Engagement
Policy Exception Review Engagement
A structured review of open and closed policy exceptions for internal audit teams who need a clear record of who approved what, under which conditions, and whether remediation stuck.
Who it is for
Internal audit leads and control owners at mid-size and larger organisations in Taiwan who maintain a formal exception register.
What you leave with
A documented exception register with risk ratings, evidence gaps marked, and a remediation tracker your audit committee can read without further translation.
Scope
We examine exception requests, approvals, compensating controls, expiry dates, and closure evidence for a defined policy set (usually finance, procurement, and IT access policies).
Included
- Kick-off scoping call and policy inventory
- Sampling or full-population review of the exception register
- Finding write-ups with severity and owner assignment
- Remediation tracker template aligned to your reporting calendar
- Closing briefing with internal audit and selected control owners
Not included
- External financial statement audit opinion
- Legal advice on regulatory interpretation
- Ongoing second-line monitoring after the engagement closes
Provider
Senior internal-audit practitioners from Digi Auto Hub, typically one engagement lead and one reviewer.
Duration
Three to six weeks depending on register volume and evidence readiness.
Location
On-site in Changhua County and greater Taiwan, or remote document review with scheduled video briefings.
Preparation
Export your current exception register, recent approval emails, and the policy versions in force during the period under review.
Constraints
We need read access to the register and related evidence within five business days of kick-off; delayed evidence extends the timeline.
Fees
Fixed engagement fee based on population size and policy count. Starting from NT$95,000.
Process
- Confirm policy set, register format, and sample size
- Collect exception files and approval trails
- Test compensating controls and closure evidence
- Draft findings and agree owner responses
- Deliver register pack and closing briefing