
Date when Tentative Date to be Status
requested filled by client
Date when Tentative Date to be Status
requested filled by client
received , remaining WT requirements relating to payroll yet to send from EY team
Date received Remarks
Date received Remarks
Date received Remarks
Intuit Entities- Requirements for Interim
[Link] Intuit soft
1) Trial Balance for the period 1st Apr' 21 to 28th Feb' 22
2)
Process Flow chart for the below processes:
Order to Cash
Procure to Pay
Payroll
Fixed Assets
Cash & Bank
Financial Statement Close Process
3)
Risk Control Matrix of the above proceses along with
assertions marked to each control as well as the
nature of control
4)
Please specify the controls related to all the
Estimates of Financials:
Estimation/ Projection of GST utilisation
Gratuity & Leave Encashment
Income tax
5)
IPE Screenshot of the above processes as and when
data is pulled from system being :
Ledger
Paysheets
FAR
Leave Absence report
Trial Balance
All documents extracted from Oracle/ or any IT App
IIPDC Intuit LLP
Trial Balance for the period 1st Apr' 21 to 28th Feb' 22 Trial Balance for the period 1st Apr' 21 to 28th Feb' 22
Process Flow chart for the below processes: Process Flow chart for the below processes:
Procure to Pay Procure to Pay
Payroll Payroll
Fixed Assets Fixed Assets
Cash & Bank Cash & Bank
Financial Statement Close Process Financial Statement Close Process
Risk Control Matrix of the above proceses along with Risk Control Matrix of the above proceses along with
assertions marked to each control as well as the assertions marked to each control as well as the
nature of control nature of control
Please specify the controls related to all the Estimates Please specify the controls related to all the
of Financials: Estimates of Financials:
Gratuity & Leave Encashment Gratuity & Leave Encashment
Income tax Income tax
IPE Screenshot of the above processes as and when IPE Screenshot of the above processes as and when
data is pulled from system being : data is pulled from system being :
Ledger Ledger
Paysheets Paysheets
FAR FAR
Leave Absence report Leave Absence report
Trial Balance Trial Balance
All documents extracted from Oracle/ or any IT App All documents extracted from Oracle/ or any IT App
Intuit Entities
Document required to select the samples
Process
Order to cash
Procure to Pay
Capitalization to Depreciation
Payroll
Treasury
FSCP (incl taxation)
select the samples
Intuit soft
Documents required for se
1. Sales register for the period April 1,2021 to Feb 28, 2022 reconciled to GL.
1. Legder dump for goods/ services falls under the process procure to pay and reconciliation to GL
2. Legder dump for goods/ services not captured under the process procure to pay and reconciliation to GL
and also the related control related to these transaction.
Note: The invoice which has been booked and subsequently got reversed, manual and contra entries should be
excluded from the populations and keep it in a separate tab.
1. FAR for the period April 01, 2021 to February 28, 2022 , reconciled to GL.
2. Fixed assets addition listing for the period April 01, 2021 to February 28, 2022 .
3. Deletion listing for the period April 01, 2021 to February 28, 2022 .
1. Head count reco from April 01,2021 to February 28, 2022.
2. List of employee joined, resigned and transferred during the period April 01,2021 to February 28, 2022.
3. Pay register for the period April 01,2021 to February 28, 2022
4. Payroll reconciliation to GL.
1. Cash Receipt Register for the period April 1, 2021 to February 28, 2022 .
2. Payment Register for the period April 1, 2021 to February 28, 2022 .
JE Dumps for the period April 1, 2021 to Feb 28, 2022
IIPDC
Documents required for selecting samples
N/A
1. Legder dump for goods/ services falls under the process procure to pay and reconciliation to GL
2. Legder dump for goods/ services not captured under the process procure to pay and reconciliation
to GL and also the related control related to these transaction.
Note: The invoice which has been booked and subsequently got reversed, manual and contra entries
should be excluded from the populations and keep it in a separate tab.
