--- sourceDocument: Zurich Governance, Risk, and Compliance sourceDocumentLink: https://www.servicenow.com/docs/r/zurich/governance-risk-compliance Release : - zurich ft:locale : - en-US ft:publication_title : - Zurich Governance, Risk, and Compliance ft:clusterId : - grc bundleId : - grc workflow : - Technology --- # Manage engagements # Manage engagements {#ariaid-title1} Release version: Zurich Updated July 31, 2025 ![](https://www.servicenow.com/docs/portal-asset/ico-clock) 2 minutes to read Summarize ![AI sparkle icon](https://servicenow.com/docs/portal-asset/ai-sparkle-icon) Summarized using AI This content was generated using new OpenAI-powered functionality. Results are provided on an as is basis and are not guaranteed to be accurate or complete. ## Summary of Manage engagements The audit engagement process in ServiceNow encompasses creating, planning, scoping, conducting, and reporting on audit engagements. This structured process guides audit managers and auditors through key stages from defining the audit scope to closing the engagement, ensuring comprehensive oversight and documentation of audit activities. Show full answer Show less ## Engagement Process States * **Scope:** Audit managers define which entities (e.g., departments, business services) are included in the audit. Adding entities automatically incorporates their related risks, controls, test plans, and indicator results. * **Validate:** Risks, controls, test plans, and indicator results are reviewed and adjusted. Audit tasks can be created and planned. * **Fieldwork:** Auditors perform audit tasks such as control testing, interviews, and walkthroughs. Issues discovered are logged and associated with the engagement. Audit managers finalize the engagement result and opinions. * **Awaiting Approval:** Designated approvers review audit results and issues, then approve or reject the engagement. * **Follow Up:** If open tasks or issues remain post-approval, auditors must resolve them before completion. * **Closed:** Engagements are closed either as incomplete during early states or after all tasks and issues are resolved following approval. ## Audit Task Management Throughout the engagement, various audit tasks provide evidence of regulatory and policy compliance: * **Create Engagement:** Initiate audits by collecting relevant entities, controls, and tests. * **Create from Previous Engagement:** Reuse scopes, auditors, and approvers from prior audits to streamline recurring engagements. * **Control Tests:** Define and schedule tests to verify control effectiveness, with centralized management via a Control tests grid. * **Audit Activities:** Create specific activities such as interviews, walkthroughs, and other tests to gather documented evidence on control operation. * **Generate Reports and Knowledge Articles:** Produce audit reports during follow-up and create KB articles summarizing findings for executive communication. * **Approve or Reject Engagements:** Assigned approvers validate audit outcomes in the approval stage. * **Add Entities to Scope:** Inclusion of entities automatically integrates their associated risks, controls, tests, and indicator results to the engagement scope. ## Managing Audit Engagements The Engagement Workbench provides a timeline interface to view existing audit engagements or initiate new ones, facilitating efficient management and navigation of the audit lifecycle. The audit engagement process involves creating, planning, scoping, and conducting engagements as well as reporting on engagement findings. ## Engagement process The base system audit engagement process includes steps for scoping, validating, conducting, and approving engagement results. It also contains steps for following up on open audit tasks and issues, and finally closing out the audit engagement. {#c_Engagements__table_pzj_vyr_pw__entry__2} | State | Description | |-|-| | Scope | During the Scope state, audit managers define which entities are involved in the audit engagement. For example, for a financial audit, one may include all business services that the finance department relies on and the finance department itself. See [Add entities to an engagement scope](https://www.servicenow.com/docs/9KSBsoV9ExpFr2_7NoXLyg "Audit managers can define which entities are involved in the audit engagement. When you add an entity to an engagement, the corresponding risks, controls, test plans, and indicator results of the entity are also added to the engagement."). | | Validate | After an engagement has moved to the Validate state, all the risks, controls, and test plans associated with the entities in the engagement's scope will be associated with the audit. Indicator results that were collected during the audit period of the engagement will also be associated with the audit. Audit managers can review the risks, controls, test plans, and indicator results, and update the scope of the engagement, if necessary. Audit managers can also begin creating and planning audit tasks for the engagement. To move an engagement into the Validate state, click Validate on any engagement currently in the Scope state. | | Fieldwork | Auditors complete their assigned audit tasks during the Fieldwork state. These tasks include control testing, interviews, walkthroughs, and other activities. Issues that are found during control testing are associated with the engagement. Auditors can also create general issues associated with the engagement. Audit managers can create