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Microlesson · 5-min read

Inspection as an Audit Procedure — Nature and Reliability of Evidence

## Inspection as an Audit Procedure

Definition: Inspection involves examining records or documents — whether internal or external, in paper form, electronic form, or other media — or a physical examination of an asset.

### Reliability of Evidence from Inspection

Reliability varies depending on:

  • Nature and source of the document/asset
  • For internal records: effectiveness of controls over their production

### What Inspection Can and Cannot Establish

Object InspectedCan EstablishCannot Establish
Financial instrument (stock, bond)ExistenceOwnership or value
Executed contractApplication of accounting policies (e.g., revenue recognition)
Tangible fixed assetExistenceRights/obligations, valuation
Inventory itemsExistence and condition (with observation)
Internal recordsEvidence of authorisation (test of controls)Depends on control effectiveness

### Inspection as Test of Controls

A common application is inspecting records for evidence of authorisation — e.g., checking that purchase orders carry an authorised signature.

Worked example

### Example 1

Scenario: CA Kanika audited Engineering Ltd. for FY 2022-23 by examining all documents and records maintained by the company in detail. This procedure is Inspection. For example, inspecting an inventory bond confirms the instrument exists, but does not confirm its current value or that the entity owns it free of encumbrance — separate procedures are needed for those assertions.

⚠️ Common exam mistakes

  • Assuming inspection of a physical asset proves all financial statement assertions — inspection typically proves only existence, not value, ownership, or completeness.
  • Treating all inspected documents as equally reliable — a document produced internally under weak controls is less reliable than an externally generated document.
  • Confusing 'inspection' (examining records/assets) with 'observation' (watching a process being performed, e.g., inventory counting).
Reference:
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