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Creating an audit plan

This article is valid for the new Audit plan (AU002) unified menu in system version 3.0.

  • Access the release notes for further details about the significant changes in the unification of the menu.
  • Click here to access the documentation valid for the old audit plan creation menu.
 

 

Prerequisites

 

Introduction

The system allows for using audit plans to automate the generation of recurring audits, ensuring greater organization, consistency, and traceability throughout the auditing process. 

Moreover, it makes it possible to plan audits beforehand, define the frequency of their execution, and track their history, optimizing time and ensuring compliance with the organization's normative and internal requirements.

See how to create audit plans:

 

Creating an audit plan

1. Access the Audit plan (AU002) menu.

2. Click on the arrow next to the +Create button.

3. Select the desired option:

  • From a template: the configurations of a given audit template will be imported into the audits of the plan. Search for and select the template to be copied.
  • From an audit: the configurations of a given audit will be imported into the audits of the plan. Search for and select the audit to be copied.

4. Click on the Save button.

User following the steps described above to create an audit plan.

5. On the screen that will open, the ID # and name of the plan will be automatically defined by the system with the data of the template or of the selected audit, but this information can be changed.

6. In the Execution configuration grouping, adjust the recurrence of the plan:

Recurrence pattern

Select the desired frequency for the recurrence of the audit plan:

  • Weekly: the audit will occur every certain number of weeks or on specific days. In the Every ___ week(s) on, enter the desired number of weeks and then check the days of the week corresponding to the days on which the activity will occur. For example: every 1 week on Monday, Wednesday, and Friday.
  • Monthly: the audit will occur on a specific day of the month. To this end, select one of the following options:
    On the __ every month(s): the audit will occur on a specific day every certain number of months. For example: on the 15 every 1 month.
    The ___ every __ month(s): the audit will occur on a specific day of the week every certain number of months. For example: the last Wednesday every 1 month.
  • Yearly: the audit will occur on a specific day of the year. To this end, select one of the following options:
    On ___: the audit will occur on a specific date of the year. For example: on June 29.
    The ___ of ___: the audit will occur on a certain day of the month in the year. For example: the last Wednesday of June.
Range of recurrence

Define the period during which the audit recurrence will be applied:

  • Starts on: this field is filled in by the system with the audit start date, but it can be edited. In this case, enter the date as of which the audit recurrence will be valid, and then select one of the following options to define the end of the recurrence:
    Ends after __ occurrences: the recurrences of the audits of this type will end when they reach a certain number of occurrences. Specify this quantity.
    Ends on __: enter a specific date on which the recurrence of the audit will end.
    Indeterminate end date: the recurrences of the audits within this plan will not have a specific deadline to be closed.
  • Generate retroactive recurrences: check this option so that it is possible to expedite the retroactive creation of already executed audits. This resource allows for recording, for example, audits that have been previously executed outside the system.
Generate activities in the step of Choose whether the activities referring to the audit of this plan will be generated in the Planning, Preparation, or Execution step. Then, in the Create before ___ (days) field, enter how many days in advance the audit will be generated by the system.
The "Audit plan data" screen is open on the General data tab.

7. Enter, in days, the duration of the planning, preparation, execution , and closure steps.

8. Click on the Save button.

9. Insert the other information of the plan. Refer to the articles listed below for more details on adding information referring to plans for requirement audits and for risk and control plan audits:

If an identification mask has been configured in the category associated with the template or audit, the corresponding mask will be displayed when the automatic ID # is generated. The ID # generated through the mask can only be edited if the Enable generated ID # change option is checked on the category data screen.

Click here for more information on identification masks.

 

 

Generating future audits

After creating the plan, it is possible to use the Audits tab to advance the creation of audits, for the purposes of generating reports, charts, and studies.

1. Access the Audit plan (AU002) menu.

2. Select the plan in which you want to generate the audits, click on(More), and then on Open data.

3. Access the Audits tab.

4. Click on the Generate future audits button.

5. Select one of the available options:

Add ____ audit(s) Select this option to enter the number of audits you want to add to the audit plan.
Create until Select this option to enter the limit date for the creation of future audits.

6. Click on the Save button.

User following the steps described above to generate future audits.

7. Once the audits are generated, some buttons will be enabled on the side toolbar:

Unlink icon. Click on this button to delete the audit selected in the list of records.
Structure icon. Click on this button to view the requirement screen of the criterion referring to the audit selected in the list of records.
Result icon. Click on this button to view the result of the audit selected in the list of records.
View icon. Click on this button to view the data screen of the audit selected in the list of records.

 

Conclusion

All done! Now you know how to create recurring audits using audit plans.

Related articles:

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Index

Prerequisites Introduction Creating an audit plan Generating future audits Conclusion

Requirement audit

Risk and control plan audit

Audit project

Advanced resources

New features