Internal audit resources

Checklists, templates, policies and sample documents built from 20+ years of audit practice, in Word, Excel and PowerPoint, so you can edit them and reuse them in your own audits. Yours for life, with up to 5 downloads.

Browse by topic: Accounting · Administration · Capital Projects · Compliance · Customer Service · Governance · Human Resources · Information Technology · Internal Audit · Legal · Planning and Budgeting · Procurement · Production · Research and Development · Risk Management · Sales and Marketing · Supply Chain · Tax · Treasury

Checklists

Period-End Close Control Tracker (Excel) (editable Excel, ₹49 / $0.49): 51 month-end close tasks across 16 balance-sheet areas, with owners, timing, evidence and a dashboard that updates itself.

Job Descriptions

Internal Audit Lead: Job Description and Role Profile (editable Word, ₹49 / $0.49): A ready-to-use job description: accountabilities with time split, success measures after 12 months, capabilities and background.

Policies

Employee Spend Policy: Corporate Cards, Reimbursements and Cash Floats (editable Word, ₹49 / $0.49): A complete policy and procedure for how employees pay for approved business costs, with roles, deadlines and exceptions.

Process Flows

Overdue Receivables Escalation: Process Flow and Controls (editable PowerPoint, ₹99 / $0.99): A swimlane process map for collecting overdue customer balances, with a tiered follow-up ladder, write-off approval and control points.

Risk Control Matrix

Accounting and Finance Operations: Risk and Control Matrix (Excel) (editable Excel, ₹249 / $2.49): 58 controls (46 key) for 16 objectives and 32 risks, each with walkthrough questions, evidence to ask for and test steps.
Administrative Expenses and Office Services: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 75 controls (50 key) for 13 objectives and 20 risks, each with walkthrough questions, evidence to ask for and test steps.
Capital Projects and Capital Expenditure: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 68 controls (46 key) for 12 objectives and 19 risks, each with walkthrough questions, evidence to ask for and test steps.
Cash and Treasury: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 39 controls (26 key) for 13 objectives and 19 risks, each with walkthrough questions, evidence to ask for and test steps.
Contract Labour Management: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 23 controls (18 key) for 7 objectives and 11 risks, each with walkthrough questions, evidence to ask for and test steps.
Customer Service, Installation and Warranty: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 29 controls (16 key) for 10 objectives and 15 risks, each with walkthrough questions, evidence to ask for and test steps.
Depot and Distribution Warehouse Operations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 105 controls (59 key) for 17 objectives and 33 risks, each with walkthrough questions, evidence to ask for and test steps.
Distribution Planning and Freight Management: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 43 controls (30 key) for 9 objectives and 12 risks, each with walkthrough questions, evidence to ask for and test steps.
Employee Benefits and Retiree Administration: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 22 controls (14 key) for 9 objectives and 13 risks, each with walkthrough questions, evidence to ask for and test steps.
Enterprise Management and External Relations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 26 controls (15 key) for 11 objectives and 16 risks, each with walkthrough questions, evidence to ask for and test steps.
Enterprise Risk Management (ERM) Process: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 23 controls (19 key) for 7 objectives and 7 risks, each with walkthrough questions, evidence to ask for and test steps.
Export and Import (EXIM) Compliance: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 25 controls (19 key) for 10 objectives and 15 risks, each with walkthrough questions, evidence to ask for and test steps.
Financial Accounting, Reporting and Treasury: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 153 controls (125 key) for 23 objectives and 38 risks, each with walkthrough questions, evidence to ask for and test steps.
Fixed Assets, Analysis and Reconciliation: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 23 controls (16 key) for 8 objectives and 12 risks, each with walkthrough questions, evidence to ask for and test steps.
Human Resource Management: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 27 controls (16 key) for 9 objectives and 16 risks, each with walkthrough questions, evidence to ask for and test steps.
Human Resource Operations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 68 controls (45 key) for 15 objectives and 29 risks, each with walkthrough questions, evidence to ask for and test steps.
Inbound Logistics (Receiving and Stores): Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 27 controls (17 key) for 13 objectives and 16 risks, each with walkthrough questions, evidence to ask for and test steps.
Insurable Risk and Legal Affairs: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 21 controls (14 key) for 8 objectives and 14 risks, each with walkthrough questions, evidence to ask for and test steps.
Inventory Management: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 43 controls (36 key) for 13 objectives and 24 risks, each with walkthrough questions, evidence to ask for and test steps.
Managing Information Technology: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 32 controls (21 key) for 10 objectives and 16 risks, each with walkthrough questions, evidence to ask for and test steps.
Manufacturing Operations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 26 controls (15 key) for 7 objectives and 17 risks, each with walkthrough questions, evidence to ask for and test steps.
Manufacturing Plant Operations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 137 controls (80 key) for 17 objectives and 32 risks, each with walkthrough questions, evidence to ask for and test steps.
Marketing and Sales: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 22 controls (15 key) for 10 objectives and 13 risks, each with walkthrough questions, evidence to ask for and test steps.
Outbound Logistics (Orders to Dispatch): Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 24 controls (13 key) for 10 objectives and 17 risks, each with walkthrough questions, evidence to ask for and test steps.
Payables and Receivables: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 27 controls (21 key) for 11 objectives and 16 risks, each with walkthrough questions, evidence to ask for and test steps.
Payroll Processing: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 35 controls (20 key) for 9 objectives and 14 risks, each with walkthrough questions, evidence to ask for and test steps.
Planning, Budgeting and Administrative Services: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 17 controls (7 key) for 8 objectives and 11 risks, each with walkthrough questions, evidence to ask for and test steps.
Plant Maintenance: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 22 controls (17 key) for 9 objectives and 13 risks, each with walkthrough questions, evidence to ask for and test steps.
Procurement: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 19 controls (11 key) for 10 objectives and 12 risks, each with walkthrough questions, evidence to ask for and test steps.
Product Costing and Inventory Valuation: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 16 controls (11 key) for 6 objectives and 10 risks, each with walkthrough questions, evidence to ask for and test steps.
Regional Office Administration and Accounts: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 58 controls (41 key) for 13 objectives and 14 risks, each with walkthrough questions, evidence to ask for and test steps.
Research and Development Laboratory Operations: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 60 controls (44 key) for 14 objectives and 18 risks, each with walkthrough questions, evidence to ask for and test steps.
Sales (Inquiry to Cash): Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 53 controls (38 key) for 13 objectives and 28 risks, each with walkthrough questions, evidence to ask for and test steps.
Tax Compliance and Financial Reporting: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 22 controls (14 key) for 9 objectives and 15 risks, each with walkthrough questions, evidence to ask for and test steps.
Technology and Product Development: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 15 controls (10 key) for 8 objectives and 12 risks, each with walkthrough questions, evidence to ask for and test steps.
Trade Schemes and Dealer Promotions: Risk and Control Matrix (Excel) (editable Excel, ₹149 / $1.49): 27 controls (21 key) for 9 objectives and 11 risks, each with walkthrough questions, evidence to ask for and test steps.

Sample Audit Reports

Sample Audit Report: Treasury Operations Review (editable PowerPoint, ₹49 / $0.49): A complete audit report on treasury: 11 rated findings, an executive summary, a control assessment and rating scales you can reuse.

Short internal audit videos · Free articles and guides · YouTube

Learn Internal Audit is run by SKYBOT Technology LLP. The founders, Amit Salla and Zehra Maccawala, are partners at ZMAS and Associates, a Chartered Accountancy firm specialising in internal audit.