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Checklists & Questionnaires

Verify that audit steps are being accurately performed and that they actively support the audit process by downloading and utilizing KnowledgeLeader's sample audit checklists and questionnaires. These templates provide structure and continuity for a variety of audits and business processes.

The following 207 tools are listed based on publish date.
Checklists & Questionnaires

Monthly Financial Close Process Checklist

This tool contains two sample checklists that can be used to determine the extent to which various best business practices are being followed during the month-end close.
Subscriber Content
Mon, Nov 15, 2021
Checklists & Questionnaires

Site Planning and Review Checklist

This sample checklist serves as a working document that can be used by auditors to determine whether all site visit tasks are completed.
Subscriber Content
Mon, Nov 8, 2021
Checklists & Questionnaires

Capital Expenditure and Fixed Asset Process Questionnaire

This tool contains questions that can be used by auditors to evaluate an organization’s capital expenditures and fixed asset process.
Subscriber Content
Mon, Sep 27, 2021
Checklists & Questionnaires

Complaint Reporting Process Questionnaire

This questionnaire focuses on issues that audit committees and management should consider as they collaborate to comply with the SECs rules pursuant to Section 301 of the Sarbanes-Oxley...
Subscriber Content
Mon, Sep 6, 2021
Checklists & Questionnaires

Sarbanes-Oxley Compliance and Reporting Strategy Questionnai…

This tool outlines questions to consider when preparing an organization’s Sarbanes-Oxley (SOX) compliance and reporting strategies.
Subscriber Content
Mon, Aug 30, 2021
Checklists & Questionnaires

Sarbanes-Oxley Policy Evaluation Checklist

This tool provides points to consider when conducting an organization’s Sarbanes-Oxley (SOX) policy evaluation.
Subscriber Content
Mon, Aug 2, 2021
Checklists & Questionnaires

Tax Compliance Process Internal Control Questionnaire

This sample questionnaire can be used to assess the internal controls related to a company’s tax compliance process.
Subscriber Content
Mon, Jul 26, 2021
Checklists & Questionnaires

​Sarbanes-Oxley Testing Documentation Questionnaire

This tool includes questions to consider when documenting Sarbanes-Oxley (SOX) testing procedures, results and recommendations.
Subscriber Content
Mon, Jul 19, 2021
Checklists & Questionnaires

Root Cause Analysis Questionnaire

This questionnaire can be used by organizations as a starting point for sourcing the root causes of problems or risks.
Subscriber Content
Mon, Jul 5, 2021
Checklists & Questionnaires

Evaluation of Control Deficiencies Questionnaire

This sample questionnaire can be used by auditors to efficiently assess and classify an organization’s control deficiencies.
Subscriber Content
Mon, Dec 14, 2020
Checklists & Questionnaires

Common Risk Language Questionnaire

This sample questionnaire contains best practices and questions to consider for communicating and prioritizing risk across an organization.
Subscriber Content
Mon, Dec 14, 2020
Checklists & Questionnaires

​Internal Control Structure Validation Questionnaire

This tool features questions to consider for verifying an organization’s internal controls over financial reporting (ICFR) during management’s assessment.
Subscriber Content
Mon, Dec 7, 2020