Question: Is there a centralized evidence-management system to support audits and regulatory reviews?
Why This Matters
Scattered evidence slows audits and weakens credibility. A structured repository accelerates assurance and reduces rework.
Maturity
0 — Unaware
No evidence repository; files live on individual drives.
No evidence repository; files live on individual drives.
1 — Ad Hoc
Evidence collected when requested by auditors.
Evidence collected when requested by auditors.
2 — Defined
Folder structure and naming convention established.
Folder structure and naming convention established.
3 — Managed
Version control and retention applied.
Version control and retention applied.
4 — Integrated
Evidence linked to controls, audits, and CAPAs.
Evidence linked to controls, audits, and CAPAs.
5 — Optimized
Automated evidence requests and expiry tracking.
Automated evidence requests and expiry tracking.
How to Level Up
| From → To | Actions |
|---|---|
| 0 → 1 | Identify evidence sources per domain. |
| 1 → 2 | Standardize folder structure and metadata. |
| 2 → 3 | Apply version and retention rules. |
| 3 → 4 | Tag evidence to control IDs in register. |
| 4 → 5 | Automate collection via integrations or scripts. |
Enablers
- People: Compliance Officer, Auditors, IT Admin
- Process: Collect → Validate → Store → Review
- Technology: Document portal, GRC system, version control
Evidence
- Repository snapshot
- Naming convention policy
- Retention log
KPIs
- Number of controls with evidence attached
- Percentage of evidence updated this cycle
- Average retrieval time per request
Low-Cost / Open-Source Options (MSME)
| Purpose | Tool | Notes |
|---|---|---|
| Repository | Nextcloud / SeaweedFS | Secure storage |
| Versioning | Git / Gitea | Track changes |
| Automation | n8n / Rclone | Periodic syncs |
Common Pitfalls
- Duplicate copies in emails
- No retention or access control
- Evidence unverifiable at audit time
Compliance Mapping
| Standard | Clauses / Notes |
|---|---|
| ISO/IEC 27001 | 7.5 (Documented Information) / 9.2 (Audit evidence) |
| DPDP Act 2023 | Sec 10 (Accountability Records) |
| NIST CSF 2.0 | GV.MA / IM.ME |
| NIRMATA Mapping | CA-Q05 anchors audit-ready evidence management. |