Executing a risk and control plan audit
 |
 |
 |
 |
 |
Prerequisites
- Access to the Execution > Audit execution (AU013) menu.
- Access to the My tasks > Audit > Audit execution menu.
- Previously created audit, with finished planning.
Introduction
In addition to planning risk and control plan audits in the system, it is also possible to execute them and record their results.
Audits can be executed through the Audit execution (AU013) menu or through the Audit execution to-do task, accessed from the My tasks menu. Remember that this task will be available to the parties responsible for executing the audit, which are defined in the configurations of the category.
See how to execute a risk and control plan audit in the system:
Executing a risk and control plan audit
Buttons available in the Working paper tab
It is possible to use the side toolbar buttons, in the Working paper tab, to perform some actions:
 |
Click on this button to access the working paper screen and perform an evaluation. |
 |
Click on this button to access the result of the selected object. |
 |
Click on this button to unblock the record. The audit will remain blocked while a user is editing structure data or working paper data. |
 |
Click on this button to generate a filled report for the working paper. |
The working paper will only be available when the execution of the audit has the In progress status.
• See more details on how to add attachments when evaluating requirements.
• Refer to the Defining the scope of a risk and control plan audit article for more details on adding new items to the structure.
• Occurrences can only be associated with lowest level objects, that is, those that do not have other objects linked to them in the scope structure.
• Occurrence association will only work correctly if SoftExpert Action plan and SoftExpert Workflow are part of the solutions acquired by your organization.
• For more details on creating isolated actions, action plans, and workflows, refer to the documentations of the Action plan and Workflow components.
• If, in the evaluation criterion configurations, it has been determined that adding evidence is mandatory for a certain conformity level, it will not be possible to finish the working paper evaluation without inserting a piece of evidence when this conformity level is selected.
• If the approval step has been defined in the category, the Approval tab will be displayed in view mode during the execution.
Evaluating objects without accessing the working paper
Upon starting the execution of the audit, it is possible to evaluate individually the objects associated with the audit scope, without accessing the working paper.
1. Access the Execution > Audit execution (AU013) menu or the My tasks > Audit > Audit execution menu.
2. Select the audit whose result you wish to insert.
3. In the third quadrant of the screen, select the Working paper option in the Display field.
4. In the Audited object column, select the object you wish to evaluate and click on the side toolbar button.
5. On the screen that will open, select the conformity level of the object and fill in the fields below:
| Value | Enter a value for the object. This field will only be enabled for current result criteria that have variable value classification. |
| Positive points | Enter the positive points of the audit. |
| Negative points | Enter the negative points of the audit. |
6. Click on the Save and next button to evaluate the following scope structure item; or click on the Save and close button to record the data and close the screen.
If the object has already been evaluated in the working paper, the result will be shown inserted, but it will be possible to edit the data and redo the evaluation.
Conclusion
After evaluating the objects and entering the result, it is possible to finish the risk and control plan audit.