Audit Observation Documentation Checklist ( AUDIT )

This checklist is designed to ensure that all observations made during the audit process are thoroughly documented. It helps in maintaining clarity and accountability for each observation, serving as a reference for future audits and follow-ups.

• Identify Observation

  Clearly outline the observation made during the audit, including specifics of the situation or process observed.

• Document Details

  Record detailed information about the observation, such as date, time, location, and individuals involved.

• Assess Impact

  Evaluate the potential impact of the observation on the audit objectives and overall compliance.

• Categorize Observation

  Classify the observation into relevant categories, such as minor, major, or critical, to prioritize follow-up actions.

• Assign Responsibility

  Designate a responsible party for addressing the observation and include their contact information for follow-up.

• Set Follow-Up Timeline

  Establish a timeline for when the observation should be reviewed and addressed, ensuring accountability.

• Review with Audit Team

  Present the documented observations to the audit team for review and consensus on the findings.

• Finalize Documentation

  Ensure all observations are properly finalized and stored in the audit documentation for future reference.