A&A-05 Audit Management Process
Run a defined audit management process covering planning, risk analysis, control assessment, conclusions, remediation timetables, report production, and re-examination of earlier reports and their supporting evidence.
4
artefacts
0
held by a system
1
at each review
hard
to go live
Policy repository / GRC workspace
where the evidence lives
teal = a system already holds it · olive = produced at each review
system holds itEvidence a system already holds
none for this control
periodic reviewEvidence produced at each review
- Evidence that previous reports and their supporting evidence were revisited · Document repository
governing documentDocuments that govern the control
- The documented audit management process with its stages and owners · Policy repository / GRC workspace
- A completed audit file showing every stage was worked through · Policy repository / GRC workspace
- Remediation schedules produced from audit conclusions · Policy repository / GRC workspace
First move
This control is evidenced by people and documents, not systems. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date. Do not try to automate it.
Common gaps auditors find
- Process documented but audits run informally around it
- Prior-report review step skipped, so repeat findings are never identified as repeats
- Conclusions recorded without the supporting evidence being retained
Do this for your whole sheet
Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.
Build my evidence sheet