How to use these workflows
Each workflow includes the exact prompt to use, the expected output, and a quality check. Workflows marked Demo were covered in the training session. All 28 work in NotebookLM. Prompts for the LLM steps also work in Claude, Gemini, Copilot, and ChatGPT.
Phase 1 — Annual Planning
Risk Universe Builder
Extract all unresolved findings from prior year report. Group by risk area. Generate audit tracker.
Auto-Generate Audit Program
Identify key controls from SOP. Pass to LLM for 2 audit tests per control.
Annual Risk Universe
Consolidate findings across all engagements. Rank by frequency and impact.
Audit Committee Pre-Brief
Generate executive summary of planned audit scope and risk rationale.
Phase 2 — Engagement Planning
Control Inventory Builder
Extract all controls from SOP. Map to process steps. Flag preventive vs detective.
Document Request List
Generate a comprehensive list of documents to request from the auditee.
Walkthrough Question Guide
Build walkthrough interview questions from SOP control points.
Risk-Rated Test Program
Prioritise audit tests by risk rating. Filter to highest-risk controls first.
Phase 3 — Walkthrough
SOP vs Reality Gap Analysis
Upload SOP + walkthrough transcript. Identify deviations with dual citations.
Audio Interview Analysis
Upload audio recording. NotebookLM transcribes and compares against SOP.
Control Deviation Matrix
Structure gaps into a deviation matrix with risk rating and SOP reference.
Follow-Up Question Generator
From gaps identified, generate probing follow-up questions for management.
Phase 4 — Substantive Testing
Exception Finder
Surface anomalies in POS/transaction data. Flag patterns and outliers.
Sample Selection Rationale
Document sample selection criteria and methodology for work papers.
Evidence Summary
Synthesise test results into a structured evidence summary.
Trend Analysis Narrative
Describe numerical trends in plain language for the audit report.
Phase 5 — Issue Identification
Cross-Finding Synthesis
Identify systemic patterns across all findings. Rank by risk impact.
Root Cause Analysis
For each finding, identify root cause, contributing factors, and risk exposure.
Management Response Drafter
Draft management response template for each finding.
Finding Quality Check
Review findings for SMART criteria — specific, measurable, actionable.
Phase 6 — Reporting
Director Slide Deck
Convert Briefing Doc to presentation-ready slide content via LLM.
Audio Briefing
Custom Audio Overview for specific stakeholders (GM, CFO, Board).
Department Summaries
Generate department-specific finding summaries from the master notebook.
Executive Summary Writer
Draft a one-page executive summary using the 4-prompt chain technique.
Phase 7 — Follow-Up & System
Action Tracker Builder
Generate Data Table of all findings. Export to Sheets. Add status columns.
Corrective Action Verifier
Compare management corrective actions against finding recommendations.
Annual Notebook Update
Add completed engagement Briefing Doc to the annual risk universe notebook.
CAE Briefing Package
Compile quarterly audit summary for Chief Audit Executive.