AssureSwarm

workflow

Fraud & Forensic Investigation Engagement

Fraud & Forensic Investigation Engagement as a decision-aware workflow. It runs on a dedicated Audit item (audit_type: investigation) created for this allegation at intake — the confidential case record — with the workflow instance attached to that item and its visibility restricted to the named investigation team. In scope: one specific fraud allegation, worked predication-gated and confidentially from intake through evidence preservation, forensic procedures, interviews, loss quantification, and audit-committee reporting; the named deliverables are the chain-of-custody register, the findings memorandum with its loss-quantification schedule, and the privilege-marked audit-committee fraud report. Out of scope: the enterprise fraud risk profile (owned by Fraud Risk Assessment & Anti-Override Control Review, which receives scheme intelligence from this case rather than being rerun here) and any unrelated conduct discovered in passing (which gets its own intake record). It consumes the hotline intake package from Control Responsibility Communications & Ethics Hotline when so routed, and hands each control breakdown off as an Issue item — control-gap findings to Finding Remediation & Action-Plan Monitoring and ICFR-affecting deficiencies to SOX Deficiency Remediation — rather than duplicating that work.

Record JSON · Open in map · Data retrieval guide

Catalog revision: 24028ffcfc2b295fa1b08ee6caa84b765f0731b321496bf4f548c49ad2177028. A connection does not establish full coverage.

Attributes

domain
audit
department
internal-audit
lineOfDefense
assure

Details

teams
  • internal-audit
  • compliance-legal
domains
  • audit
standards
  • iia-2024
sourceTemplateId
workflow-library:audit-fraud-investigation
releaseId
sha256:b5fe4ec3e78e34833795d4e184e8ffaddf20825dd6fd5fa09a4a661495cc0862
canonicalUrl
https://workflow-library.com/all/?w=audit-fraud-investigation
capabilities
    mappingStatus
    mapped
    lineOfDefense
    assure
    controls
    • UC-AUDIT-05
    • UC-AUDIT-08
    • UC-AUDIT-12
    • UC-AUDIT-13
    • UC-AUDIT-14
    • UC-AUDIT-15
    • UC-AUDIT-16
    • UC-AUDIT-18
    • UC-IR-07
    roleIntegrity
    activityCount
    0
    ermPhases
      lineRoles
        serviceModes
          warnings

            Source

            No record-specific source URL is provided.

            Download workflow template · Release: sha256:b5fe4ec3e78e34833795d4e184e8ffaddf20825dd6fd5fa09a4a661495cc0862

            Connections