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Audit Execution - Creating an Objective
What is the purpose of this article?
To provide users with the steps for creating objectives
The Audit Execution stage is completed alongside the Audit Steps and forms the bulk of the work an Auditor is expected to do. The [Audit Execution] screen is accessed through the [Audit Work] navigation pane and is made up of the Objectives, Risks, Controls and Tests for that Audit.
When launching an Audit, the Milestones and Steps are imported into the [Audit Work] screen, but Objectives must be manually created, or they can be imported from the Library or another Audit/Entity.
This article will provide you with the necessary steps to create an objective manually within the application.
How to Manually create an Objective?
From the Home screen, navigate to the Audit Work screen by clicking Universe
Select Audits
Double click on the Audit you wish to create objectives for.
Now Click on Audit Execution to display the list of Objectives associated with that audit.
Use the Display drop down options on the Ribbon to display Objectives
Right click the data grid and select Add Objective from the menu.
The "Properties" panel should now be visible on the right side of the screen. Populate the fields appropriately. Details of the fields listed within the Properties Panel are listed below. Mandatory fields are listed in bold.
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Entity Process |
The Entity Process the Objective will belong to |
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Sub Process |
The Sub-Process the Objective will belong to |
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Ref |
A unique reference for the Objective |
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Title |
The Title of the Objective |
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Description |
Give the Objective a description. This is a Rich Text Field |
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Category |
Assign the Objective to a specific category |
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Business Owner |
A relevant contact in the organization, usually the person responsible for the Risk |
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Post Audit |
(Post Audit Work) |
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Locked |
Tick if you wish to prevent the definition from being modified within the Audit |
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Scope State |
Is the Objective Relevant? In Scope will require the Objective to be completed |
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Comments |
comments on the Objective work |
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Sign off State |
the sign off state shows whether the Objective is open/completed/approved. It is only possible to edit the Objective and its children when it is open. |
Then select Save.
How to Import an Objective from the Library or another Audit?
To import Objectives from the Objectives library or from another Audit/Entity, please follow the steps outlined below:
- From the Home screen, navigate to the Audit Work screen by clicking Universe, then Audits.
- Double click on the audit you wish to open
- Click on Audit Execution to display the list of Objectives associated with that audit.
- Use the Display drop down options on the Ribbon to display Objectives
- Right click and select Get / Update, then select From Library, Please note: Objectives may also be imported from the Entity or from other Audits.
- Use the navigational arrows to navigate through the Entities. Select the Objectives you wish to import.
Objectives within this screen are sourced from the Objectives Library. - Click Ok
The Objectives should now be listed within the Audit Execution screen. Risks, Controls and Tests can be added to the Objective in the same way.