Financial Audit Diagnostic Evaluation Form
Use this form to evaluate audit readiness, identify control gaps, and summarize evidence availability for a financial audit diagnostic review.
Audit Scope and Entity Information
Organization / Entity Name
*
Audit Type
*
Internal Audit
External Audit
Tax Audit
Compliance Audit
Special Review
Other
Reporting Period / Audit Timeframe
Financial Controls Diagnostic
Overall accounting and recordkeeping readiness
*
1
2
3
4
5
Core control assessment
*
Rows
Strongly Disagree
Disagree
Neutral
Agree
Strongly Agree
Transaction approval controls are consistently followed
1
2
3
4
5
Reconciliations are completed on time and reviewed
6
7
8
9
10
Supporting documentation is complete and accessible
11
12
13
14
15
Segregation of duties is adequate for key processes
16
17
18
19
20
Exceptions are identified, tracked, and resolved promptly
21
22
23
24
25
Any major control gaps known?
*
Yes
No
Most significant issue or concern
Evidence and Follow-Up
Evidence Availability Status
*
Fully available
Partially available
Limited
Not yet organized
Main Documents or Records Available for Review
Desired Follow-Up Action
*
Please Select
Schedule a review meeting
Request a checklist
Provide an audit preparation summary
Submit
Should be Empty: