Adding and Managing Audit Findings

A finding is an issue and/or compliance gap identified by an auditor through an audit workpaper. When completing a workpaper, the auditor will document the issue and identify if actions must be taken.

Risk and compliance managers can document their action plan, delivery of resolving findings, and deadline dates. Audit findings have their own dedicated workflow to manage its status. For more information on what's included in an audit, see About Audit Records.

To learn more about how to create an audit and manage a workpaper, see Creating an Audit and Managing Workpapers.

To add findings

  1. On the Audit Management menu, select Findings.
    The Findings screen appears.
    Findings list screen showing existing findings and controls to log a new finding.
  2. Click the Log Finding button.
    The Log Finding modal appears.
    Tip:

    Findings can also be added from the Findings tab of the Audit Details screen.

  3. Complete the fields. See the Log Finding Modal Screen Reference.
  4. Click the Save button.
    Note:

    You can access findings on the Findings tab of the Audit Details screen or directly from the Findings list screen.

Log Finding Modal Screen Reference


The Log finding modal reference.
Field
Description
Finding Name

Enter a name that describes the finding.

Finding Type

Select the finding type.

Finding

Enter a description of the finding that was identified.

Organization

Select the organization in which the finding was identified.

Deadline

Select a deadline for the finding.

Assignees

Select the user(s) responsible for the finding.

To relate findings to other records

  1. On the Audit Management menu, select Findings.

    The Findings screen appears.

  2. Open the finding in which you would like to relate another record.
  3. Select the Related tab.
  4. Click the Add Related button on the audits, workpapers, control, control implementation, findings, risks, policies, assets, processing activities, legal entities, and vendors fields.
    The Add Related modal appears.
    The Add related modal with a list of assets and options to select and relate an asset to the current finding.
  5. Select the record you would like to relate to the finding and complete the required fields as needed.
  6. Click the Add Related button.

To remove related records from a finding

  1. On the Audit Management menu, select Findings.

    The Findings screen appears.

  2. Open the finding in which you would like to remove a related record.
  3. Select the Related tab.
  4. Hover over the row for the inventory you want to remove until the Context Menu appears.
  5. Click the Context Menu icon button.
  6. On the Context menu, select Remove.
    The Remove Related modal appears.
    The Remove relationship modal with options to confirm or cancel removal of the selected related record.
  7. Click the Confirm button.

To add an attachment to a finding

  1. Open the finding in which you would like to add an attachment.
  2. Select the Attachments tab.
  3. Click the Upload Attachment button.
    The Attachments modal appears.
    The Attachments modal with options to upload a file, add a description, and save the attachment.
  4. Click the Upload File button.
  5. Use the file explorer to locate and select the document(s) you want to attach.
  6. Enter a description of the uploaded file.
  7. Click the Save button.

To add a link to a finding

  1. Open the finding for which you would like to add a link.
  2. Select the Attachments tab.
  3. Click the Add Links button.

    The Add Links modal appears.


    The Add links modal with fields for URL, Name, and Description.
    Field
    Description
    URL

    Enter the URL to the hosted document.

    Name

    Enter the name of the external link.

    Description

    Enter a description of the document being linked.

  4. Complete the fields.
  5. Click the Save button to save the link or the Save and Add New button to save the link and immediately add another.

To add tasks to a finding

  1. Open the finding for which you would like to add a task.
  2. Select the Tasks tab.
  3. Click the Add Task button.
    The Add Task modal appears.
    Note:

    To add tasks in bulk, see Creating Finding Tasks in Bulk.

  4. Complete the fields. For more information, see Add Task Modal Screen Reference.
  5. Click the Save button. To save and add another task without closing the modal, click the Save and Add Another button.

Add Task Modal Screen Reference


The Add task modal.
Field
Description
Task Name

Enter a name for the task.

Assignee

Select a task assignee.

Priority

Select the priority level of the task.

Collaborators

Select collaborators for the task.

Deadline

Enter a deadline for the task to be completed.

Description

Enter a brief description of the task.