Audit Management – Audit
This article contains: |
1. Overview |
The objectives of audit management is to evaluate the current resource management, suggest improvements, and to lay down standards for future performance by documenting any audits; thereby having a reference for any recorded audits. Once an audit is created, observations or improvements for each audit can be added via the Findings tab, and recommendations for each audit can be added via the Recommendations tab.
2. Audit Register |
The audit register will list down all created audits within the system. Access the audit register by navigating to Menu > Audit Management > Audit or Menu > Workspace > Audit. You can configure the fields visible and are searchable in the filter, that are displayed in the audit registers via the Field Configuration section under Audit Settings.
Filter audit details in the register, by clicking on the Filter icon 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.
Notes:
Within the audit register, click on an Audit Number link, to take you to a particular audit detail page, in order to edit or add more details to an audit.
Audits that have been signed off, will be in an 'inactive' state and will not be listed in the audit register, unless filtered under the Current Status field for 'Inactive' audits.
3. Create an Audit |
All fields that are configured to be visible via the Field Configuration section under Audit Settings will be listed in the audit creation page, according to the order and mandatory requirement defined in Field Configurations > Audit Detail tab.
To create an audit, follow the steps below.
STEP 1: Navigate to Menu > Audit Management > Audit or Menu > Workspace > Audit.
STEP 2: Click the New button in the top-right corner of the window to open the create audit detail window.
STEP 3: Fill in the below details and click on the Save button at the top-right corner of the window. Once saved, an auto audit number will be generated and will let you add Finding details if necessary.
Field | Description/Instructions | Mandatory/Optional |
|---|---|---|
Current Status | Current Status of the audit is displayed automatically. Note: Once the user creates the audit, an 'Active' checkbox will appear because there are no dependency findings and recommendations for that audit. You can change the active status of an audit by unticking this checkbox. | Mandatory |
Audit Type | Choose whether the audit is OHS (external) or GOV (internal). Currently, only two audit types can be selected. | Mandatory |
Audit Number | Automatically generated number to uniquely identify the audit. The prefix part of this numbering system is configured via Audit Settings > Numbering System. See article Framework – Audit Settings to configure a prefix. | Mandatory |
Audit Title | Enter a title for the audit. | Mandatory |
Audit Year | Select the audit year from a dropdown list to which the audit you are creating, belongs to. | Mandatory |
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. | Mandatory |
Audit Entity | Select the audit entity from the dropdown list. Entities can be configured via Audit Settings > Audit Entities. See article Framework – Audit Settings to configure audit entities. | Mandatory |
Audit Category | Select the audit category from the dropdown list. Categories can be configured via Audit Settings > Numbering System. See article Framework – Audit Settings to configure categories. | Mandatory |
Audit Firm | Select the audit firm your organisation is involved with from the dropdown list. Firms can be configured via Audit Settings > Audit Firms. See article Framework – Audit Settings to configure firms. | Mandatory |
Responsible Officer | Assign a single point of contact/owner for this audit by selecting from the staff dropdown, the person responsible for monitoring and reporting on the status of the audit. Furthermore, the responsible officer will have access rights to edit the audit, finding, and recommendations. | Mandatory |
Secondary Responsible Officer | Select one or more secondary responsible officers from the multi-select staff dropdown. | Optional |
Audit Status | Select from one of the audit statuses that are configured by your organisation. Statuses can be configured via Audit Settings > Audit Status. See article Framework – Audit Settings to configure a status. | Optional |
Plan Date | Select the estimated planned date for the audit via the calendar control. | Optional |
Start Date | Select the actual start date of the audit via the calendar control. | Optional |
End Date | Select the actual end date of the audit via the calendar control. | Optional |
Plan Document | Enter a unique number for the Plan Document. This creates a link to the detailed audit report. Additionally, this link is visible in the Recommendation page. Note: To setup this feature, CAMMS requires your organisation's document management system URL. Once this is configured, a unique number is assigned. Specify the number in this field to create the link. | Optional |
Audit Committee Meeting Date | Select a date for the audit committee meeting via a calendar control. | Optional |
Final Report Document | Enter a reference number to the Final Report. This creates a link to the final audit report. This link is also visible in the Recommendation page. | Optional |
Final Report Date | Select the due date of the final report of the audit. | Optional |
Business Unit | If required to specify, select the business unit associated with the audit, or use the 'Links' tab once saved, to link this audit to a hierarchy. | Optional |
Directorate | If required to specify, select the directorate under the business unit associated with the audit. | Optional |
STEP 4: Once saved, an audit number consisting of the prefix will be generated. The last two digits added after the hyphen (-) will indicate if this audit was duplicated via Audit Settings > Audit Duplicate (see article Framework – Audit Settings on how to duplicate an audit).
