Create a plan in the Audit Workspace

Create a plan to manage different types of audits in a periodic manner and group engagements in a logical manner.

Before you begin

Activate the Advanced Audit plugin (com.sn_audit_advanced).

Role required: sn_audit_ws.supervisor or sn_audit.manager

About this task

When an audit plan is created and engagements are added to the plan, the plan is sent to the approver for approval.

Procedure

1. Navigate to All > Audit > Audit workspace > Planning > All Plans.
2. Optional: Alternatively, navigate to Audit > Audit workspace > Planning > My Plans.
3. Select New.
4. On the form, fill in the fields.

   Table 1. Plan form

   Field	Description
   Number	Unique number of the plan.
   Name	Name of the plan. For example, Annual Audit Plan for Payroll.
   Type	Type of the plan. The choices are: None Internal Audit Plan External Audit Plan SOX Audit Compliance Audit Plan Vendor Audit Plan Customer Audit Plan
   State	State of the plan. The default state is Draft.
   Substate	Substate of the plan. The value in this field changes based on the workflow.
   Description	Brief description of the plan.
   Objectives	Objectives of the plan.
   Schedule
   Timeframe	Duration of the plan. The choices are as follows: Annual Semi-annual Quarter Other
   Start date	Date the plan begins.
   End date	Date the plan ends. This field is automatically set based on the choice made in the Timeframe field. If the Timeframe field has Other, then enter an end date manually.
   Assignment
   Owning group	Group responsible for owning the plan.
   Owner	Plan owner.
   Approvers	People who must approve the plan.
   Expenses
   Budgeted expenses	Budget allocated for the engagements under the plan.
   Planned expenses	Rolled up planned expenses from the engagements.
   Actual expenses	Rolled up actual expenses from the engagements.
   Expense notes	Notes about the expense details.
   Resources
   Budgeted resources	Number of hours allocated for the engagements under the plan.
   Planned resources	Rolled up planned resources from the engagements.
   Actual resources	Rolled up actual resources from the engagements.
   Resource notes	Notes about the resource details.
   Activity
   Work notes	Notes for this plan. These notes are for internal use and aren’t visible to the customers.
   Additional comments (Customer visible)	Additional comments about the plan that are visible to the customer.

5. Save the form.
   You can monitor the state of the plan in the stepper of the Overview page as it progresses through the plan process flow.
6. In the Engagements related list, do one of the following.
   • To add engagements, select New.
   • To add existing engagements, select Add.
7. Select Request approval.
   The state changes from Draft to Awaiting approval.

Result

The plan is sent for approval to the approver. After the plan is approved, the form displays the Approved by and Approved on fields with the values automatically set.