Stop Chasing, Start Tracking: Automating Evidence & Audit Artifact Collection

If you’re still relying on spreadsheets, shared drives, or email threads to collect due diligence evidence from third parties, you're not alone. 

But you’re also probably: 

• Spending too much time sending reminders 

• Missing key artifacts come audit season 

• Duplicating efforts across assessments 

• Struggling to prove historical compliance 

This is a ripe area for automation, one that can immediately ease TPRM fatigue and strengthen audit readiness. 

The Evidence Burden is Real 

In today’s TPRM environment, third parties are expected to provide dozens of artifacts, often across multiple frameworks or request types: 

• SOC 2 or ISO 27001 reports 

• Cybersecurity policies & control assessments 

• Insurance certificates 

• Penetration test summaries 

• Business continuity plans 

• Signed attestations 

It’s a lot and often scattered. Multiply that by 50, 200, or 1,000 vendors, and suddenly your risk team is a full-time document chaser. 

The Automation Opportunity 

Here's how automation can modernize your evidence collection process, reduce back-and-forth, and give you better visibility into what's complete, and what's missing. 

 1. Auto-Send Evidence Requests on Schedule or Trigger 

• Set your TPRM application to automatically send evidence requests based on: 

  • Vendor onboarding 

  • Contract renewal dates 

  • Annual or semi-annual reassessment cycles 

  • Triggered events (e.g., scope changes or security alerts) 

Tool Tip: TPRM platforms like Mirato, ProcessUnity, or Aravo can generate evidence requests tied to vendor risk tier and lifecycle stage. 

 2. Use Pre-Built Templates and Smart Forms 

• Build or reuse standardized templates by risk type or assessment purpose (e.g., privacy, InfoSec, ESG) 

• Use dynamic forms that adjust based on vendor responses to avoid over-requesting 

Tool Tip: Tools like OneTrust or Venminder, an Ncontracts Company enabled conditional logic in assessments to streamline collection. 

3. Centralize and Auto-Categorize Submissions 

• Route uploaded documents directly into the correct vendor profile and artifact folder 

• Use metadata to label evidence by type (e.g., SOC 2, PCI cert), date, and expiration 

Tool Tip: Integrate SharePoint, Google Drive, or your TPRM platform’s document library with automation tags for search and retrieval. 

 4. Track Expirations and Send Auto-Reminders 

• Set calendar-based reminders before a certificate or report expires 

• Automatically notify both internal stakeholders and vendor point of contacts (POCs) 

Tool Tip: Use Power Automate, Zapier, or ServiceNow to flag expiring evidence and send personalized nudge emails. 

5. Map Evidence to Controls or Frameworks 

• Auto-tag evidence to align with relevant controls (e.g., NIST CSF, ISO 27001, CAIQ) 

• Allow auditors or regulators to view which evidence supports each control 

Tool Tip: Use tools with compliance mapping capabilities like AuditBoard, LogicGate, or TrustCloud. 

Real-World Example: How a Mid-Sized Bank Reduced Audit Chaos 

A regional bank with over 350 vendors had been relying on Excel trackers and shared folders to manage third party evidence. Every audit cycle brought panic, re-requests, and unclear ownership. 

They introduced automated workflows that: 

• Sent initial evidence requests 90 days before renewal 

• Tracked which vendors responded and what was missing 

• Auto-tagged files by control area 

• Alerted internal teams if a document was expired or missing 

Result: 

• 85% reduction in last-minute evidence scramble 

• 100% audit-ready vendor files 

• 50+ hours saved per quarter 

Getting Started with Evidence Automation 

You don’t need a full GRC overhaul to get going. Start small with: 

• Standardized email templates for reminders 

• A centralized intake form for vendors to upload files 

• A shared dashboard to track evidence status by vendor or category 

Then build toward automation and integration with your TPRM, GRC, or document management tools. 

Pro Tip: Ask for Evidence Once. Use It Many Times. 

Good automation also means good reuse. Store and tag documents so you’re not asking for the same SOC report for every new engagement. 

Key Takeaway 

Chasing down evidence is not a good use of your team’s time, or the vendor’s. Automating the collection, tracking, and expiration process saves effort, reduces errors, and strengthens your TPRM program’s credibility. 

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 Author Bio

Heather Kadavy

Senior Membership Success Coordinator

Heather Kadavy joined the Third Party Risk Association (TPRA) in 2023 as the Senior Membership Success Coordinator. In recent year(s) Heather has been providing freelance TPRM consulting work to various organizations after retiring from a Nebraska financial institution after nearly 35 years where she oversaw and managed critical programs of the organization including Third Party Risk Management, Information Security,

Physical Security, Safety, Business Recovery, Financial Crimes, Model Risk Management, and Enterprise Risk Management.  In her TPRM role she had oversight of over a thousand third party relationships, systems, due diligence reviews and contract management activities.  She developed, facilitated, and implemented training programs for thousands of employees over the years.

Heather is a natural born connector of people and values relationship building at the cornerstone of her career.  She encourages you to connect with TPRA and herself via LinkedIn to join in the "TPRM Global Conversation".