Management Action Follow-Up Checklist

What you'll find inside

• Prepare checks: original finding and root cause, confirmed owner and date, defined closure evidence, interim exposure and proportionate scope
• Validate implementation checks: evidence the action exists, controls operating in practice, training, deployed system changes and changed behavior
• Close or escalate checks: residual risk, recurring exceptions, no closure on partial completion, consistent escalation and retained closure evidence
• Risk prompts on control bypass, one-person control of an outcome and exceptions that have become normal practice
• An “evidence to retain” list for your workpapers, plus a Done / Review / N/A status key, with space for auditor notes and testing exceptions
• A completion page with six closing checks and a final conclusion, owner and follow-up date

Best for

• Internal Auditors
• Senior Internal Auditors
• Audit Managers
• Audit Teams

Resource information

Format:

PDF

Pages:

6

Price:

Free

Registration:

Not required