Internal Audit Checklist - duplicate

• Company

• Address
  Address

• Internal Auditor

• Conducted on

  Date

Stage 1: Internal Audit Preparation

• Initiate the audit with a service order, internal control questionnaire, etc.

  Done

  In Progress

  Not Done

  N/A

• Collect and process information

  Done

  In Progress

  Not Done

  N/A

• Perform a risk analysis with a table of strengths and weaknesses

  Done

  In Progress

  Not Done

  N/A

• Develop the internal audit program

  Done

  In Progress

  Not Done

  N/A

• Conduct an opening session

  Done

  In Progress

  Not Done

  N/A

Stage 2: Internal Audit Execution

• Collect evidence at the premises

  Done

  In Progress

  Not Done

  N/A

• Finding and reporting irregularities

  Done

  In Progress

  Not Done

  N/A

• Review working papers

  Done

  In Progress

  Not Done

  N/A

• Conduct a closing session

  Done

  In Progress

  Not Done

  N/A

Stage 3: Internal Audit Reporting

• Create the draft internal audit report

  Done

  In Progress

  Not Done

  N/A

• Transmit the draft audit report

  Done

  In Progress

  Not Done

  N/A

• Conduct a reconciliation meeting

  Done

  In Progress

  Not Done

  N/A

• Create the final report

  Done

  In Progress

  Not Done

  N/A

• Prepare a list of documents

  Done

  In Progress

  Not Done

  N/A

• Disseminate the internal audit report

  Done

  In Progress

  Not Done

  N/A

Stage 4: Internal Audit Monitoring

• Implement procedures and operations to ensure compliance with rules, regulations and laws

  Done

  In Progress

  Not Done

  N/A

• Assess the depth of management and internal control in order to remove any shortcomings of the public entity

  Done

  In Progress

  Not Done

  N/A

• Examine the impact of the set objectives and desired quality of the public in terms of the criteria of economy, efficiency and economy

  Done

  In Progress

  Not Done

  N/A

Completion

• Recommendations

• Internal Auditor Name & Signature

  Sign