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Answer an audit evidence request.

Assemble the records behind a specific question and make missing evidence explicit.

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Illustration of a seal beside an open evidence folio containing SOP, training and execution records.

You: Prepare evidence that people were trained on SOP-021 v03 before independent work.

neil

Operator A's record shows completion on 3 August before work on 5 August. I did not locate Operator B's completion in the supplied search. I can assemble the supported chain for A and make B's evidence gap explicit.

Operator B training evidence missing
Operator B training evidence missing. Source records located: 3 of 4. Example records.3/4

You: Should the response say Operator B was untrained?

neil

No. A search with no returned completion is not proof that training never happened. The response should name the search scope, the missing record and the follow-up. SOP-021's effective date and the signed change record establish the requirement, not B's individual completion.

You: Write this up for review, with the sources and the follow-up work we need.

neil

Here is the draft. I have kept the supported finding separate from the open questions, and prepared the evidence requests for the responsible roles.

SOP-021 training evidence packageReview draft · source evidence and assessment

SOP-021 training evidence package

The procedure version, signed release change and Operator A's training are identifiable sources. Operator B's completion has not been located in the supplied evidence. Request the applicable training record and verify its scope and timing; do not substitute another person's completion or the procedure's release date. An unresolved evidence request belongs in the package handed to the reviewer.

Source evidence and search scope

SOP-021 v03; CHG-062; training records returned for the named operators.

SOP-021 v03 / Controlled procedure

Revision
v03
Effective
1 August
Approval link
CHG-062
Training requirement
Before independent work

CHG-062 / Release approval

Procedure
SOP-021 v03
Approval
Signed
Effective date
1 August
Evidence role
Release approval

TRN-114 / Training completion

Person
Operator A
Procedure
SOP-021 v03
Completion
3 August
Work in scope
5 August

Operator B search / Evidence search scope

Person
Operator B
Procedure revision
SOP-021 v03
Period
Through 5 August
Result
No completion located
Inputs needed for your own records
  • The auditor’s question and the period in scope
  • Relevant controlled procedures and approvals
  • The linked execution or training records

Your audit owner checks the scope and completeness before sharing the response. neil does not send records to the auditor.

Fictional source snapshots. No live query, assignment or approval.

Follow-up work and evidence requests2 proposed tasks · not assigned

Evidence to request

Resolve Operator B's evidence gap
Training coordinator
Locate the v03 completion and independent-work timing, or document that the record could not be established within the defined search scope.
Review the evidence index
Audit response owner
Connect the signed change, effective instruction and each person's training/work dates. Keep unsupported claims out of the response.
Example conversation · prepared replies

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What to bring for this job
  • The auditor’s question and the period in scope
  • Relevant controlled procedures and approvals
  • The linked execution or training records

Source access, permissions and permitted actions are agreed for your environment.

Source excerpt

SOP-021 v03

Controlled procedure

Revision
v03
Effective
1 August
Approval link
CHG-062
Training requirement
Before independent work

Selected fictional record, not a live source-system view.

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