Audit Management – Finding
This article contains: |
1. Overview |
The Finding section of audit management will list down any finding details for a particular audit. There can be several findings for one audit detail. Once an audit is created, observations or improvements for each audit can be added as Findings. Once findings are added, quick recommendations for each finding can be added in the same page.
2. Findings Register |
The findings register will list down all created findings for all audits within the system. Access the findings register by navigating to Menu > Audit Management > Finding. You can configure the fields visible and are searchable in the filter, that are displayed in this register via the Field Configuration section under Audit Settings.
Filter finding details in the register, by clicking on the Filter button at the top-right corner of the window. This will expand the filter window to select criteria in order to filter details. Filters can be configured via the Field Configuration section under Audit Settings.
Export register details on to an Excel sheet once the register is filtered with the details you require, by clicking on the Excel Export button at the top-right corner of the window.
Group register details in the displayed grid by dragging the column you wish to group by, and dropping it on the grid header section.
Note: Within the finding tab of this register, click on a Finding Number link, to take you to a particular Finding detail page, in order to edit or add more details to a finding.
3. Create Quick Findings |
You have an option to add quick findings by entering just the title of the finding, and a finding number will be auto generated. This gives you the flexibility to simply add finding titles and later on add further details to each finding.
You can create a quick finding using the following two windows:
Audit Register
Finding Register
3.1 Quick Finding via Audit Register
To create a quick finding via the Audit Register:
STEP 1: Click on an Audit you wish to add findings to, from the Audit Register, via Menu > Audit Management > Audit.
STEP 2: At the bottom of the page, click on the Add new button in the Finding table, at the bottom of the page.
STEP 3: Enter the 'Finding Title' and click the Save button to save details. Once saved, a 'Finding Number' will be automatically generated. You may add many quick findings for an audit detail.
3.2 Quick Finding via Finding Register
To create a quick finding via the Finding Register:
STEP 1: Navigate to the Finding Register via Menu > Audit Management > Finding.
STEP 2: Click the New button at the top-right corner of the window to open the 'Add New Finding' popup window.
STEP 3: Select the audit you wish to add findings to, from the 'Audit' dropdown, and click the Add new button.
STEP 4: Enter the 'Finding Title' and click the Update button to save details. Once saved, a 'Finding Number' will be automatically generated. You may add many quick findings for the same audit.
Note: Once saved, you will be directed back to the Finding Register page.
4. Create Finding Details |
To add finding details, first you should have added a finding title using one of the quick finding methods. Once a finding title is added and a finding number is generated, then you can add further details to a finding. All fields that are configured to be visible in the Finding Details page via the Field Configuration section under Audit Settings will be listed in this Finding Detail creation page, according to the order and mandatory requirement defined in Field Configurations > Audit Finding tab.
You can create a finding detail using the following two windows:
Audit Register
Finding Register
4.1 Finding Details via Audit Register
To create finding details via the Audit Register:
STEP 1: Click on an Audit you wish to add finding details to, from the Audit Register, via Menu > Audit Management > Audit.
STEP 2: At the bottom of the page, click on a Finding title link you wish to add details to.
STEP 3: Fill in the below details and click on the Save button at the top-right corner of the window.
Field | Description | Mandatory/Optional |
|---|---|---|
Finding Number | A unique number (for a particular audit) automatically generated to identify the finding. The audit finding number will be displayed as a breadcrumb of the audit number as well. Therefore, if you click on the audit number, it will take you to the respective Audit Detail page. Note: In the Findings Register, there can be several finding numbers with the same name, since if there are several audits, each audit will start with the same finding number. As such, this is not a global unique number to all audits, but local to a particular audit. | N/A |
Current Status | Non editable reference field of the audit's current status. | N/A |
Audit Number | Non editable reference field of the audit number. | N/A |
Audit Title | Non editable reference field of the audit title. | N/A |
Audit Year | Non editable reference field of the audit year. | N/A |
Risk Rating | Select the risk rating from a dropdown list. Ratings can be configured via Audit Settings > Audit Risk Rating. See article Framework – Audit Settings to configure a risk rating. Although the risk rating values are taken from the same setup area for audit details, these ratings act as separate values for finding ratings. | Mandatory |
Finding Background | This will be the title of the finding, which you can edit here. | Mandatory |
Finding Details | Enter finding details here. This field can be customised or left as a standard field. | Optional |
Consequences | Enter consequences describing any possible impact for the finding. This field too can be customised or left as a standard field. | Optional |
Business Unit | If required to specify, select the business unit associated with the finding, or use the 'Links' tab, to link this finding to a hierarchy. | Optional |
Directorate | If required to specify, select the directorate under the business unit associated with the finding. | Optional |
4.2 Finding Details via Finding Register
To create finding details via the Finding Register:
STEP 1: Navigate to the 'Finding Register' via Menu > Audit Management > Finding.
STEP 2: Click on a Finding Number link of the finding you wish to add details to.
STEP 3: Fill in the above details listed in the table and click on the Save button at the top-right corner of the window.
STEP 4: In both of the above methods via Audit Register and Finding Register, if you require to add recommendations immediately after adding Finding Details, you may do so at the bottom of the window. These will be treated as Audit Actions with timeframes and responsibilities assigned. Here you may enter only the 'Recommendation Title'. Further details can be entered by clicking on the Recommendation link or by accessing the created finding via the Register page and add more details to the recommendation via the Recommendation tab.
To add a quick recommendation within the Finding Details page, click on the Add new button, fill in details for the recommendation, and click the Save button to save details. Once saved, a Recommendation Number will be automatically generated. You may add many recommendations for a finding detail.
4.3 Attach Documents
This tab's behaviour is the same as in Audit Details. See section Attach Documents in the Audit Management – Audit page.
4.4 Add Linkage
This tab's behaviour is the same as in Audit Details. See section Add Linkage in the Audit Management – Audit page.
4.5 View Finding History
The finding history displays a finding record along with the timestamp in each row, along with all details for each time slot it was saved.
To view the finding history, click on the history icon placed at the top-right corner in the Finding Detail window. The Audit Finding History window will be opened in a new window.
The Finding History window will be opened in a new window.