Creating an internal auditor
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Prerequisites
- Access to the File > Internal auditor (AU005) menu.
- User previously registered in SoftExpert Administration.
- Requirements previously created in SoftExpert Requirement.
Introduction
An auditor is a professional who assesses an organization's processes, records, and operations to ensure compliance with norms and regulations.
Their roles include analyzing internal controls, identifying risks, suggesting improvements, issuing reports, and tracking the implementation of adjustments.
In short, it can be said that an auditor is someone trained to carry out a quality audit.
An internal auditor, in their turn, performs the roles of an auditor, but acts as an employee of the organization, or is tied to it economically.
Compared to an external auditor, their main difference is in the relationship of employment dependence on the company where they carry out the audit.
SoftExpert Audit provides a menu that allows for adding all the organization's internal auditors.
See how to perform this operation:
Creating an internal auditor
Additional information
General tab
• See further details on creating users by clicking here.
• Learn more about creating teams by clicking here.
Requirement tab
• For more information about requirements and how to create them, refer to the SoftExpert Requirement manual.
• After requirements are associated, some buttons are enabled on the side toolbar:
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Click on this button to edit the association between a requirement and an internal auditor. |
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Click on this button and, on the screen that will be displayed, locate and select the requirement you wish to associate with the internal auditor. To select more than one requirement at a time, use the CTRL or SHIFT key on the keyboard, or the check mark next to each record. |
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Click on this button to disassociate a requirement. Select the desired record before clicking on this button. |
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Click on this button to enable or disable the selected record. |
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Click on this button so that the auditor can be designated as the leader of the selected requirement. Once this button is clicked, the L (Leader) column in the Requirement tab will be filled in. |
Attachment tab
Use this section to add attachments related to the internal auditor. See more details on adding attachments by clicking here.
• An internal auditor can only execute an audit referring to the requirements that are associated with them.
• If the Allow acting as lead auditor option is not enabled when the association of a requirement with the internal auditor is edited, or if leadership permission is not granted through the button, the internal auditor will not be allowed to be designated as lead auditor for that requirement on the data screen of an audit.
Conclusion
Once internal auditors are added, they can be associated with audit templates and audits created in the system.