Create a plan in the Audit Workspace
Create a plan to manage different types of audits in a periodic manner and group engagements in a logical manner.
Before you begin
Activate the Advanced Audit plugin (com.sn_audit_advanced).
Role required: sn_audit_ws.supervisor or sn_audit.manager
About this task
When an audit plan is created and engagements are added to the plan, the plan is sent to the approver for approval.
Procedure
Navigate to All > Audit > Audit workspace > Planning > All Plans.
Alternatively, navigate to Audit > Audit workspace > Planning > My Plans.
Select New.
On the form, fill in the fields.
| Field | Description |
|---|---|
| Number | Unique number of the plan. |
| Name | Name of the plan. For example, Annual Audit Plan for Payroll. |
| Type | Type of the plan. The choices are:- None - Internal Audit Plan - External Audit Plan - SOX Audit - Compliance Audit Plan - Vendor Audit Plan - Customer Audit Plan |
| State | State of the plan. The default state is Draft. |
| Substate | Substate of the plan. The value in this field changes based on the workflow. |
| Description | Brief description of the plan. |
| Objectives | Objectives of the plan. |
| Schedule | |
| Timeframe | Duration of the plan. The choices are as follows:- Annual - Semi-annual - Quarter - Other |
| Start date | Date the plan begins. |
| End date | Date the plan ends. This field is automatically set based on the choice made in the Timeframe field. If the Timeframe field has Other, then enter an end date manually. |
| Assignment | |
| Owning group | Group responsible for owning the plan. |
| Owner | Plan owner. |
| Approvers | People who must approve the plan. |
| Expenses | |
| Budgeted expenses | Budget allocated for the engagements under the plan. |
| Planned expenses | Rolled up planned expenses from the engagements. |
| Actual expenses | Rolled up actual expenses from the engagements. |
| Expense notes | Notes about the expense details. |
| Resources | |
| Budgeted resources | Number of hours allocated for the engagements under the plan. |
| Planned resources | Rolled up planned resources from the engagements. |
| Actual resources | Rolled up actual resources from the engagements. |
| Resource notes | Notes about the resource details. |
| Activity | |
| Work notes | Notes for this plan. These notes are for internal use and aren’t visible to the customers. |
| Additional comments \(Customer visible\) | Additional comments about the plan that are visible to the customer. |
Save the form.
You can monitor the state of the plan in the stepper of the Overview page as it progresses through the plan process flow.
In the Engagements related list, do one of the following.
- To add engagements, select New.
- To add existing engagements, select Add.
- Select Request approval.
The state changes from Draft to Awaiting approval.
Result
The plan is sent for approval to the approver. After the plan is approved, the form displays the Approved by and Approved on fields with the values automatically set.