Creating, Editing, and Deleting an Audit

You can audit controls by creating and configuring an audit to aid in collecting information and managing the audit process.

Note:

Some menus, sections, and options shown in this article may only be available as a preview feature. To enable access to this feature, please contact OneTrust Support to submit the request.

What is an Audit?

An audit is a comprehensive review of an organization's processes, systems, and activities to assess their efficiency, effectiveness, and alignment with business objectives. The objective of an audit is to identify areas of improvement, and enhance overall performance. Audits examine various operational areas to ensure that processes are functioning as intended. In-scope workpapers and findings that are documented as part of the audit project.

Audits are assessments to determine if an organization is adhering to relevant laws, regulations, and internal policies. This is done through workpapers and findings. You can associate scopes to an audit. Scopes are the list of controls that are associated with the audit during creation. Each control generates a workpaper.

To create an audit

  1. On the Audit Management menu, select Audits.

    The Audits screen appears.

  2. Click the Create Audit button.

    The Create Audit screen appears.

  3. Complete the fields, for more information, see Enter Audit Details Screen Reference.
  4. Click the Next button.
    The Define The Scope screen appears.
    The Define the Scope screen showing options to select entities, controls, and control implementations that will be included in the audit.
  5. Select the controls and control implementations you would like to execute during the audit process.
  6. Click the Next button.
    The Assign Auditor(s) and Approver(s) screen appears.
    The Assign Auditor(s) and Approver(s) screen showing fields and tables used to select auditors and approvers who will review workpaper results.
  7. Assign the auditor(s) and approver(s) that will be responsible to identify the audit results of each control.
    Note:

    You can assign an auditor and approver to all of the selected controls or to each specific control using the checkboxes.

  8. Click the Start button.
    The Create Audit modal appears.
    The Create audit modal.
  9. Click the Create button.

To edit an audit

Once an audit has been created, you can edit audit fields on the Audit Details screen. Editing an audit allows you to change fields to stay up-to-date and easily make any updates needed to existing data captured on the audit record.

  1. On the Audit Management menu, select Audits.

    The Audits screen appears.

  2. Open the audit you would like to edit.

    The Audit Details screen appears.

  3. Hover over and select the Edit icon for the fields you would like to edit and edit as needed.
  4. Click the Save button.

To advance the audit stage

  1. Click the Advance button on the Audit Details screen.
    The Advance Stage modal appears.
  2. Click the Confirmbutton to advance to the next audit stage.

Enter Audit Details Screen Reference


The Enter audit details screen reference.
Field
Description
Audit Name

Enter a name for the audit.

Statement/Goal

Enter the goal and/or purpose for this audit.

Standard/Framework

Select the standards/framework(s) you would like to audit.

Organization

Select the organization or child organization responsible for the audit.

Start Date

Select the date the audit starts.

End Date

Select the date the audit ends.

Auditor(s)

Select the auditor(s) for the audit.

Approver(s)

Select the approver(s) for the audit.

To export an audit

  1. On the Audit Management menu, select Audits.

    The Audits screen appears.

  2. Click the Export button.
    The Report Download modal appears.
    The Report Download modal showing the status and options for exporting an audit report.
  3. Click the Close button. The export will be generated in the background. When the report is ready to download, a notification will appear on the Notifications icon.
  4. Click the Notifications icon.
    The Notifications popover appears.
    The Notifications popover showing the export report ready to download, including the export name, date, and download link.
  5. Click the export link in the popover to download the exported report.

To delete an audit

You can delete an audit when it is no longer needed.

Important:

The action of deleting an audit is permanent and the workpapers, findings, tasks, and attachments associated with the audit will also be deleted.

  1. On the Audit Management menu, select Audits.

    The Auditsscreen appears.

  2. Hover over the audit you would like to delete and click the Context Menu icon button.
  3. On the Context menu, select Delete.

    The Delete Audit modal appears.

  4. Check the box if you would like to delete all of the finding records associated with this audit.
  5. Click the Continue button to delete the audit.