Audit evidence index
- Completeness 55% against 95%.
- Resolved: 0 supplied, 0 confirmed current.
Global Compliance · Expanded Global Compliance
Contract Compliance Intelligence
Read customer-authorised contracts for obligations, service commitments, deadlines, renewals, restrictions, responsibilities and compliance risks, with citations to the…
Demonstration: Aldercroft Facilities Services (fictional) · Facilities management. Fictional data and a scripted answer.
The situation
- Organisation
- Aldercroft Facilities Services (fictional)
- Who is asking
- Contract compliance lead
- Industry
- Facilities management
- What happened
- A major client contract has audit rights, and the lead wants to know whether the evidence of our obligations is in order before they are exercised.
The question asked
For this client contract, can we evidence each obligation we owe, and what is missing?
What it reads, and who can see the result
- Contract obligations extract documentObligations we owe the client.
- Evidence library registerRecords we hold against each obligation.
- Reads
- The obligations extracted from the contract and the evidence records' index.
- Does not read
- The client's confidential data or the evidence content.
- Permission
- Contract compliance's access to the library.
- Who sees it
- The contract compliance lead and the account director.
Try it
Resolve what is missing or out of date. Evidence counts only when it is attached, or when its owner confirms it is current; the sign-off needs the stated completeness.
55% complete · 95% needed
Service
- Monthly service report delivered by day 5 PresentTwelve reports on file
- Response to a critical incident within 2 hours PresentIncident log with timings
People
- Staff on site hold the required security clearance StaleClearance list last updated 13 months ago
- Annual training refreshed for site staff MissingNo completion records for the second half-year
Assurance
- Insurance certificates held at the required cover PresentCertificates current
- Subcontractors approved in writing by the client MissingTwo subcontractors used without recorded approval
The answer
Simulated answer. Written for this fictional case, not produced by a live model. Only the figures in it are computed, from what you decided above.
Evidence of our contract obligations is 55% complete; the audit threshold is 95%.
Four obligations are evidenced [S1][S2]. Three are not: the clearance list is stale, half a year of training records is missing, and two subcontractors were used without the written approval the contract requires.
The subcontractor point is a possible breach, not just a missing file: resolving it needs a conversation with the client, not a document. 3 remain open (Staff on site hold the required security clearance; Annual training refreshed for site staff; Subcontractors approved in writing by the client).
Relies on: S1 · Contract obligations, schedule 3S2 · Evidence library index
Review and approval
The contract compliance lead decides. Approving confirms the evidence file for the audit. It does not assert that the contract has been performed.
Not ready to approve. Evidence is 55% complete; the sign-off needs 95%.
In the product this is a different person with the right permission. Here you play that role to see the rule.
What it produces
Limits of this example
- A document can be attached that does not show the obligation was met; the auditor tests substance.
- A potential breach is a matter for the account director and counsel, not a checklist.
- This is a scripted demonstration on fictional data. No model was called and no real organisation, person or result is shown.
More in Global Compliance
- The compliance command centreObligations, deadlines and changes are scattered across inboxes and spreadsheets, so something is eventually missed.
- Corporate and financial regulationFilings, tax obligations, licences and entity records are tracked by different people, often on different dates.
- People, sector and international dutiesEmployment, privacy, security, environmental and cross-border duties sit with different teams and are rarely seen together.
- Assurance and evidenceWhen an auditor or an inspector arrives, evidence has to be found in a hurry, and gaps appear for the first time.
- Regulatory Applicability IntelligenceWork out which obligations may apply to this business from its legal entities, activities, industry, locations, workforce and other verified facts, and show each as appl…
- Regulatory Change Impact IntelligenceWatch approved authoritative sources, detect changes that matter, identify the entities, processes, systems and controls they affect, and start a governed review and rem…
- Continuous Control MonitoringEvaluate whether each control is operating: evidence present and current, expirations, exceptions and failures, so assurance is ongoing instead of a one-time checklist.
- Audit Readiness and Evidence CompletenessConnect each obligation to its controls, evidence, owner and effectiveness, show which artifacts are missing, and produce an evidence-backed preparation and gap report.
The Global Compliance story · This capability in the full register