Audit Checklist
Audits reveal operational truth – make sure you’re ready for scrutiny. This Audit Checklist turns compliance anxiety into systematic confidence. Whether internal or external, scheduled or surprise, this AI-powered tool creates audit-specific preparation that actually works. Stop dreading audits and start using them as improvement catalysts.
Pre-Audit Planning
□ Define audit scope and objectives
□ Identify audit team members
□ Review previous audit reports
□ Gather relevant documentation
□ Create audit schedule
□ Notify departments being audited
□ Prepare audit tools and templates
□ Review applicable standards/regulations
□ Identify key stakeholders
□ Set audit timeline
□ Allocate resources
□ Conduct risk assessment
Documentation Review
□ Collect policies and procedures
□ Review organizational charts
□ Examine process documentation
□ Check compliance records
□ Review training materials
□ Examine incident reports
□ Check corrective action records
□ Review management reviews
□ Examine performance metrics
□ Check customer complaints
□ Review vendor documentation
□ Examine contracts and agreements
Financial Audit Areas
□ Review financial statements
□ Check general ledger
□ Examine accounts receivable
□ Review accounts payable
□ Check payroll records
□ Review expense reports
□ Examine bank reconciliations
□ Check cash handling procedures
□ Review revenue recognition
□ Examine cost allocations
□ Check budget vs actual
□ Review internal controls
Operational Audit Elements
□ Process efficiency review
□ Resource utilization check
□ Quality control assessment
□ Productivity measurement
□ Workflow analysis
□ Technology utilization
□ Equipment maintenance
□ Inventory management
□ Supply chain review
□ Customer service evaluation
□ Safety procedures check
□ Environmental compliance
Compliance Verification
□ Regulatory compliance check
□ Legal requirement review
□ License verification
□ Permit validation
□ Policy adherence check
□ Standard compliance review
□ Contract compliance
□ Tax compliance verification
□ Labor law compliance
□ Environmental regulations
□ Industry standards check
□ Certification maintenance
IT Systems Audit
□ System security review
□ Access control verification
□ Data backup procedures
□ Disaster recovery plans
□ Change management process
□ Software licensing compliance
□ Network security assessment
□ Database integrity check
□ User access review
□ Password policy compliance
□ Encryption verification
□ Incident response procedures
Human Resources Audit
□ Employee file completeness
□ I-9 verification
□ Benefits administration
□ Payroll accuracy
□ Time and attendance
□ Performance review process
□ Training records
□ Safety training compliance
□ Disciplinary procedures
□ Hiring practices
□ Termination procedures
□ Leave management
Quality Management Audit
□ Quality policy review
□ Quality objectives assessment
□ Process control verification
□ Product/service conformity
□ Customer satisfaction measurement
□ Corrective action effectiveness
□ Preventive action review
□ Continual improvement evidence
□ Management commitment
□ Resource adequacy
□ Measurement and monitoring
□ Supplier quality
Risk Assessment
□ Risk identification
□ Risk evaluation
□ Control effectiveness
□ Mitigation strategies
□ Residual risk assessment
□ Risk monitoring procedures
□ Business continuity planning
□ Insurance coverage review
□ Security risk assessment
□ Fraud risk evaluation
□ Compliance risk review
□ Operational risk assessment
Audit Execution
□ Opening meeting conducted
□ Interviews scheduled
□ Observations documented
□ Evidence collected
□ Testing performed
□ Sampling completed
□ Non-conformities identified
□ Opportunities noted
□ Best practices documented
□ Working papers organized
□ Daily debriefs held
□ Issues escalated appropriately
Post-Audit Activities
□ Findings documented
□ Evidence organized
□ Report drafted
□ Management review conducted
□ Recommendations developed
□ Closing meeting held
□ Report finalized
□ Action plans requested
□ Follow-up scheduled
□ Lessons learned documented
□ Audit file archived
□ Continuous improvement initiated
How the Audit Checklist works
Describe your audit type, scope, and timeline. Input your industry and applicable standards. The AI builds a customized audit checklist with preparation phases, documentation requirements, and common findings prevention. Track progress, assign responsibilities, and generate audit packages. Export reports that demonstrate due diligence.
Audit failures aren’t just embarrassing – they’re expensive. Fines, remediation, and reputation damage multiply costs. This checklist prevents the preventable, turning audit preparation from last-minute panic into systematic excellence. It’s how professionals maintain continuous compliance instead of periodic scrambles.
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