Compliance Audit Checklist Template

Scope, gather evidence, conduct audit, document findings, and remediate.

This free quality & compliance checklist template includes 6 tasks organized into 2 sections. Use it to streamline your compliance audit process.

Preparation

  1. Define audit scope

    Define the scope of the compliance audit, including which regulations, policies, or standards will be evaluated and the time period under review.

    • Audit Name (required)
    • Compliance Frameworks (required) — Options: SOC 2, ISO 27001, GDPR, HIPAA, PCI DSS, Internal Policy, Other

  2. Gather evidence and documentation

    Collect all relevant policies, procedures, logs, and records that demonstrate compliance. Organize evidence by control area.

    • Documents Collected (required)
    • Evidence Summary (required)

Execution

  1. Conduct audit interviews

    Interview key personnel to verify that documented processes are being followed in practice and to identify any gaps or concerns.

    • People Interviewed (required)
    • Interview Notes (required)

  2. Document findings

    Compile all audit findings, categorizing them by severity and the specific control or requirement they relate to.

    • Audit Findings (required)
    • Overall Compliance Status (required) — Options: Fully Compliant, Substantially Compliant, Partially Compliant, Non-Compliant

  3. Create remediation plan

    Develop a remediation plan for all findings, with specific actions, owners, and timelines to achieve full compliance.

    • Remediation Plan (required)
    • Priority Level (required) — Options: Critical - Immediate Action, High - Within 30 Days, Medium - Within 90 Days, Low - Next Review Cycle

  4. Schedule follow-up

    Schedule a follow-up review to verify that remediation actions have been completed and compliance gaps are closed.

    • Follow-Up Audit Date (required)
    • Audit Lead (required)