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Audit Plans

Add Audit Plan​

To add an audit plan, use the following steps:

  1. Navigate to Auditor
  2. Select Audit Plans, the user will be presented with a list of Audit Plans
  3. Click Add Audit Plan button, a window will open and the user can add the information for the audit plan
  4. Type in the Title (required)
  5. Using the drop down select the Audit Type (required)
  6. Click on the Department field and select department
  7. Click on the Location field and select a location (required)
  8. The Status will be in Draft, when all of the audit in the plan have been approved the status will change
  9. Using the drop down, select the Program Owner (required)
  10. Using the drop down, select the Lead Auditor
  11. Using the drop down, select the Audit Sponsor
  12. Add the Scope of the Audit Plan
  13. Add Approval Comments
  14. Click OK when all information for the plan has been filled in

The Audit Plan will be in the grid.

Edit an Audit Plan​

  1. Navigate to Auditor
  2. Select Audit Plans, the user will be presented with a list of Audit Plans
  3. Click Edit icon to the right of the column named Created On, a window will open
  4. Make any changes to the audit plan
  5. Click OK, the changes will be updated in the database

Delete an Audit Plan​

  1. Navigate to Auditor
  2. Select Audit Plans, the user will be presented with a list of Audit Plans
  3. Click Delete icon to the right of the column named Created On, the Audit Plan will be removed from the grid

Approve the Audit Plan​

To approve the audit plan, do the following:

  1. Navigate to Auditor
  2. Select Audit Plans, the user will be presented with a list of Audit Plans
  3. Click Edit icon to the right of the column named Created On, a window will open
  4. Using the drop down for Status, set the status to Approved. This approves the audit plan, however, audit can be added to the plan at a later date during the calendar year.
  5. Add Audits to an Audit Plan

To add audits to an Audit Plan, follow these steps:

  1. Navigate to Auditor
  2. Select Audit Plans, the user will be presented with a list of Audit Plans
  3. Highlight the audit plan to add audits by clicking on the plan, the bottom of the page will open called Scheduled Audits
  4. Click the Create New Audit button to the right of the Scheduled Audits title, a Proposal window will open
  • In the Proposal Window, enter the Title (required)
  • Enter the Prefix (required)
  • Enter the Audit Type (required) from the drop down
  • Enter the Target Start Date and the Target End Date
  • Select a Location (required) from the field
  • Select a Department from the field
  • Click the Rank Audit button to perform risk ranking
  • Check the box if this audit is a "Must Do"
  • Using the drop down, select the Lead Auditor
  • Using the drop down, select the Audit Sponsor
  • Enter a numeric value for Projected Man Days
  • Enter the Scope of the Audit
  • Click Save under the Record Options, the draft audit will save and the user will have to opportunity to add more audits by clicking the Go to Audit Plans or add Team Members, Protocols, Attachments, etc.

Once the audit details are completed, click the Send for Approval under the Record Options. Click to Go to Audit Plans to continue to add audit to the audit plan.

The audit will be added to the Scheduled Audit grid which resembles a Gantt chart.

If the audit has overlapped with a resource, to edit the details click on the Reference ID. Update any of the details and click Save under the Record Options.

Delete an Audit from an Audit Plan​

To remove an audit from an audit plan, follow these steps:

  1. Navigate to Auditor
  2. Select Audit Plans, the user will be presented with a list of Audit Plans
  3. Highlight the audit plan to display the Scheduled Audits.
  4. Click on the Reference ID Number to open the draft proposal details. The user may also expand the column to the right of the must do and a delete icon will be displayed.
  5. Under Record Options, click Delete Audit
  6. A confirmation message will be displayed asking the user to confirmation deletion.
  7. Click OK
  8. To go back to the Audit Plan, click the Go to Audit Plans

Approve Audit in an Audit Plan​

To approve audits in an audit plan, use the following instructions:

  1. Navigate to Auditor
  2. Select Audit Plans, the user will be presented with a list of Audit Plans
  3. Highlight the Audit Plan to approve audits.

There are two ways to approve an audit for the plan. To approve the audit on the Audit Plan page, click on the approve icon to the right of the Must Do column. To see more details, click on the reference number and under Record Options, click the Approve Audit icon. The approve icon will be grayed out and the Auditor can add additional details and the work flow in the audit has the Approval step checked off as completed and will be on the Conduct step.

Note

The user must have the appropriate permissions to approve audits and the audit plan.

The user is now ready to start the approved audit.