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  1. Audit Management
  2. Process
  3. Evidence and exception review
Process · Evidence and exception review

Evidence and exception review

Trace an uncertain result through its evidence, decision and operation receipt.

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Step by step

  1. Attach the supporting material Auditor

    The Auditor records the document title, link and evidence type against the intended parent record. Check the parent identifiers and the uploader reference. The Audit Manager opens the document using normal review access before relying on it during a finding decision.

    • Record and check the evidence reference
    • Updates Record attachments, Team members

  2. Inspect the decision Audit Manager or Independent Assurance Reviewer

    The Audit Manager or Independent Assurance Reviewer reads the judgment associated with the relevant finding, engagement or corrective action. Check the subject reference and reason. Identify the recorded reviewer when an explanation needs clarification.

    • Read the judgment and its subject
    • Updates Review decisions, Findings, Audit engagements, Corrective actions

  3. Review operation results Audit Manager

    The Audit Manager inspects Failed, Needs review and Pending receipts. Read the operation type, stable operation key and failure reason, then compare the current business record with the intended action. Keep the investigation tied to the particular operation under review.

    • Investigate the recorded result and reason
    • Updates Operation receipts

  4. Agree the follow-up Audit Manager

    The Audit Manager identifies the person who will resolve the issue. Admin helps with identity or access problems; the Auditor supplies additional evidence where needed. Check the updated working record and retain the relevant reference when the issue has been addressed.

    • Check the follow-up against the existing context
    • Updates Operation receipts, Record attachments, Team members

Where it usually breaks

And how to keep it from happening.

  • A valid document link opens for its uploader but fails for the reviewer. Resolve the evidence repository permission with the responsible owner.
  • The team reads a decision for a similarly named finding. Compare the subject reference and actual record link.
  • A repeated action is attempted without checking whether the earlier operation changed the business record. Inspect both before deciding the next step.

Who does what

Roles and permissions
Auditor
, Audit Manager, Independent Assurance Reviewer, Admin.

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