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Microlesson · 5-min read

Audit Procedures – Seven Core Techniques

## Audit Procedures

Audit procedures are specific acts performed by the auditor to gather audit evidence. There are seven core procedures — memorise them as I² O E R² A.

#ProcedureWhat the auditor does
1InspectionExamines records/documents (paper, electronic) or physically examines an asset
2InquirySeeks information from knowledgeable persons — inside or outside the entity
3ObservationLooks at a process or procedure being performed by others
4External ConfirmationObtains a direct written response from a third party (confirming party)
5ReperformanceIndependently re-executes procedures or controls originally done by the entity
6RecalculationChecks mathematical accuracy of documents/records — manually or electronically
7Analytical ProceduresEvaluates financial information by studying plausible relationships among financial and non-financial data

### Key distinctions to remember

  • Inquiry alone is insufficient — it must be corroborated by other procedures because a response can be biased.
  • Observation is limited to the point in time at which it is applied; the process may change when the auditor is not present.
  • Reperformance ≠ Recalculation: Reperformance re-executes controls/procedures; Recalculation checks arithmetic.
  • External Confirmation provides high-quality evidence because it comes directly from a third party, bypassing the client.

Worked example

### Example 1

Inspection (asset): The auditor physically counts and inspects inventory items in the warehouse to verify existence.

### Example 2

Inquiry: The auditor asks the credit manager about the collectability of overdue debtors.

### Example 3

Observation: The auditor watches the client's staff perform the year-end physical verification of inventory.

### Example 4

External Confirmation: The auditor sends a circularisation letter to the company's bank asking it to confirm the closing balance directly.

### Example 5

Reperformance: The auditor independently re-performs the month-end bank reconciliation that was originally prepared by the client's accounts team.

### Example 6

Recalculation: The auditor recalculates depreciation on fixed assets using the rates and formulas in the schedule to verify mathematical accuracy.

### Example 7

Analytical Procedures: The auditor compares the gross profit ratio for the current year with prior years and investigates any unusual fluctuation.

⚠️ Common exam mistakes

  • Treating Inquiry as sufficient evidence on its own — it must always be supported by corroborating procedures.
  • Confusing Reperformance (re-executing a control) with Recalculation (checking arithmetic) — both involve 'doing it again' but cover different things.
  • Assuming Observation gives ongoing assurance — it only covers the moment the auditor is present.
  • Thinking External Confirmation is always reliable — it is not, if the confirming party lacks knowledge or has an interest in the outcome.
Reference:
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