01Excel
Findings register
Blank register, completed example and instructions. Includes due-date calculations and closure checks.
Download Excel ↓Version 1.0 · .xlsx · 3 worksheetsTHE PRACTICE LIBRARY · TOOLKIT 01
A clearer path
from finding
to closure.
Give every audit finding an owner, a traceable evidence pack and a reasoned review decision.
INSIDE THE EXAMPLEAR-026-014
Implemented.
Ready to close?
An independent review tells the fuller story.
60records tested
3evidence gaps
15days overdue
Returned for further work
Fictional NBFC example · As of 30 September 2026The closure date stays blank until the evidence supports the decision.
DOWNLOAD AND ADAPT
Three files. One connected review.
Original templates for internal organisational use.
Start blank or follow the completed example.
02Word
Closure evidence pack
Editable finding, action, evidence, testing and decision sections for your own review.
Download Word ↓Version 1.0 · .docx · Editable document03Word
Completed closure example
The fictional AR-026-014 case, with a reasoned decision to keep the finding open.
Download Word ↓Version 1.0 · .docx · Editable documentLOOK INSIDE
A register that keeps the decision visible.
Original and revised deadlines, ownership, evidence
references and independent review in one place.
ACTUAL WORKBOOK PREVIEWCompleted fictional example
Useful calculations
Calendar days overdue, date warnings and checks for missing closure fields. A populated record still needs a substantive review.
Evidence beyond the spreadsheet
Use the Word pack to explain the cause, retain evidence references, document testing and record the decision.
A PRACTICAL START
Use it in your own review cycle.
- Set the scope.
Choose a reporting date. Give each finding a stable ID, an owner and its original deadline.
- Connect the evidence.
Complete the closure pack and reference controlled files in your institution’s repository.
- Review the result.
Record independent testing, unresolved exceptions and the authorised decision before closing.
Attribution and reuse
AI-assisted drafting and file generation, published by RegQuanta. No named expert review is claimed. You may copy and adapt these original templates for internal organisational use. Standalone resale or redistribution is not permitted. Third-party references retain their own rights.
Examples are fictional. Adapt the workflow to your institution’s applicable requirements and approved audit methodology. Keep customer and confidential audit records in your approved systems.
APPLY THE IDEA
Discuss your audit remediation workflow.
Bring your questions about ownership, evidence and independent review.