Create an audit engagement in Audit Workspace

  • Release version: Washingtondc
  • Updated February 1, 2024
  • 3 minutes to read

    • Create an engagement in the workspace and assign it to an audit supervisor. Use the workspace to schedule the engagement, plan the details, and budget the expenses.

    Before you begin

    Role required: sn_audit.manager, sn_audit_ws.supervisor

    About this task

    As an audit supervisor you can create an engagement to manage the audit information and collect entities, controls, and control tests that are relevant to the audit. You can supervise the audit engagement, monitor its execution, and ensure its completion on time as directed.

    Procedure

    1. Navigate to All > Audit > Audit Workspace.
    2. Click the Create list and select Engagement from the Home page.
      You can also create an engagement by navigating to the Audit workspace List page.
      1. Click the lists icon (List icon.).
      2. Click All engagements or My engagements in the Execution list.
      3. Click New.
    3. On the form, fill in the fields.
      Table 1. Create New Engagement form
      Field Description
      Number Unique identification number of the engagement.
      Name Name of the engagement.
      Type Audit type based on its specific use in the engagement.
      State State of the engagement. The default state is Scope.
      Fieldwork complete (%) Percentage of the engagement that is complete.
      Description General description of the engagement.
      Objectives Stated objectives of the engagement.
      Assignment
      Engagement lead Audit supervisor who oversees and completes the engagement as per directions.
      Auditors Auditors assigned to the engagement.
      Approvers Approvers assigned to the engagement.
      Engagement schedule
      Fieldwork planned start Estimated start date of the engagement.
      Fieldwork planned end Estimated end date of the engagement.
      Fieldwork planned duration Number of days and hours planned for fieldwork. The duration and planned start date of fieldwork are used to calculate the planned end date. If audit tasks are defined, this field is automatically set to the longest planned duration from the audit tasks.
      Fieldwork actual start Actual start date of the fieldwork. If audit tasks are defined, this field is automatically set to the earliest actual start date from the audit tasks.
      Fieldwork actual end Actual end date of the fieldwork. If audit tasks are defined, this field is automatically set to the latest actual end date from the audit tasks.
      Fieldwork actual duration Duration of fieldwork start date and end date.
      Plan details
      Parent plan Plan that is to be associated with the engagement.
      Start date Start date of the plan.
      End date End date of the plan.
      Expenses and resources
      Budgeted expenses Calculated expenses for the engagement.
      Planned expenses Estimated expenses for the engagement.
      Actual expenses Actual expenses incurred.
      Budgeted resources Budgeted resources for the engagement, in days,hours, minutes, and seconds.
      Planned resources Estimated resources for the engagement, in days,hours, minutes, and seconds. If resource plans are defined, this field is automatically set.
      Actual resources Actual resources for the engagement, in days,hours, minutes, and seconds.
      Results
      Result Results of the engagement. The choices are as follows:
      • Satisfactory
      • Adequate
      • Inadequate
      Opinion Justification for the selected result.
      Report
      Report template Template used to generate the knowledge base article that reports the engagement results.
      Report knowledge base Knowledge base to be used.
      Report Report that contains the engagement results.
      Activity
      Additional comments Comments that customers can also view.
      Work notes (Private) Comments that only the administrator and audit supervisor can view.
      Confidentiality
      Confidential Option to enable confidentiality of the record. Only the assigned confidential users or confidential groups of users can access the record.

      For more information on the confidential option, see Confidentiality flag for audit and compliance records.
    4. Click Save.
      You can define the entities that are involved in the audit engagement.
    5. From the Overview page, click the Other issues tab.
      You can add existing one or more related issues to the engagement that you created. By mapping the existing issues to the engagement, you can reduce the count of open issues.
      1. Click the Add button.
      2. Select a related issue or issues from the Issues pop-up.
      3. Click Add.
        The selected issues are added to the engagement as related issues and an m2m relationship is created between the engagement and the issues in the Issue to Engagement [sn_grc_m2m_issue_engagement] table. You can also create an issue for the engagement by clicking the New button, which takes you to the Create New Issue form.
      4. To remove an issue that is mapped to the engagement, select the issue and click Remove.
        The remove action only removes the mapping or the association between the engagement and the issue in the m2m table and does not delete the issue record.
        Note:
        The UI action buttons such as New, Add, Remove are not available if the engagement is in the Retired state.