SOC 1 Review Checklist Form
Document review scope, financial reporting controls, evidence, findings, and follow-up.
Reviewer Name
*
First Name
Last Name
Review Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Entity or Business Unit Under Review
*
Review Period and Scope
*
Control Areas Reviewed
*
Financial close and reporting
Revenue and receivables
Purchases and payables
Payroll and personnel processes
IT general controls supporting financial reporting
Other relevant control area
Control Review Checklist
*
Control design is documented and relevant to financial reporting
Control owner and responsibilities are identified
Control operation was reviewed for the period in scope
Evidence was obtained and reviewed
Exceptions or deviations were assessed
Follow-up needs were identified
Evidence Reviewed and References
*
Findings, Exceptions, or Observations
Follow-Up Actions and Owner
Target Follow-Up Date
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Submit Review
Should be Empty: