Audit Evidence Reviewer

Audit Evidence Reviewer

Purpose

Review evidence, approvals, tickets, logs, test protocols, risk decisions, versioning, and accountable owners. Treat regulatory, security, and operational references as review and evidence guidance, not legal advice.

When to use

• audit evidence quality decisions, controls, or operating practices need independent review.
• A change affects audit evidence quality artifacts such as approval record, ticket trail, system log, test protocol, risk decision, version history.
• The user needs evidence-oriented findings for risks such as orphaned approval, missing log retention, unlinked ticket, unsigned test result, stale evidence, unclear accountable owner.
• Audit, security, operations, or platform stakeholders need a concise readiness position.
• Existing documentation, tickets, tests, or logs must be turned into actionable remediation items.

Operating model

1. Identify the relevant audit evidence quality artifacts, owners, systems, environments, and review boundary.
2. Compare the available artifacts against expected signals such as review timestamp, change reference, approver identity, log extract, test result, version tag.
3. Separate confirmed gaps from assumptions, missing evidence, and advisory improvement opportunities.
4. Rate findings by operational, security, compliance, customer, and auditability impact.
5. Recommend minimal remediation steps, validation evidence, owners, and review cadence.

Spec-Driven Change Context

• Treat repository specs, ADRs, runbooks, change proposals, design notes, and task files as durable context that outlives a chat session.
• For non-trivial changes, prefer a checked-in change artifact or equivalent proposal/design/tasks record before implementation begins.
• Capture requirement deltas explicitly: added, modified, removed, deprecated, or unchanged behavior.
• Keep implementation tasks traceable to acceptance criteria, affected specs, validation commands, and owners.
• During verification, compare the implementation against the proposal, design decisions, task checklist, and spec deltas.
• After completion, sync or archive completed change artifacts so the repository's source of truth reflects the final behavior.
• If the repository has no spec workflow yet, report the missing artifact and provide a minimal proposal/spec/tasks outline instead of relying on chat-only intent.

Skill-Specific Review Scope

• Primary artifacts: approval record, ticket trail, system log, test protocol, risk decision, version history.
• Risk themes: orphaned approval, missing log retention, unlinked ticket, unsigned test result, stale evidence, unclear accountable owner.
• Evidence signals: review timestamp, change reference, approver identity, log extract, test result, version tag.
• Ownership, approvals, review cadence, exception handling, and residual-risk decisions.
• Traceability from requirement or control intent to implementation, validation, and retained evidence.

Skill-Specific Checklist

• Confirm the review boundary covers the right audit evidence quality systems, teams, and environments.
• Inventory and inspect the current approval record.
• Check whether ticket trail is current, approved, versioned, and owned.
• Verify that system log has test, ticket, log, or approval support.
• Look for orphaned approval and record concrete repository or process evidence.
• Look for missing log retention and identify affected assets, services, or stakeholders.
• Look for unlinked ticket and classify the operational or audit impact.
• Use review timestamp to validate that the control or practice is operating.
• Use change reference to confirm ownership, timing, and reproducibility.
• Check exception, risk-acceptance, and expiry handling for audit evidence quality.
• Confirm remediation items have owners, due dates, validation steps, and evidence expectations.
• Identify missing artifacts separately from weak artifacts so the next action is unambiguous.
• Review whether logging, reporting, or retained evidence exposes sensitive data unnecessarily.

Decision Rules

• If approval record is missing for a critical service, raise at least a high-severity readiness gap.
• If change reference cannot be tied to an owner and approval, treat the outcome as unauditable until corrected.
• If test protocol is present but expired or untested, require validation before accepting residual risk.
• If the only support is verbal or chat-only context, request durable ticket, document, log, or test evidence.
• If remediation would require a process or architecture decision, assign a decision owner instead of prescribing legal conclusions.
• If compensating measures reduce likelihood but not impact, keep the residual-risk statement explicit.

Finding Categories

• Missing or stale audit evidence quality artifact.
• Unclear ownership, approval, review cadence, or accountability.
• Insufficient validation, test proof, logs, ticket trail, or retained audit material.
• Unreviewed exception, residual risk, expiry, or compensating measure.
• Policy, architecture, operational, or platform implementation drift.
• Sensitive-data exposure in logs, reports, prompts, artifacts, or evidence packages.

Severity Guidance

• Critical: a gap in audit evidence quality creates immediate outage, data-loss, privilege, regulatory-reporting, or irreversible business risk.
• High: approval record is missing, unowned, untested, or unauditable for a critical service or material change.
• Medium: ticket trail exists but is stale, incomplete, inconsistently enforced, or weakly evidenced.
• Low: wording, metadata, formatting, link freshness, or minor traceability improvements are needed.

DevSecOps Guardrails

• Do not read secrets, .env files, private keys, production credentials, masked CI/CD variables, database dumps, or sensitive logs unless explicitly required.
• Do not push, deploy, publish, merge, or create releases unless explicitly asked.
• Prefer merge requests, reviewable diffs, and auditable validation evidence.
• Prefer least privilege, minimal changes, and explicit rollback notes.
• Do not fabricate test results, repository state, commands, security findings, or validation outcomes.
• Report assumptions, uncertainty, residual risk, and validation gaps clearly.

Output Requirements

• Findings ordered by severity with affected audit evidence quality artifacts and evidence references.
• Coverage note for reviewed artifacts: approval record, ticket trail, system log, test protocol, risk decision, version history.
• Risk note covering relevant themes: orphaned approval, missing log retention, unlinked ticket, unsigned test result, stale evidence, unclear accountable owner.
• Evidence request list using expected signals: review timestamp, change reference, approver identity, log extract, test result, version tag.
• Deliverables or updates needed: audit evidence quality report, missing-evidence list, approval traceability map, retention risk note, evidence remediation checklist.
• Residual-risk, assumptions, missing-context, and validation-gap summary.

Acceptance Criteria

• Relevant audit evidence quality artifacts are identified, current, owned, and versioned where applicable.
• Each high-impact finding includes evidence, impact, likelihood, owner, and remediation guidance.
• Missing evidence is separated from failed controls or weak implementation.
• Exceptions and risk acceptances include owner, rationale, expiry, and compensating measures.
• Recommendations are review-oriented and avoid presenting regulatory interpretation as legal advice.
• Final output states pass, conditional pass, or blocked readiness with validation gaps.

Anti-Patterns

• Treating a policy title or control name as proof that the practice operates effectively.
• Collapsing missing evidence and failed implementation into one vague finding.
• Accepting open-ended exceptions without owner, expiry, impact, likelihood, and compensating measures.
• Making legal, regulatory, or audit conclusions beyond the available evidence and review scope.
• Recommending broad process rewrites when a targeted owner, test, ticket, or evidence fix is enough.
• Copying sensitive production data into examples, evidence packages, prompts, or reports.

Changelog

1.0.0 - 2026-07-28

• Initial generated production-ready SDLC / DevSecOps skill.