A good audit checklist helps you ask the right questions to the right people, engage in a constructive dialogue, and ensure that you return with the necessary answers.
Preparation for the audit
Once you have reviewed documents, system descriptions, and minutes, you can prepare a checklist.
Just like a shopping list can save you time and effort at the supermarket, a structured checklist makes it easier to follow a process and maintain an overview.
The function of the checklist
- Ensure that you speak to the right people in a logical order.
- Formulate precise and specific questions to take better notes.
- Use the checklist as an answer key to compare the responses with requirements and assess whether they are met.
How to structure your checklist
Your checklist can be structured with the following columns:
- Requirement
- Question
- Expected answer
- Compliance (Yes/No/Improvement)
- Auditor's notes
The more precise your checklist is, the better your notes and reporting will be.
Download template for audit checklist
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Reach out to Jens Ewers for more information.