Field notes

What belongs in day-one evidence folders

A field-tested list of documents internal audit teams should stage before the first checklist day of a finance cycle engagement.

The first fieldwork day often evaporates while teams hunt for basic folders. Staging evidence before kickoff protects the checklist calendar.

Always stage these

  • Prior-year control matrix and last management letter
  • Ledger extracts for the population with clear date stamps
  • Access lists for systems the checklist will touch
  • Named process owners with phone extensions, not generic department inboxes

Optional but useful

Org charts for approval hierarchies and a map of shared drives where scanned vouchers live. Without the map, auditors waste hours inside nested folders named after fiscal years.

What to leave out

Do not flood day one with every policy PDF written since incorporation. Policies belong behind the specific checklist step that cites them. Extra paper slows the opening meeting and rarely improves sampling.