Business Internal Control Evaluation Checklist
Evaluate internal controls for a business area, record checklist results, note findings, and define follow-up actions.
Evaluation Details
Evaluation Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Department / Business Unit
*
Control Area Being Reviewed
*
Evaluator Name or Role
*
Review Period
*
Internal Control Checklist
Internal control topics
*
Rows
Compliant
Partially compliant
Non-compliant
Not applicable
Segregation of duties
1
2
3
4
Approval workflow
5
6
7
8
Access controls
9
10
11
12
Reconciliation
13
14
15
16
Documentation retention
17
18
19
20
Exception handling
21
22
23
24
Monitoring
25
26
27
28
Overall evaluation notes
Itemized comments and actions
Findings and Follow-Up
Overall Control Effectiveness Rating
*
1
2
3
4
5
Summary of Key Findings
*
Corrective Actions Needed
*
Assigned Owner or Responsible Team
Target Completion Date for Follow-Up
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Submit
Should be Empty: