Request evidence during audits

Request evidence at any stage during an audit. The details about the items for which evidence is requested are also provided to the person responsible for providing the evidence.

Before you begin

Role required: sn_audit.user

About this task

An evidence can be requested in the following three ways:

My Evidence

By creating an evidence record from the My Evidence module.

Request Evidence

From the Entity, Control, Audit Task, Control Test Issue, and Other Issues related lists in an engagement record. To request evidence from these sources, navigate to Audit > Engagements > My Engagements. Open the engagement record, and select the related list from which you want to request evidence. From the Action on selected rows list, select Request Evidence. Here, you can either create a new evidence request or add more requests to an existing evidence request. The Evidence request is created but not evidence request tasks. For more information on adding existing evidence, see Reuse existing evidence from the related items of an engagement.

Entity, Control, Control Objective, Control Test, Engagement, Issue tables

From tables such as Entity, Control, Control Objective, Control Test, Engagement, Issue. However, when the users request evidence from these tables, the evidence request is created not the actual evidence request task. The users must navigate to the evidence request record that is generated and then add evidence request tasks.

In this procedure, the method to request evidence from the My Evidence module is described.

Procedure

1. Navigate to Audit > My Evidence Request.
2. Click New.
3. On the form, fill in the fields.

   Table 1. Evidence Request form

   Field	Description
   Number	Unique number of the evidence request.
   Requester	User requesting evidence. This field is automatically populated.
   Requested on behalf of	User for whom evidence is being requested.
   Assignment group	Group assigned to provide evidence.
   Assigned to	User responsible for providing the evidence.
   State	State of the request. The default state is Draft.
   Type	Type of evidence that is created. Can be either Audit or Compliance.
   Request reason	Reason for requesting evidence.
   Watch list	Users interested in viewing the evidence collected. If a person is added on the watch list, they can navigate to Audit > Evidence Request > Watched Evidence Requests to view the requests.
   Name	Name of the evidence request.
   Description	Detailed description of the evidence request.
   Schedule
   Due date	Expected date of evidence submission.
   Opened	Date the request is opened. This date is automatically updated.
   Closed	Date the request is closed. This date is automatically updated.
   Activity
   Work notes	Type any notes that might be required.
   Activities	Activity log for the request.

4. Save the form.
   The Evidence Collection Details related list appears. This related list is used to list the items for which evidence is requested.
5. Click New.
6. On the form, fill in the fields.

   Table 2. Evidence Collection Detail form

   Field	Description
   Evidence request	Unique number of the evidence request task.
   Evidence for	Record for which evidence is requested. Lists all tables to which the evidence is applied.
   Name	Evidence collection detail name.
   Assignment group	Group assigned to provide evidence. The users of this group must have the sn_grc.business_user roles.
   Assigned to	User responsible for providing evidence.
   Evidence collection instructions	Instructions for providing evidence. For example, list of supporting documents, files, and so on.

7. Click OK.
8. Click Submit.
9. Click Request Evidence.
   When an evidence request is already in the Work in Progress state, and a new evidence collection detail is added, then evidence request task is sent to the assignee immediately.
   The Evidence related list appears with the list of evidences and the person who is assigned the request receives an email notification to provide the requested evidence. Also, the state of the request changes to Work in Progress.
10. Navigate to Audit > Evidence Request > My Evidence Request Tasks.
11. Open the record for which you want to provide evidence.
12. Click Accept Work.
13. On the form, fill in the fields.

    Table 3. Evidence form

    Field	Description
    Number	Number of the evidence request. This value is generated by default.
    Requester	User requesting evidence. This value is generated by default. If you are the approver, requester, watch list member, or user in the Assigned to field, then you can edit the details in the Watch list, Name, and Description fields when the evidence is in New or Work in progress states.
    Requested on behalf of	User for whom evidence is being requested. This value is generated by default.
    Assignment group	Group assigned to provide evidence. The users of this group must have the sn_grc.business_user roles.
    Assigned to	User responsible for providing the evidence. This value is generated by default.
    State	State of the request.
    Substate	None. This value is generated by default.
    Request reason	Reason for requesting evidence.
    Approvers	Users to approve evidence before it is returned to the requester for review. Usually, an approver is the manager of the person providing the evidence.
    Watch list	Users interested in viewing the evidence collected.
    Name	Name of the evidence request. The name defaults to Evidence collection details name.
    Description	Detailed description of the evidence request. The description defaults to the description given in the Evidence request form.
    Request Details
    Evidence request	Unique ID of the evidence request associated with the task. This value is generated by default and is fetched from the record that was created to request evidence.
    Evidence for	Record for which the evidence is requested.
    Evidence for description	Description of the record for which the evidence is being requested. This value is generated by default and is fetched from the record that was created to request evidence.
    Evidence collection instructions	Instructions to collect the evidence. If you are the manager or requester, you can edit this field when the evidence request task is in work in progress state.

14. To request approval for the attached evidence, click Request Approval.
15. If no approvers are required, click Request Review.
16. Navigate to Audit > Evidence Request > My Approvals.
17. Open the record for which you want to approve evidence.
18. Review the attached evidence on the form and click one of the following options:

    Option	Description
    Approve	Approve the attached evidence. The requester gets the evidence provided.
    Request Revision	Request that the attached evidence be reviewed. Enter comments when you request revision. The assignee gets a notification to review the attached evidence.
    Request Information	Seek more information and details about the attached evidence. The assignee gets a notification to provide more information about the attached evidence.

19. Navigate to Audit > Evidence Request > My Pending Reviews.
20. On the Evidence form, review the attached evidence, and click one of the following options:

    Option	Description
    Accept Evidence	Accept the evidence that is provided.
    Request Revision	Request for the evidence to be reviewed, if it is not appropriate, or modified.
    Cancel	Cancel the evidence request task.
    Delete	Delete the evidence request task.

21. Navigate to the form for which you want to display the Evidence Request related list.
22. Right-click in the form header, and click Configure > Related Lists.
23. Locate the Related Evidence item in the Available box and move it to the Selected box.
24. Click Save.