EDITABLE PLANNING DOCUMENT
Labeling evidence pack for an audit or assessment
Define the population, record two-way reconciliation, and keep a dated exception log that another reviewer can repeat.
Copy or download this plain-text document and replace the blank fields. Examples are fictional; completed records belong in your approved project system.
Structure for identification evidence supporting a control test. This template does not
interpret any framework requirement, assert that a control is satisfied, or replace the
judgement of the assessor or the control owner.
Engagement and control#
- Pack ID / revision / prepared by / date:
- Framework and version named in the engagement:
- Exact control text being tested:
- Control owner:
- Review period covered:
- Assessor or internal reviewer:
Population definition#
- Population description and boundary:
- Source system, report or query used:
- Extraction date and time:
- Record count extracted:
- Written exclusions and the reason for each:
| Exclusion |
Reason |
Approved by |
Date |
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Sample selection#
- Selection method (full population, random with stated method, every nth, assessor-selected):
- Sample size and the basis for it:
- Selected by:
- Reproducibility note (seed, ordering, or assessor list reference):
Observation record#
| Item |
Identifier observed |
Identifier in record |
Present in population |
Criterion checked |
Result |
Observer |
Date |
Evidence reference |
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Two-way reconciliation summary#
| Category |
Count |
Notes |
| Record and object agree |
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| Object present, no record |
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| Record present, no object |
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| Identifier mismatch |
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| Unresolved at close of review |
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Exception log#
| Exception ID |
Item |
Failure type |
Description |
Probable process cause |
Owner |
Action taken |
Approved by |
Date closed or target date |
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Retention and statement#
- Evidence storage location and retention period:
- What this pack demonstrates:
- What this pack does not demonstrate:
- Prepared by / date:
- Control owner acceptance / date:
Prepare labeling evidence for an audit or assessment ↗
