Internal Audit Risk Assessment Checklist

This Internal Audit Risk Assessment Checklist helps you control risks and compliance requirements in each department of an organization.

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Health & Safety
Internal Audit Risk Assessment Checklist

Quality Of The Control Environment

Business Exposure

Public & Political Sensitivity

Compliance Requirements

Degree Of Reliance On Information Technology/Reporting

Management Concerns

Quality Of The Control Environment

Business Exposure

Public & Political Sensitivity

Compliance Requirements

Degree Of Reliance On Information Technology/Reporting

Management Concerns

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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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Internal Audit Risk Assessment Checklist

This Internal Audit Risk Assessment Checklist helps you control risks and compliance requirements in each department of an organization.

1. Have administrative personnel changes occurred within the department?

2. Have major program modifications occurred?

3. Have departmental procedural problems been noted by the departmental chair/director?

4. How long since the last audit?

5. Are monthly reconciliations performed on all departmental revenues and expenditures (compare documents to SAP postings)?

1. How many programs/areas are encompassed within the department?

2. What is the amount of the total departmental budget?

3. What is the amount of total department revenue?

4. How many full-time employees (FTE) for all programs/areas?

1. How sensitive is the department to bad media publicity?

2. How much effect could politics have on meeting departmental goals?

1. Is the department governed by external regulations other than state law?

2. Does the department have external audits?

1. Are computer systems other than SAP operated within the department?

2. Does the department have any external reporting requirements?

3. Have procedures been established to back up data files, including the identification of all critical data files and programs on workstations and servers?

1. Does management have any specific concerns regarding meeting departmental goals, fraud, departmental confidentiality, current operating procedures, etc.?

1. Have administrative personnel changes occurred within the department?

2. Have major program modifications occurred?

3. Have departmental procedural problems been noted by the departmental chair/director?

4. How long since the last audit?

5. Are monthly reconciliations performed on all departmental revenues and expenditures (compare documents to SAP postings)?

1. How many programs/areas are encompassed within the department?

2. What is the amount of the total departmental budget?

3. What is the amount of total department revenue?

4. How many full-time employees (FTE) for all programs/areas?

1. How sensitive is the department to bad media publicity?

2. How much effect could politics have on meeting departmental goals?

1. Is the department governed by external regulations other than state law?

2. Does the department have external audits?

1. Are computer systems other than SAP operated within the department?

2. Does the department have any external reporting requirements?

3. Have procedures been established to back up data files, including the identification of all critical data files and programs on workstations and servers?

1. Does management have any specific concerns regarding meeting departmental goals, fraud, departmental confidentiality, current operating procedures, etc.?