Internal Audit Checklist Free Template

Introduction

Internal audit checklist template, which is fully editable and in compliance with the internal audit criteria, is an essential tool in the deposit of any ISMS or management system compliance regime. Provided that you have attended or possibly headed an internal audit, you already understand that it can be a daunting procedure to take, particularly in the absence of a well-defined path to be taken. It is there that an Internal Audit Checklist becomes really valuable. It will introduce structure, accountability, consistency into your audit process no matter what the size or complexity of your organization.

What To Include In Your Checklist Templates ?

In your ISO 27001 internal audit checklist template, there must be areas that can be edited; these areas are as follows:

• Audit Scope & Objectives: Which areas of the system, process or ISO clauses are going to be audited?
  
  
• Reference Clauses & Controls: Edit fields that can be used to match each checklist element to a particular ISO 27001 clause or Annex A controls.
  
  
• Checklist Prompts: Prompts that include questions or actions to be taken such as: Verify that this year your risk assessment has been updated, Verify whether user access reviews has been checked every three months.
  
  
• Evidence Required: Write about what evidence is required logs, reports, policy and interview notes.
  
  
• Compliance Status: The list of the options such as Yes / No / N/A, which can be edited per audit.
  
  
• Findings Capture: Room to note down any observation or nonconformity with the ability to edit, hence auditors can produce an accurate wording.
  
  
• Corrective Action Fields: The fields that could be edited are- owner, due date, status, and follow-up directions.

An excellent template to edit undergoes the entire audit lifecycle such as planning through to reporting, as aligned to the ISO frameworks.

Why A Checklist Template And Edit Is Better

•        Customization Juan a Audit Unit: Quickly add, edit or delete questions or areas to suit various processes or types of audits.

•        Uniformity of Audits: There is uniformity in the way auditors format their audit whereby they have a standard format per audit.

•        Simpler Training and Scaling: In case of new auditors joining, they will be able to adapt their training to the template and use the same structure.

•        Integrated Reporting & Findings Capture: The process of reporting is simplified when details such as its findings and evidence are already embedded.

•        Digital Readiness: It is possible to keep track of the versions and distribute these versions with the use of editable formats (Word, Excel, or shared docs).

A Step-By-Step Guide Of Using Your Editable Checklist

1. Audit Preparedness Foundation

Begin by setting the scope and purposes of this internal auditwhat areas and controls of the ISMS are being audited on this cycle? That is an editable field that allows you to customize it on a per audit cycle basis.

2. Process Clause and Control Mapping

Enumerate the ISO provisions and the Annex A controls. Write prompts that can be edited and say what is to be assessed such as: “Make sure that there is documented evidence of management review meetings over the past 12 months.”

3. Prompts of the Evidence Review

Consider adding something by the lines of: verify risk treatment plan signed off and aligned with risk register, or verify logs within the SIEM in the last three months. It is possible to revise when necessary by auditors.

4. Conduct Fieldwork

The auditors put check marks to indicate compliance, prepare notes and leave follow ups directly on the editable checklist. This makes it faster to take notes and traceable.

5. Capture Findings

This built-in structure to record nonconformites, observations, corrective action plans automatically feeds the findings on the audit report or audit findings tracking template.

6. Finish and Keep

As soon as the audit is completed and approved, the check list containing all the responses you saved, forms part of your records; this fulfils the requirement of ISO 27001 in regards to retention of audit results.

Example Checklist Items (By Department)

A couple of examples will help you with a creation of your own working checklist:

• The Information Security

1. 1. Do you provide users (any users) with privileged access on the basis of the least privilege?
   2. Is periodic review of access in evidence?
   3. Is the use of firewalls set up and reviewed?

• Human Resources

1. 1. Does every new employee have a background verification record?
   2. Are going away interviews and offboarding recorded on IT leavers?

• Finance

1. 1. Does every financial operation in average of over 10K require two signatures?
   2. Are reconciliations done on monthly basis and reviewed?

• Procurement

1. 1. Do contracts with Q vendors not go through renewals or reviews annually?
   2. Does it have a purchase order system with inbuilt approval mechanism?

All of them can be customized to your editable Excel or Word template to incorporate evidence, owner and notes columns.

Final Thoughts

An internal audit checklist, designed on the basis of audit frameworks, with its capacity to be edited, is more than a document; it is the foundation of the audit program. When in line with ISO 19011 and ISO 27001, it enhances the credibility of audits, makes reporting easier, and evens out reviews on all controls being conducted. You can start with a version that includes scope, control mapping, checklist items, evidence guides, and findings and follow-up fields. Apply it to audits and amend it with the development of your ISMS. Soon, it will be easier to prepare for the audit, the results will be more practical and your compliance position will be stronger.