Request evidence during audits using the Compliance Workspace

Request evidence at any stage during an audit using the Compliance Workspace. 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

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 All > Policy and Compliance > Compliance Workspace. In the List view of the workspace, select Engagements in the Control testing list. Open the engagement record, and select the related list from which you want to request evidence. Select the Request Evidence button. Here, you can either create an evidence request or add more requests to an existing evidence request. The Evidence request is created but not the evidence request tasks.

You can inform the user of the evidence records that already exist for any of the related item tables of the engagement, which they can reuse.

1. To create a new evidence request, select Create a new evidence request in the Select method list of the Request Evidence pop-up. Enter the details and select the Request button.
2. To view the information about existing related evidences, select the View link in the Request Evidence pop-up.
   Note:

   If there is no existing evidence, then the message does not appear in the Request Evidence pop-up.

   Figure 1. View link in Request evidence pop-up

   

3. To view all existing evidences created on the related items, select the Evidence related list.

   When the evidence is in Closed Complete state, the UI action buttons such as New, Add existing evidence, Remove, and Delete are disabled. You can perform these UI actions only when the engagement or any other audit and compliance object is in an active state.

4. To add existing evidence, select the Add Existing Evidence button and select the evidence.
   Note:

   The Add Existing Evidence button is available in the Evidence related item of all compliance and audit objects in the Compliance Workspace such as Engagement, Audit task, Issue, Policy, Entity, Control, Control Objective, Authority document, Citations, and Evidence request.
5. To remove the association of the evidences linked to the engagement, select the evidences in the Evidence related list and select the Remove button.
   Note:

   The action only removes the association of the existing evidence records from the engagement and doesn’t remove the evidence record from the database.

Note:

The logged-in user must also have access to the engagement for which evidence records exist or must be the user who has access to the record to view and add them. If the logged-in user doesn’t have access to those records, although there are evidenced existing on those related items, they aren’t displayed for the user to add.

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 All > Policy and Compliance > Compliance Workspace.
2. In the Compliance Workspace, select the icon.
3. Navigate to Evidence requests > My request.
4. Select New.
5. On the form, fill in the fields.

   Table 1. Evidence Request form

   Field	Description
   Number	Unique number of the evidence request.
   Name	A name for this request.
   Requester	User requesting evidence. This field is automatically populated.
   Requested on behalf of	User for whom evidence is being requested.
   Type	Type of evidence that is created. Can be either Audit or Compliance.
   Request reason	Reason for requesting evidence.
   State	State of the request. The default state is Draft.
   Substate	An additional state for the request.
   Description	Detailed description of the evidence request.
   Assignment
   Assignment group	Group assigned to provide evidence.
   Assigned to	User responsible for providing the 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.
   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.
   Confidentiality
   Confidential	Option to enable confidentiality of the record. Only the assigned confidential users or confidential groups of users can access the record. For more information on the confidential option, see Confidentiality flag for audit and compliance records.

6. Save the form.
   Monitor the state of the Evidence in the stepper of the Overview page. The record progresses through a sequence of logical steps when you accept evidence, request revision of the evidence, and request information.

   The Evidence collection details related list appears. This related list is used to list the items for which evidence is requested.

7. Select New.
8. On the form, fill in the fields.

   Table 2. Evidence collection details form

   Field	Description
   Number	Unique number for the evidence collection detail.
   Name	A name for this request.
   Evidence collection type	Record for which evidence is requested. If the request was entered by a user with the compliance user role, the available options are: Authority document Citation Control Control objective Control test Entity Issue Policy If the request was entered by a user with the audit user role, the available options are: Audit task Control Control objective Control test Engagement Entity Issues
   Evidence for	Lists all the tables to which the evidence is applied.
   Evidence request	Unique number of the evidence request task.
   Assignment
   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.
   Instructions
   Evidence collection instructions	Instructions for providing evidence. For example, list of supporting documents, files, and so on.

9. Select Save.
10. Select Request Evidence.
    When an evidence request is already in the Work in Progress state, and a new evidence collection detail is added, the 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.You can view the description and monitor the state of the Evidence request in the stepper of the Overview page as it progresses through the evidence request process flow.