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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.

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Copy or download this plain-text document and replace the blank fields. Examples are fictional; completed records belong in your approved project system.

In this template

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 judgment 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

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

Two-way reconciliation summary#

Category	Count	Notes
Record and object agree
Object present, no record
Record present, no object
Identifier mismatch
Unresolved at close of review

Exception log#

Exception ID	Item	Failure type	Description	Probable process cause	Owner	Action taken	Approved by	Date closed or target date

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:

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