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> small business audit checklist
small business audit checklist
Introduction and General Information
Date of audit
Name of auditor
Name of small business being audited
Address of small business
Business registration number
Contact information of business owner/manager
Financial Documentation
Balance sheets for the past 3 years
Income statements for the past 3 years
Cash flow statements for the past 3 years
General ledger
Bank statements
Sales records
Purchase records
Tax returns for the past 3 years
Payroll records
Inventory records
Fixed assets register
Compliance and Legal Requirements
Business licenses and permits
Employment contracts and agreements
Insurance policies
Safety and health policies
Environmental compliance
Tax compliance
Employee payroll tax compliance
Intellectual property rights
Internal Controls and Processes
Internal control policies and procedures
Segregation of duties
Approval processes
Inventory management processes
Cash handling procedures
Employee time tracking system
IT system controls and security measures
Customer data protection policies
Supplier and vendor management processes
Human Resources
Employee records
Job descriptions
Employee handbook
Training and development records
Performance evaluations
Disciplinary actions and terminations
Employee benefits and compensation
Compliance with employment laws and regulations
Marketing and Sales
Marketing strategies and plans
Advertising and promotional materials
Customer database and CRM system
Sales records and reports
Pricing strategies
Competitive analysis
Customer feedback and satisfaction surveys
Physical Assets and Facilities
Property lease agreements
Maintenance and repair records
Equipment and machinery inventory
Security systems and measures
Fire safety measures
Accessibility compliance
IT Systems and Data Management
Hardware inventory
Software licenses and agreements
Data backup and recovery procedures
Cybersecurity measures
IT infrastructure documentation
Data privacy and protection policies
External Relationships
Supplier contracts and agreements
Customer contracts and agreements
Bank and financial institution relationships
Partnership agreements
Joint venture agreements
Licensing agreements
Franchise agreements
Conclusion and Recommendations
Summary of findings
Identified areas of improvement
Recommended actions
Follow-up plan
Signatures of auditor and business owner/manager
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