STEP 5: If you require to add findings immediately after creating an audit, you may do so at the bottom of the window, once an audit is saved. Here you may enter only the Finding Title. Further details can be entered by clicking on the Finding link or by accessing the created audit via the Register page and add more details to the finding via the Finding tab.
To add a quick finding within the Audit Details page, click on the Add new button in the Finding table at the bottom of the page, fill in details for the finding, and click the Save button to save. Once saved, a Finding Number will be automatically generated. You may add many findings for an audit detail.
3.1 Attach Documents
Once an audit is saved, you will be able to attach documents to the audit via the 'Documents' tab. Click on the New button to attach a new document. There are three types of documents that can be attached to an audit--Files, Content Manager links, Other links.
Edit an attached document, by clicking on the Edit button in the right-hand corner next to the uploaded document.
Delete an attached document, by clicking on the Delete button in the right-hand corner next to the uploaded document.
File Upload – Upload various file types up to a maximum of 10MB for each file. The permitted file types will be displayed in a label below the dropdown.
To upload a file type:STEP 1: Click on the New button placed at the top-right corner of the window.
STEP 2: Select 'File Upload' from the Upload Type dropdown.
STEP 3: Click the Select Files button and browse to the location of the file to be uploaded.
STEP 4: Give a 'Title' and 'Description' for the uploaded file.
STEP 5: Click the Upload button.
Trim Link (Content Manger) – If there is Content Manager integration in the database, then items coming from the audit into it, would show up here once added. You need to setup integration to your document management system via Menu > Administration > Configuration > Settings, prior to using this feature.
To upload a Content Manager link:STEP 1: Click on the New button placed at the top-right corner of the window.
STEP 2: Select 'Trim Link' (Content Manger link) from the Upload Type dropdown.
STEP 3: Enter the 'Trim Number' (Content Manger number) from your document management system.
STEP 4: Give a 'Title' and 'Trim Description' (Content Manger description) for the Content Manager link.
STEP 5: Tick the Always Show Latest Document to display the latest document from your Content Manager system.
STEP 6: Click the Add button.
Other Link – If you wish to upload any other link, you may do so by selecting this option.
To upload other links:STEP 1: Click on the New button placed at the top-right corner of the window.
STEP 2: Select 'Other Link' from the Upload Type dropdown.
STEP 3: Enter the link URL you wish to display.
STEP 4: Give a 'Description' for the uploaded link.
STEP 5: Click the Add button.
3.2 Add Linkage
Once an audit is saved, you will be able to add links to the audit via the 'Links' tab. Here you will be able to link audits with various other items (e.g. risks).
To add a linkage:
STEP 1: Click on the New button placed at the top-right corner of the window.
STEP 2: Select a link type (e.g. Risk) from the Create a New Linkage dropdown.
STEP 3: Select a risk type (if Risk was the link type) from the Risk Type dropdown.
STEP 4: This will list down related hyperlinked titles for the selected link type. Click on the Link checkbox to establish a link between the two. You may select as many links you wish, for linkage.
STEP 5: Click the Save button place at the top-right corner of the window.
STEP 6: The linked item will then be listed at the bottom of the window. (If Risk was the link type, there will be a Risk section below). You may delete the linkage at any time by clicking the Delete button, placed at the right of the linked item at the bottom of the window.
3.3 View Audit History
The audit history displays an audit record along with the timestamp in each row, along with all details for each time slot it was saved.
To view audit history, click on the History button placed at the top-right corner in the Audit Detail window. The Audit Detail History window will be opened in a new window.
The Audit Detail History window will be opened in a new window.