Performing an Audit
- Initiating the audit
- Preparing audit activities
- Conducting the audit activities
Whilst conducting audit activities, audit details can be adjusted, findings can be logged and an audit summary produced. Additional activities to monitor the status of a finding are also recorded, depending on the finding type and its status levels
Audit Summary
A free format summary may be written using a document editor. This editor allow text to be normal, bold, underlined or in italic format.
For ease of use the screen can be increased to full size and the content saved as required.
If the security settings within your browser does not allow access to your clip board, it may not be possible to cut n paste into the summary. To overcome this, the material that you have copied can be pasted in to an editor window and subsequently included within the summary text when the OK option is selected.
Findings
Finding may also be logged or edited directly by selecting Audit and Action Management>Findings
A summary of all findings recorded is listed and may be edited by selecting the Audit Finding Name or a new finding may be raised by selecting the Raise Finding Menu Option.
It should be noted when raising a finding directly through this route will only allow finding types that are not linked to an audit to be selected.
To raise findings for an audit you must first select the relevant audit that the finding related to, first select the Audit and Action Management>Audit Menu, select the relevant audit and then select the Raise Finding Menu Option
Raise a finding
Each finding must be given a name, ideally a unique name, that might be easily identify and linked back to the original audit.
As a minimum the type of finding must be defined (these type would have been set up previously Audit and Action Management>AAM SetUp>Finding Types) Each finding provides the facility to log a description, the owner and division of the finding by selecting a drop down facility.
A clause or control may also be associated with the finding, by selecting a drop down facility, which lists all the clauses and controls originally selected as part of the audit planning process. Occasionally after following an audit trail it may be necessary to report a finding based on a different control, this may be done by selecting the Show all Controls and Clauses Menu. Once this options is selected it is possible to toggle between a list of clauses or a list of controls and select the one you require.
Note the option to select alternative controls needs to be selected first, otherwise all the other details entered may be lost.
Managing Findings
Once the initial finding details are recorded and submitted, additional details may be edited by selecting the individual finding from the findings summary menu. The details that need to be completed will be dependent on the status details initially set up for the finding type.
Depending on the finding type and the status levels associated with the finding type it is possible to collect additional information, monitor and record further analysis (such as undertaking a root cause analysis), monitor and record risk treatment, corrective or improvement action, adjust the maturity level of a control.
View Controls and View Clauses
To complete an audit findings must be reported for all the clauses and controls selected in the original audit plan. This may be a simple finding to confirm that the clause or control was not covered and needs to be rescheduled.
By selecting the Audit and Action Management >Audits>Audit Controls or the Audit and Action Management >Audits>Audit Clauses Menu a list of all the relevant clauses and controls will be displayed, showing whether findings have been raised, in progress or complete. By clicking on each individual clause or control, a list of the relevant findings will be displayed, allowing them to be edited and updated as appropriate. From this screen it is possible to toggle back to look at all Findings by selecting the View All Findings menu
Back to Audit and Action Tracking