RACI matrix template for a compliance audit
An audit cycle from scope to remediation sign-off, with the executive sponsor accountable for accepting residual risk. Five roles, six rows.
| Task or deliverable | Compliance lead | Process owner | Internal auditor | Legal | Executive sponsor |
|---|---|---|---|---|---|
| Define the audit scope | AR | C | C | C | I |
| Collect the evidence | A | R | C | I | I |
| Test the controls | A | C | R | I | I |
| Review the findings | A | C | R | C | I |
| Agree the remediation plan | R | C | I | C | A |
| Report to the board | R | I | C | C | A |
LegendRResponsibleAAccountableCConsultedIInformed
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How to adapt it
- Who uses it: compliance and internal audit functions, and the process owners being audited, who usually see the matrix only after it is written.
- The decision it forces: independence. The internal auditor must not be accountable for fixing what they found, and this template keeps those rows apart.
- What to change first: if an external auditor or a regulator is involved, add them as Consulted. They are never Responsible, and marking them so is a common error.
Other RACI Matrix Builder templates
- Software releaseSix rows covering a release from scope to announcement, across five roles. The accountable owner changes three times along the way, which is the whole reason for filling one in.
- Marketing campaignA campaign from brief to reporting, with legal review treated as a role rather than an afterthought. Five roles, six rows.
- Hiring processOne requisition from approval to offer, across the hiring manager, the recruiter, the panel, HR and finance. Headcount approval sits with finance, which is where it usually sits in practice.
- Construction projectDesign through handover, with the client holding approval on the drawings and on the final sign-off. Five roles, six rows, close to how a small works package actually runs.
- Event planningAn event from venue booking to budget reconciliation, across five roles. Finance owns the last row, which is the row most plans forget.
Related reading
- How to build a RACI matrixA working method for building a responsibility assignment matrix: what each letter actually means, how to size the rows, the two rules that make it useful, and the four ways it usually fails.
- RACI, DACI or RAPID: which one your team actually needsThree responsibility frameworks, three different problems. What each one was designed to fix, where each one fails, and a short test for choosing between them.