Audit Issue Identification Checklist ( AUDIT )

This checklist is designed to assist auditors in identifying and documenting issues during an audit process. It helps ensure that all potential issues are systematically noted for further analysis and resolution.

• Review Audit Criteria

  Ensure that all relevant audit criteria and standards are reviewed to identify potential areas of concern.

• Conduct Preliminary Assessments

  Perform initial assessments on processes and controls to uncover any obvious discrepancies or issues.

• Gather Stakeholder Input

  Engage with stakeholders to gather insights or concerns they may have regarding current processes.

• Analyze Data and Records

  Review data and documentation thoroughly to pinpoint any irregularities or variances from expected results.

• Identify Non-Conformance

  Document any instances of non-conformance with policies, regulations, or standards discovered during the audit.

• Categorize Issues

  Classify identified issues into categories (e.g., major, minor, critical) for better prioritization and resolution.

• Prepare Issue Summary Report

  Compile a summary report highlighting all identified issues along with their potential impacts.

• Review with Audit Team

  Discuss the findings with the audit team to ensure all issues are captured and understood before proceeding.