Internal Audit Checklist
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Table of Contents
Introduction
Our Internal Audit Checklist is designed to guide you through a thorough evaluation of your organization's policies, procedures, and regulatory requirements. By leveraging our Checklist App, you can easily customize tasks, ensure accountability, and enhance compliance across your team. This template not only helps you track critical elements but also facilitates communication and training efforts within your organization. Get started by clicking Save to personalize the checklist to fit your needs, enabling seamless collaboration and keeping everyone aligned on objectives.
What's included
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- Policy
- Verify required policy elements.
- Verify management commitment.
- Verify policy implementation by tracing links back to policy statement.
- Check policy review/revisions.
- Determine how the policy is communicated.
- Check if suppliers were notified of policy.
- Aspects
- Verify organization has approved procedure to identify aspects.
- Verify process for identification, ranking of significant aspects.
- Verify how significant aspects are managed.
- Verify if appropriate document links are in place.
- Verify if training needs have been met.
- Verify objectives and targets.
- Determine how aspects are communicated.
- Interview employees for awareness.
- Regulatory Requirements
- Verify if requirements are in place.
- Verify if training has been conducted.
- Determine if requirements were communicated to employees.
- Verify accessibility and availablility of the requirements.
- Objectives and Targets
- Verify if objectives and targets are consistent with significant aspects and policy.
- Verify individual roles and responsibilities on objectives and targets are defined.
- Are objectives specific and measurable?
- Are timeframes set and met?
- Process for review and revision.
- Process for changing target dates.
- Identify how progress is tracked and communicated to management.
- Training, Awareness and Competence
- Verify a training, awareness and competency procedure has been developed.
- Determine if training needs have been identified.
- Review supporting documentation.
- Verify process to review training records to assure required training has been scheduled.
- Verify employees have received appropriate emergency response training
- Verify that employees have received policy and procedures training.
- Interview employees to assure proper understanding.
- Communication
- Verify by sampling the process of how information is communicated between various levels and functions.
- Verify the process for receiving, documenting and responding to external communications.
- Determine by interviews the raising of employee awareness of policies, objectives and targets and improvement programs.
- Determine how the department communicates results of audits and management review to employees.
- Have department provide evidence of external communication to the public.
- Review examples of how the organization determines to communicate its significant aspects.
- Documentation
- Verify Manual (optional).
- Verify Procedures.
- Verify organization charts.
- Verify the organization has clear documented references to related procedures, work instructions, legal requirements, etc.
- Verify manual has been reviewed, understood and communicated to employees.
- Emergency Response and Preparedness
- Verify organization has appropriate emergency response plans in place.
- Verify that the plans have a review schedule.
- Verify that employees have received appropriate emergency response training.
- Verify that the organization has an emergency drill schedule and has documented evidence of drills conducted.
- Review the organization?s external communication plans for emergency situations.
- Monitor and Measurement
- Verify measurement procedure.
- Verify technical calibrations procedures.
- Verify regulatory compliance assessments.
- Verify that the organization submits an operating report.
- Verify key monitoring equipment has been identified and is calibrated and maintained.
- Verify a system identifying the frequency, means and methods of calibration are in place.
- Identify how performance indicators are chosen, reviewed and revised.
- Ensure that performance indicators are objective, verifiable, reproducible and consistent with the policy.
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Presented by:
John F. Smith
Stats
Views
374
Views: 374
Uses
39
Uses: 39
Tasks
65
Tasks: 65
Who it's for
This Internal Audit Checklist is for teams that want consistent execution, less rework, and clear ownership.
- Standardize quality - run the same Internal Audit steps every time, regardless of who executes
- Save time - reuse a proven Internal Audit workflow instead of rebuilding processes from scratch
- Improve accountability - assign owners and see what's done vs. what's pending
- Onboard faster - use the Internal Audit checklist as the SOP and training guide
- Coordinate across roles - handoffs are clear and everyone works from the same source of truth
How to use it
How to use this Internal Audit Checklist:
- Start by saving it - save as a Template if you'll reuse it, or as a Checklist if it's a one-off project.
- Customize it once for your workflow - remove what doesn't apply and add your team-specific steps.
- Assign ownership and execute - set owners/due dates where needed and track completion as work happens.
- Reuse without rebuilding - when Internal Audit comes up again, start from your saved version and run it with clear ownership.
Rate this Checklist
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Scores 4.80 with 860 votes