additional audit tasks as needed. When the audit is done, audit managers specify the result of the engagement, whether it's satisfactory, adequate or inadequate, and provide details on their opinion. To move an engagement into the Fieldwork state, click Advance to Fieldwork on any engagement currently in the Validate state. See [Audit task management](https://www.servicenow.com/docs/0Ca6E6oUgqc4U0mas11ngw "Audit tasks are completed throughout an engagement and provide documented evidence that the organization is complying with external regulations and internal policies."). | | Awaiting Approval | During the "Awaiting Approval" state, the approvers specified in the Approvers field of the engagement review the results of the audit tasks conducted and the issues that were created. After reviewing the results of the engagements, approvers approve or reject the engagement. To move an engagement into the Awaiting Approval state, click Request approval on any engagement currently in the Fieldwork state. See [Approve or reject an engagement](https://www.servicenow.com/docs/Ne5FF3z40chTewcbCtd4bg "Audit users that are assigned as approvers for an engagement can approve or reject engagements in the Awaiting Approval state."). | | Follow Up | After an engagement has been approved, if there are any remaining open tasks, issues or milestones, in case of GRC Advanced Audit, associated with the engagement, the engagement automatically goes into the Follow Up state. During this stage, auditors must close out all remaining issues, tasks, and milestones before the engagement are marked as complete. | | Closed | Engagements move into the "Closed" state under one of three conditions: * The engagement is closed as incomplete during the Scope, Validate, or Fieldwork states. * There are no open audit tasks, issues, and milestones after the engagement is approved. In this case, the engagement automatically moves from the Awaiting Approval state to the Closed state. * All follow-up tasks, issues, and milestones are closed out. In this case, the engagement automatically moves from the Follow Up state to the Closed state. {#c_Engagements__ul_dnn_kfs_pw} | [Table 1. States of the engagement process] {#c_Engagements__table_pzj_vyr_pw} * **[Audit task management](https://www.servicenow.com/docs/0Ca6E6oUgqc4U0mas11ngw)** Audit tasks are completed throughout an engagement and provide documented evidence that the organization is complying with external regulations and internal policies. * **[Create an engagement](https://www.servicenow.com/docs/pS~uJt95aQXDzbnwcx6LkA)** Audit managers create engagements to manage audit information and collect entities, controls, and control tests that are relevant to the audit. * **[Generate an audit report from an engagement](https://www.servicenow.com/docs/cP1994qANW_CR1L0~ba5gA)** Generate an audit report and maintain different versions of audit reports from an engagement in Follow up state. * **[Create an engagement from a previous engagement](https://www.servicenow.com/docs/pdNLtVMEpmK5dSdZJBucRg)** Audit managers can create engagements from previous engagements to reduce the need to redefine the scope, auditors, and approvers for similar engagements that are conducted throughout the year. * **[Create a control test from an engagement](https://www.servicenow.com/docs/duWX3YdGb0U84bp2ZkuXUg)** After defining a control, audit managers create control tests that run periodically and provide documented evidence of whether the associated control is operating correctly. After creating multiple control tests on an engagement, use the Control tests grid to view, manage, and request evidence for all tests in one place. * **[Create an audit task activity](https://www.servicenow.com/docs/XWOPblGi4unD7QpINe90tw)** After defining a control, audit managers create activities that explore and provide documented evidence of whether the associated control is operating correctly. * **[Create an interview](https://www.servicenow.com/docs/yINpqOXSSOpQ3GrEglEiZQ)** After defining a control, audit managers create interviews with control owners to discuss and provide documented evidence of whether the associated control is operating correctly. * **[Create a walkthrough](https://www.servicenow.com/docs/ULI9VzxskoL6ptta7szl4Q)** After defining a control, audit managers create walk throughs that will be conducted to observe and provide documented evidence of whether the associated control is operating correctly. * **[Generate a KB article from an engagement](https://www.servicenow.com/docs/5OUbzmNvBgRvtwq5H4d9EA)** Audit managers can generate a KB article that summarizes the findings of an engagement so report findings can be communicated to executives. * **[Approve or reject an engagement](https://www.servicenow.com/docs/Ne5FF3z40chTewcbCtd4bg)** Audit users that are assigned as approvers for an engagement can approve or reject engagements in the Awaiting Approval state. * **[Add entities to an engagement scope](https://www.servicenow.com/docs/9KSBsoV9ExpFr2_7NoXLyg)** Audit managers can define which entities are involved in the audit engagement. When you add an entity to an engagement, the corresponding risks, controls, test plans, and indicator results of the entity are also added to the engagement. * **[Manage Audit Engagements](https://www.servicenow.com/docs/Vsn4rsLMXVVvnBP0T4Vg8g)** The Engagement Workbench provides a timeline view from which you can select an audit engagement to view details or create a new engagement.