1. FAR for the period April 01, 2021 to February 28, 2022 , reconciled to GL.
2. Fixed assets addition listing for the period April 01, 2021 to February 28, 2022 .
3. Deletion listing for the period April 01, 2021 to February 28, 2022 .
1. Head count reco from April 01,2021 to February 28, 2022.
2. List of employee joined, resigned and transferred during the period April 01,2021 to February 28,
2022.
3. Pay register for the period April 01,2021 to February 28, 2022
4. Payroll reconciliation to GL.
1. Cash Receipt Register for the period April 1, 2021 to February 28, 2022 .
2. Payment Register for the period April 1, 2021 to February 28, 2022 .
JE Dumps for the period April 1, 2021 to Feb 28, 2022
Intuit LLP
N/A
1. Legder dump for goods/ services falls under the process procure to pay
and reconciliation to GL
2. Legder dump for goods/ services not captured under the process procure to
pay and reconciliation to GL and also the related control related to these
transaction.
Note: The invoice which has been booked and subsequently got reversed,
manual and contra entries should be excluded from the populations and keep
it in a separate tab.
1. FAR for the period April 01, 2021 to February 28, 2022 , reconciled to
GL.
2. Fixed assets addition listing for the period April 01, 2021 to February 28,
2022 .
3. Deletion listing for the period April 01, 2021 to February 28, 2022 .
1. Head count reco from April 01,2021 to February 28, 2022.
2. List of employee joined, resigned and transferred during the period April
01,2021 to February 28, 2022.
3. Pay register for the period April 01,2021 to February 28, 2022
4. Payroll reconciliation to GL.
1. Cash Receipt Register for the period April 1, 2021 to February 28, 2022 .
2. Payment Register for the period April 1, 2021 to February 28, 2022 .
JE Dumps for the period April 1, 2021 to Feb 28, 2022
Intuit Entities
Document required to select WT samples
Process
Procure to Pay
Fixed Assets
Fixed Assets
Payroll
FSCP
select WT samples
Intuit soft
Documents requ
1. Legder dump for goods/ services falling under the process procure to pay and reconciliation to GL.
2. Legder dump for goods/ services not captured under the process procure to pay and reconciliation to GL and also the related control to these transact
Note: The invoice which has been booked and subsequently got reversed and manual and contra entries should be excluded from the population provid
and keep it in a separate tab.
Walkthrough Requirements:
1 Sample for Goods/Consumables purchased
> Purchase Requisition
> Quotations and Alternate Quotations
> Agreement if any
> PO
>Invoice
> GRN
> Bank statement evidencing the payment
> Payment approval
> Payment Screenshot
> TDS Screenshot
1 Sample for services
> Purchase Requisition
> Quotations and Alternate Quotations
> Agreement if any
> PO
>Invoice
> User approval for services received
> Payment Screenshot
> TDS Screenshot
> Bank statement evidencing the payment
1. FAR for the period April 01, 2021 to February 28, 2022 , reconciled to GL.
2. Fixed assets addition listing for the period April 01, 2021 to February 28, 2022 .
3. Deletion listing for the period April 01, 2021 to February 28, 2022 .
Walkthrough Requirements:
1. Addition
1 sample each required for domestic purchase and import of asset with below supportings:
> Purchase Requisition
> Quotations and Alternate Quotations
> Purchase Order
> Invoice
> GRN
> Bank statement evidencing the payment
> Payment approval
> Capitalization Certificate
> Screenshot for generation of US Tag Number
> Bill of entry (in case of import of asset)
