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Template Workpaper - Findings and Actions Workshop


About this template

It is important, that at the end of each review, a close out meeting is held with the business area and stakeholders to debrief them on the outcomes of the review. A ‘close out’ meeting makes it sound like the end of the review; there are no more opportunities to discuss this. To ensure a more collaborative approach to audit which does not get the business area or key stakeholders offside, we frame it as a Findings and Actions Workshop. We reframe the close out meeting to be a workshop, whereby we revalidate our observations, then work together to craft recommendations which are fit for purpose, achievable, and address the underlying risk / issue.


Why use this template

This template provides a quick and easy way to layout:

  • Where we are in the review;
  • What we found through the review;
  • What are some possible recommendations; and
  • What are the next steps.


This template provides a transparent view to the stakeholders, showing them each stage of the review and its outcomes, however it also encourages discussion and collaboration between both audit and the business area.


When to use this template

This template should be provided to the business area or key stakeholders prior to the Findings and Actions workshop. By doing this, it will prepare the attendees, allowing everyone to have a more meaningful and in-depth discussion.


This workpaper should leverage off the work from the Potential Issues List document which should have been compiled by the audit team throughout the review.


Things to be careful about

Everyone deals with feedback in various ways, and therefore, we should be careful in how we deliver our feedback to the various stakeholders. Whilst we need to call out where there are issues and what the risks and implications are, we need to make sure it is done so in a way that has management buy in and encourages a good working relationship between Internal Audit and the business. Failure to deliver this messaging in an appropriate way could see recommendations poorly implemented or business area’s disregarding the work of audit.

D4 - Findings and Actions Workshop

  • The information contained in this template is of a general nature and is for information purposes only.


    My Audit Spot assumes no responsibility for errors or omissions in the contents of the template and any assocaited information.


    In no event shall My Audit Spot be liable for any special, direct, indirect, consequential, or incidental damages or any damages whatsoever, arising out of or in connection with the use of the template or the contents of the template and any assocaited information. My Audit Spot reserves the right to make additions, deletions, or modifications to the contents on the template and any associated information at any time without prior notice. 


    All disclaimers can be viewed here: https://www.myauditspot.com//legal-stuff.


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