Useful files for the work ahead.

Working-paper review checklist

Check references, testing results, exceptions and review notes before a working paper is signed off.

For CPA and assurance preparers and reviewers

ITGC evidence request tracker

Coordinate access, change and recovery requests with owners, dates, references and follow-up status.

For IT audit, financial audit and SOC teams

SOC engagement preparation tracker

Organize the engagement type, reporting period, control owners and record requests for SOC fieldwork.

For SOC and assurance practices

Prepare for a controls review.

Technical AI Controls

Follow an agent-assisted change through approval, testing, release and operating records.

For Engineering, risk and internal audit teams

AI Agent Risk & Controls

Check an agent's permissions, allowed actions, oversight and recovery arrangements.

For Agent owners and technical reviewers

AI Audit Evidence Request

Prepare a request list for a governance or controls review, with blank tracking fields for actual results.

For Teams preparing for a controls review

Download XLSX Download PDF

AI System Inventory

Record systems, owners, providers, sensitive data and review decisions in one editable register.

For Governance, security and system owners

Gap Assessment vs. Internal Audit Guide

Compare a gap assessment with an internal audit before deciding which review you need.

For Business leaders and compliance teams

Review a report before you rely on it.

Use these aids to organize questions and preserve records. Keep confidential information out of public tools and have a qualified person verify the conclusions.

Compliance report review checklist

Preserve the report, identify what it covers and check the records behind the claims you intend to rely on.

For Report recipients and audit teams

SOC report review prompt pack

Use structured questions to read a SOC report, identify exclusions and prepare follow-up for a professional reviewer.

For SOC firms and vendor-risk teams

Compliance review prompt pack

Organize questions about a compliance report or vendor's work. Verify every conclusion against the underlying records.

For Compliance leads and assurance teams