FREE 9+ Internal Audit Checklist Samples [ Financial, Company, HR Department ]

9+ Internal Audit checklist Samples

Internal audit’s role is to provide independent assurance that a business’s risk management, governance, and internal control mechanisms are in good working order. It assists a company in achieving its goals by implementing a systematic, disciplined approach. Internal auditing programs are essential for ensuring that all of your company’s assets are adequately secured and protected from dangers. It’s also crucial for ensuring that your business operations are consistent with your policies and procedures. In this article, we provide you with free samples of Internal Audit Checklists for you to get assurance that your organization’s existing policies and procedures are effective and that these processes are adequate in managing such potential risks. Keep on reading to find out more!

1. Internal Audit Checklist Sample

2. Printable Internal Audit Checklist

3. EMS Internal Audit Checklist

4. Production Site Area Internal Audit Checklist

5. Standard Internal Audit Checklist

6. Internal Audit Checklist Format

7. Internal Audit Summary Checklist

8. Internal Laboratory Audit Checklist

9. Financial Internal Audit Checklist

10. Annual Internal Audit Checklist

What Is an Internal Audit Checklist?

An internal audit checklist guides assurance audits through a five-step procedure that involves selection, planning, fieldwork, reporting, and corrective action plan implementation. An internal audit checklist is a useful tool for evaluating a company’s policies and processes to the standards’ requirements. The internal audit checklist includes everything you’ll need to conduct an accurate and effective internal audit. The audit checklist is only one of the numerous tools in the auditor’s arsenal that may help you make sure your audits meet all of the standards. It serves as a reference point before, during, and after the audit process, as well as a store for audit notes.

How to Make an Internal Audit Checklist

Internal audits can be scheduled as frequently as your organization feels is necessary for process improvement. At most, some companies plan audits once a year, once a quarter, or even once a month. Aside from the free templates of Internal Audit Checklists provided above, you can also make one of your own from scratch. Here are the basic components that should be included in the checklist:

1. Verify quality control.

The first topic listed in the checklist is quality management. This is to assess how processes are operating as well as to ensure that the company plan’s objectives are clear.

2. Examine your workplace for occupational health and safety.

This section will primarily focus on reviewing the management system, as well as the health and safety policies and procedures. The questions in this area of the audit checklist concern the procedures for recognizing dangers and implementing control measures for concerns.

3. Check if the existing education and training are adequate.

Some of the questions addressed during this audit phase of the checklist are aimed at ensuring that records are kept and that the methods used to verify training are appropriate. Certification history and qualifications records are on the top of the list of things to check for. Job-skills training manuals and assessments will also be examined.

4. Inspecting quality planning.

Quality planning includes reviewing manufacturing samples as well as ensuring that test plans are followed correctly. Auditors also ensure that certain data, such as statistics on product reliability, is available upon request during this stage.

FAQ

With all these in mind, internal auditors, together with executive management, non-executive management, and external auditors, are an important aspect of every organization’s top-level governance. Download our free, customizable, and printable Internal Audit Checklist samples to help you with that!