documentation of risk assessment process (the risk profile tables) in excel format. The risk profile shall include (1) quality objectives (2) quality risks and (3) responses for all relevant elements of TSQM 1
process work? How often are job evaluations made? 3 Does the firm have job evaluation forms or criteria specific (e.g., job portfolio) for each staff level? Please provide us with evaluation forms of all
Client Acceptance: Firm's Reference /Guidance Notes Description 1 The standard documentation highlights all important matters for consideration, including: • integrity and identification checks on client
organizational structure and indicate whether there are INEs at the global, regional or local level. B6 Whether the firm has designated a Quality Management (QM) partner who takes responsibility for the firm’s
the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time
firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for
Activities 381 225 191 148 N/A N/A Red Activities >381g >225g >191g >148g >50g >50g Note: all thresholds are subject to review every three to five years in accordance with new data and technological
standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a
วัดผล Maturity Level 1 (M1) Maturity Level 2 (M2) Maturity Level 3 (M3) Maturity Level 4 (M4) Maturity Level 5 (M5) หมวดที่ 1 การกำกับดูแลและบริหารจัดการด้าน IT (Information Technology Governance) M1 M2
obtaining audit evidence) ผลการประเมิน คำอธิบาย ประเภทการวัดผล Maturity Level 1 (M1) Maturity Level 2 (M2) Maturity Level 3 (M3) Maturity Level 4 (M4) Maturity Level 5 (M5) หมวดที่ 1 การกำกับดูแลและบริหาร