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> audit template
audit template
1. Planning and Preparation
Define the scope of the audit
Determine the audit objectives
Identify the audit team members
Develop a timeline for the audit process
Gather relevant documentation and resources
2. Preliminary Assessment
Review previous audit findings
Conduct a risk assessment
Identify key processes and controls
Evaluate the adequacy of internal controls
Prepare an initial audit plan
3. Fieldwork
Conduct interviews with relevant personnel
Collect and analyze data
Observe operations and processes
Test controls and transactions
Document findings and evidence
4. Analysis and Evaluation
Summarize audit findings
Evaluate compliance with policies and regulations
Assess the effectiveness of controls
Identify areas for improvement
Prepare draft audit report
5. Reporting
Review draft report with audit team
Incorporate feedback and finalize the report
Present findings to management
Discuss recommendations for improvements
Obtain management's response
6. Follow-up
Develop an action plan for recommendations
Schedule follow-up audits as necessary
Monitor the implementation of corrective actions
Assess the effectiveness of changes made
Document lessons learned for future audits
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