About Audit Records

The Audit Management module is an internal audit tool to aid auditors in collecting information, managing the audit process, and producing audit reports. The Audits menu allows you to add new and review existing audit records in your OneTrust platform.

To open an audit record, select Audits on the Audit Management menu.


The Audits list screen.

Audit Details

The Audit Details screen provides users with an overview of the audit record to help manage the auditing process. The screen also displays the current stage of the audit.

The Audit Details tab shows relevant meta-data about the audit including:

  • Audit ID

  • Audit Name

  • Standard/Framework

  • Statement/Goal

  • Start Date

  • End Date

  • Organization

  • Auditor(s)

  • Approver(s)

The Audit Details screen also allows you to add comments on the audit to easily collaborate with other users. To add a comment on the audit, click the Comment link in the top right-hand corner to open the Comments pane. The comments added to an audit during the review will also appear here.


The Comments pane of the Audit details screen.

Scope

The Scope tab shows a comprehensive list of controls being audited as well as the assigned auditor for each control. You have the ability to edit the scope and assign an auditor that will be responsible for identifying the audit result.

For more information on editing the scope of an audit, see Editing an Audit.


The Scope tab of the Audit details screen showing the list of controls being audited and the assigned auditor for each control.

Workpaper

When auditing controls, the auditors log their results and findings with a workpaper for each control within the scope of the audit. The Workpaper tab helps auditors track work on the workpaper and easily change the workpaper status.

The Workpaper tab shows relevant workpaper data, including the ID, workpaper name, auditor name, stage, and number of findings. You can click the Workpaper ID to view the Workpaper Details screen.


The Workpaper tab in the Audit Details screen showing workpaper ID, name, auditor, stage, and number of findings.

Attachment

The Attachment tab allows users to add attachments to audit records to provide additional details. The screen displays the name of the attachment, attachment description, and upload details.


The Attachments tab of the Audit details screen.

Findings

Once an auditor completes the workpaper, the audit manager and auditor will review the findings of the audit. The Findings tab allows users to review, address, and add action plans to all findings.

The Findings tab displays the finding name, ID, description of the finding, finding type, date created, created by user, action plan, and stage. Users can click the Finding ID to view the Finding Detail screen.


The Findings tab of the Audit details screen.

Tasks

The Tasks tab allows users to create, review, and manage all tasks for an audit individually or in bulk. The tasks created can be assigned to any user within an organization.

The Tasks tab displays the task name, description, assignee, and deadline date. Users can click the Task Name to see task details. Within the task details, the user can edit the task, manage any attachments on the task, and add/view comments.


Tasks tab in the Audit details screen showing task name, assignee, deadline, and controls to edit tasks and manage attachments.

Related

The Related tab allows users to add related audits, policies, assets, processing activities, entities, and vendors to an audit.


The Related tab of the Audit details screen showing options to add related audits, policies, assets, processing activities, entities, and vendors.

Activity

All changes made to an audit will be logged in the Activity tab.


The Activity tab of the Audit details screen.