> Accounting entry for recording the asset
> Extract of entry in bond register in case of imported assets
> Payment screenshot in oracle
2. Deletion
> Approval for deletion
> Quotations and Alternate Quotations
> Invoice
> Bank statement evidencing the receipt
> Profit / loss computation for the asset sold mapped to FAR Register
> Extract of bond register in case of debonded asset
> Accounting entry screenshot for deletion
1. Head count reco from April 01,2021 to February 28, 2022.
2. List of employee joined, resigned and transferred during the period April 01,2021 to February 28, 2022.
3. Pay register for the period April 01,2021 to February 28, 2022
4. Payroll reconciliation to GL.
Walkthrough Requirements:
1. New Employees
> Hiring requisition and approvals
> Interview evaluation reports
> Background verification report
> Offer Letter
> Appointment Letter
> Quickbase database for employee details of new joinee
> Workday screenshot for employee id & compensation structure
> On-boarding documents including id proofs of the employees
> Workday screenshot for Bank Details feeded by the employee and locked for no further edits
> Form 16 (generated if any)
> Leave Balance Report for the month in which employee has joined
> Salary Pay Slip for the month of joining
> Paysheet for the month in which new employee has joined and its respective approval from Payroll manager and the HR Head
> Approval mail for payment for the month in which new employee has joined
2. Existing Employees
> Latest Increment Letter
> Work day screenshot of Emp ID & Compensation Structure
> Salary Slip for a month to be shared
> Tax Computation
> Form 16 (generated if any)
> Leave Balance Report
> Paysheet for the month (to be shared) and its respective approval from Payroll manager and the HR Head
3. Resigned Employees
> Resignation Letter
> Quickbase exit formalities form with Clearance Approvals
> Workday screenshot for compensation structure
> Workday screenshot for blocking of employee id
> Last increment letter
> F&F and the mail approval for F&F
> Tax computation
> Relieving Certificate
> Form 16 (generated if any)
> Leave Balance Report of the resigned employee for the month of resignation
Reclass entries- Screenshot of preparer & approver
All accruals preparer & approval screenshot
Prepaid expenses- JE prepared & reviewed screenshot
FA Analyzed by & reviewed by screenshot
Financial prepared & uploaded/ reviewed by
List of all the designated persons- to whom access I given to record entries
Monthly close checklist for 2 sample months to be shared later
All manual journal entries posted & reviewed by for 2 sample months to be shared later
IIPDC & Intuit LLP
nts required for selecting samples
1. Legder dump for goods/ services falling under the process procure to pay and reconciliation to GL.
2. Legder dump for goods/ services not captured under the process procure to pay and reconciliation to GL and also the related control to these
transaction.
Note: The invoice which has been booked and subsequently got reversed and manual and contra entries should be excluded from the population provid
and keep it in a separate tab.
Walkthrough Requirements:
1 Sample for Goods/Consumables purchased
> Purchase Requisition
> Quotations and Alternate Quotations
> Agreement if any
> PO
>Invoice
> GRN
> Bank statement evidencing the payment
> Payment approval
> Payment Screenshot
> TDS Screenshot
1 Sample for services
> Purchase Requisition
> Quotations and Alternate Quotations
> Agreement if any
> PO
>Invoice
> User approval for services received
> Payment Screenshot
> TDS Screenshot
> Bank statement evidencing the payment
1. FAR for the period April 01, 2021 to February 28, 2022 , reconciled to GL.
2. Fixed assets addition listing for the period April 01, 2021 to February 28, 2022 .
3. Deletion listing for the period April 01, 2021 to February 28, 2022 .
Walkthrough Requirements:
1. Addition
1 sample each required for domestic purchase and import of asset with below supportings:
> Purchase Requisition
> Quotations and Alternate Quotations
> Purchase Order
> Invoice
> GRN
> Bank statement evidencing the payment
> Payment approval
> Capitalization Certificate
> Screenshot for generation of US Tag Number
> Bill of entry (in case of import of asset)
