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> Audit
Audit
Planning and Preparation
Define the scope and objectives of the audit.
Identify the relevant regulations and standards.
Assemble the audit team and assign roles.
Develop an audit timeline and schedule.
Gather necessary documentation and data for review.
Fieldwork
Conduct preliminary interviews with key personnel.
Perform risk assessments and identify key areas of focus.
Collect and analyze evidence through observations, tests, and inquiries.
Document findings and maintain clear records of evidence.
Communicate any immediate issues to management as they arise.
Reporting
Draft the audit report outlining findings and recommendations.
Review the report with the audit team for accuracy and completeness.
Present the findings to management and relevant stakeholders.
Discuss management's responses and action plans to address findings.
Finalize and distribute the audit report.
Follow-Up
Schedule follow-up meetings to assess the implementation of recommendations.
Monitor progress on action plans and ensure accountability.
Reassess identified risks and controls periodically.
Document any changes made as a result of the audit.
Prepare for future audits by refining processes and methodologies based on feedback.
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