Add entities to an engagement scope and validate the engagement

Add entities related to the selected auditable units to the engagement. In addition, you can also add entities other than the ones created for auditable units to the engagement.

Before you begin

Role required: sn_audit.manager, sn_audit_ws.supervisor

About this task

During the Scope state, as an audit supervisor you can define which entities are involved in the audit engagement. For example, for a financial audit, you can include all business services that the finance department relies on and the finance department itself.

When you add an entity to an engagement, the corresponding risks, controls, test plans, and indicator results of the entity are also added to the engagement.

Procedure

1. Navigate to All > Audit > Audit Workspace.
2. Click the lists icon ().
3. Click All engagements or My engagements in the Execution list.
   You can scope entities to an engagement that is in Scope state.
4. Click the link to the engagement record in the Name column.
   The engagement record details open in the Overview tab.
5. Click the Entities related list.
6. Click the Add auditable units button.
7. In the Auditable units pop-up, select the desired entities that are included in the audit engagement.
   These auditable units are those that have entities already created.
8. Click Add.
   If there are risks and controls, test plans, and indicator results associated with an entity then they appear in their respective sections.

   Risks, controls, and test plans are automatically added if the engagement is already in the Validate state. Other related items are added only when you click Validate or Validate and plan button.

   Note:

   If you do not have GRC: Advanced Audit application installed, only then the Validate button appears, otherwise the Validate and plan button appears.

   After adding the auditable units as entities to the audit engagement, you can validate and plan the engagement.

9. To add entities other than the ones created for auditable units, click the Add other entities button.
   Note:

   If you have GRC: Advanced Audit application installed, only then the Add auditable units and Add other entities fields appear. Otherwise, an Add button appears in the page.
10. Click the Validate and plan button.
    After an engagement has moved to the Validate state, all the risks, controls, and test plans associated with the entities in the engagement's scope are associated with the audit. Only direct controls and risk for the entities will get scoped in the audit when the engagement moves to Validate state. Indicator results that were collected during the audit period of the engagement are also associated with the audit.

    As an audit supervisor, you can review the risks, controls, test plans, and indicator results, and update the scope of the engagement, if necessary. You can also begin creating and planning audit tasks for the engagement.