> Accounting entry for recording the asset
> Extract of entry in bond register in case of imported assets
> Payment screenshot in oracle
2. Deletion
> Approval for deletion
> Quotations and Alternate Quotations
> Invoice
> Bank statement evidencing the receipt
> Profit / loss computation for the asset sold mapped to FAR Register
> Extract of bond register in case of debonded asset
> Accounting entry screenshot for deletion
1. Head count reco from April 01,2021 to February 28, 2022.
2. List of employee joined, resigned and transferred during the period April 01,2021 to February 28, 2022.
3. Pay register for the period April 01,2021 to February 28, 2022
4. Payroll reconciliation to GL.
Walkthrough Requirements:
1. New Employees
> Hiring requisition and approvals
> Interview evaluation reports
> Background verification report
> Offer Letter
> Appointment Letter
> Quickbase database for employee details of new joinee
> Workday screenshot for employee id & compensation structure
> On-boarding documents including id proofs of the employees
> Workday screenshot for Bank Details feeded by the employee and locked for no further edits
> Form 16 (generated if any)
> Leave Balance Report for the month in which employee has joined
> Salary Pay Slip for the month of joining
> Paysheet for the month in which new employee has joined and its respective approval from Payroll manager and the HR Head
> Approval mail for payment for the month in which new employee has joined
2. Existing Employees
> Latest Increment Letter
> Work day screenshot of Emp ID & Compensation Structure
> Salary Slip for a month to be shared
> Tax Computation
> Form 16 (generated if any)
> Leave Balance Report
> Paysheet for the month (to be shared) and its respective approval from Payroll manager and the HR Head
3. Resigned Employees
> Resignation Letter
> Quickbase exit formalities form with Clearance Approvals
> Workday screenshot for compensation structure
> Workday screenshot for blocking of employee id
> Last increment letter
> F&F and the mail approval for F&F
> Tax computation
> Relieving Certificate
> Form 16 (generated if any)
> Leave Balance Report of the resigned employee for the month of resignation
Screenshots of preparer & approval of reclass entries
All accruals preparer & approval screenshot
Prepaid expenses- JE prepared & reviewed
FA Analyzed by & reviewed by
Financial prepared & uploaded/ reviewed by
List of all the designated persons- to whom access I given to record entries
Monthly close checklist for 2 sample months to be shared later
All manual journal entries posted & reviewed by for 2 sample months to be shared later
Intuit Entities
Document required for TOC Samples for both entities
Process
Payroll
Payroll Monthly
Treasury
Procure to Pay
Fixed Assets
Order to cash for Intuit soft
NB:- On the basis of walkthrough if we come across any further documents we will let you know.
for TOC Samples for both entities
Documents required for TOC
- New Employees
> Offer Letter
> Appointment Letter
> Salary Pay Slip (for two months to be shared later)
> Attendance Computation (for two sample months to be shared later)
> Form 16 (generated if any)
> Leave Balance
- Existing Employees
> Latest Increment Letter
> Attendance Computation (for two sample months to be shared later)
> Leave Balance
> Form 16 (generated if any)
> Salary Pay Slip (for two months to be shared later)
- Resigned Employees
> Resignation Letter
> F&F
> Clearance Certificate (if applicable)
> Relieving Certificate
> Attendance Computation (for two sample months to be shared later)
> Form 16 (generated if any)
> Leave Balance
- 2 Sample months to be shared later
> Payroll Input Templates
> Payroll Output Templates
> Payroll approval for payment release
> Fund Transfer Form
> Bank Statement tracing
> Bank Statement for the period April'20 till date
> Invoice
> PO
> Bank Reconciliation Statement
> Purchase Requisition
> Quotations and Alternate Quotations
> PO
>Invoice
> GRN
> Bank statement evidencing the payment
> Payment approval
> Payment screenshot
> Agreement if any
> Purchase Requisition
> Purchase Order
> Agreement if any
> Quotations and Alternate Quotations
> Invoice
> GRN
> Bank statement evidencing the payment
> Payment approval
> Capitalization Certificate
> Invoices
> Approved price list
> Discount if any given (approval for discount)
> Email notification to finance team for payment made by the customer
> Screen shots for EFT receipts
> Activation Details (Screen shot)
> Intimation mail to buyer for purchase of license having license code
> Monthly reconciliation of sales report and collection report
> Waterfall model workings
of walkthrough if we come across any further documents we will let you know.
The Ledger Dump is required for selecting TOD Samples
Ledger Dump of respective entities- If possible Expense headwise
From the entire ledger dump please highlight the below items
Credit Memo
Debit Memo
CAPEX
FOREX
Discount
Donation
Security Deposit
Payroll
Contra Enteries
Concur Expense
Manual Entries
