Why this control matters
Run a Closing File Audit Sample is a written control for run a closing file audit sample. It shows what was checked, who owned the next step, and what remained open.
The control matters because the sample only reviews files that closed without exceptions. A clean closing status is not evidence; the source and the handoff have to agree.
Open the governing record
Start with the audit sample and correction log. Record the source, the version or date observed, the owner, and the field the evidence supports.
The assistant prepares and checks the record. The closing manager keeps the decision when it changes a disbursement, a closing date, a fee, a disclosure, or a borrower commitment.
Where the handoff breaks
The predictable failure is this: the sample only reviews files that closed without exceptions. Use one status set: ready, exception, approved, and closed.
A status without an owner and a date is only a label.
A worked example
A weekly sample checks ten files. The log records missing fields, the reviewer, and the repeat pattern. The record shows the original state, the change, the reviewer, and the confirmation.
A second person should be able to repeat the check without a private conversation.
Prepare before approval
Collect the record, compare it with the closing instruction, and route the exception before the file moves.
Unknown values stay unknown. Send one precise question rather than filling a field from memory.
Close and review
Close run a closing file audit sample only when the source, approval, action, and destination evidence agree.
Sample one ordinary file, one exception, and one correction each week. Fix the rule before coaching the same operator again.
Questions
What record controls run a closing file audit sample?
Start with the audit sample and correction log; it should name the source, owner, date, and evidence required before the item can move.
Who approves the decision?
The closing manager or supervising attorney approves changes to money, disclosures, access, or a closing commitment.
What triggers an exception?
A missing source, conflicting record, stale approval, identity mismatch, or system failure stops the item for review.