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- Audit Management
- Audit data model
The tables behind Audit Management
Audit Management ships with 17 tables, grouped here by the feature that uses them. Every record your team works with lives in one of them, and you can add fields and tables in Proto.
- Tables
- 17
- Features
- 6, plus shared settings
- Change it
- Add fields and tables in Proto
How the model is organised
Assessment planning
Assessments records Subject, audit year, period number, period start, period end and scope statement. Organizations, business units and audited entities supply context through the references on working records.
Engagements and tests
Audit engagements references audited entities and Organizations. Assessment tests links to audit engagements through Parent and to Controls through Control.
Controls and risk workpapers
Risks references Assessments and Organizations. Workpaper lines links to Risks through Workpaper and to Controls through audit program.
Findings and review
Findings references business units, Organizations and Assessments. Review decisions can link directly to Findings, audit engagements or corrective actions.
Responses and retests
Corrective actions can reference a Finding and audit engagement, with business unit and audited entity context. Retests references Findings and Controls.
Evidence and operations
Record attachments uses parent table name and parent record id to identify its parent. Uploaded by, Reviewer and Actor reference team members on their respective records. Users holds application account information.
Every table, by feature
- Assessment planning5
- Engagements and tests6
- Controls and risk workpapers6
- Findings and review7
- Responses and retests7
- Evidence and operations7
- Shared and settings1
- Assessments
Audit assessments defining the period, scope and planned tests for one organization.
- Organizations
Organizations under audit; retain actual linked evidence and role scope.
- Business units
Business units and counterparties audited under each organization; retain actual linked evidence and role scope.
Linked to Organizations - Findings
Audit findings raised from failed or inconclusive control testing.
Linked to Business units, Organizations, Assessments - Risks
Risk register with likelihood and impact recorded within one explicit scale version.
Linked to Assessments, Organizations
- Audit engagements
Audit engagements supporting an evidence-based audit conclusion.
Linked to Audited entities, Organizations - Audited entities
Audited entity directory retained from the source archetype; no Audit Management spec table maps to it.
Linked to Organizations - Organizations
Organizations under audit; retain actual linked evidence and role scope.
- Assessment tests
Individual control tests executed under an assessment, with sample size, exception count and result.
Linked to Audit engagements, Controls - Controls
Control register linked to risks, with ownership and lifecycle status.
- Operation receipts
Persisted operation receipts with a stable operation key and result state.
Linked to Team members
- Controls
Control register linked to risks, with ownership and lifecycle status.
- Risks
Risk register with likelihood and impact recorded within one explicit scale version.
Linked to Assessments, Organizations - Workpaper lines
Workpaper line detail retained from the source archetype; no Audit Management spec table maps to it.
Linked to Risks, Controls - Assessment tests
Individual control tests executed under an assessment, with sample size, exception count and result.
Linked to Audit engagements, Controls - Retests
Independent retests of corrective actions; only a passing retest permits a finding to close.
Linked to Findings, Controls - Assessments
Audit assessments defining the period, scope and planned tests for one organization.
- Findings
Audit findings raised from failed or inconclusive control testing.
Linked to Business units, Organizations, Assessments - Assessments
Audit assessments defining the period, scope and planned tests for one organization.
- Business units
Business units and counterparties audited under each organization; retain actual linked evidence and role scope.
Linked to Organizations - Organizations
Organizations under audit; retain actual linked evidence and role scope.
- Review decisions
Independent review decisions recorded against a source revision.
Linked to Team members, Findings, Audit engagements, Corrective actions - Record attachments
Evidence attachments linked to a parent record, with uploader and visibility.
Linked to Team members - Operation receipts
Persisted operation receipts with a stable operation key and result state.
Linked to Team members
- Corrective actions
Corrective actions assigned to a finding, with owner, due date and completion evidence.
Linked to Business units, Audited entities, Findings, Audit engagements - Findings
Audit findings raised from failed or inconclusive control testing.
Linked to Business units, Organizations, Assessments - Audit engagements
Audit engagements supporting an evidence-based audit conclusion.
Linked to Audited entities, Organizations - Retests
Independent retests of corrective actions; only a passing retest permits a finding to close.
Linked to Findings, Controls - Controls
Control register linked to risks, with ownership and lifecycle status.
- Review decisions
Independent review decisions recorded against a source revision.
Linked to Team members, Findings, Audit engagements, Corrective actions - Operation receipts
Persisted operation receipts with a stable operation key and result state.
Linked to Team members
- Record attachments
Evidence attachments linked to a parent record, with uploader and visibility.
Linked to Team members - Review decisions
Independent review decisions recorded against a source revision.
Linked to Team members, Findings, Audit engagements, Corrective actions - Operation receipts
Persisted operation receipts with a stable operation key and result state.
Linked to Team members - Team members
Team members and their audit role scope within an organization.
Linked to Organizations - Findings
Audit findings raised from failed or inconclusive control testing.
Linked to Business units, Organizations, Assessments - Audit engagements
Audit engagements supporting an evidence-based audit conclusion.
Linked to Audited entities, Organizations - Corrective actions
Corrective actions assigned to a finding, with owner, due date and completion evidence.
Linked to Business units, Audited entities, Findings, Audit engagements
Keys and references
Use the record identifiers returned by the app when resolving references. Human numbers and directory codes help people locate records, but imports must still resolve the intended linked record. Validate both parts of every attachment parent reference. Confirm the signed-in account to team members mapping before enabling current-user filters on uploaded by or Reviewer.
Check assessment organization context on linked Findings and Risks during import. An assessment tests record points to an engagement through Parent; preserve that relationship when bringing in fieldwork detail.
Migration order
- Load Organizations, then their business units, audited entities and team members; reconcile Users with the access setup.
- Load Controls and Assessments with the agreed codes and period boundaries.
- Load audit engagements, then resolve Parent and Control for assessment tests.
- Load Risks and their workpaper lines; load Findings with the correct assessment and organization references.
- Load corrective actions and Retests after their Findings and Controls exist.
- Resolve parent identifiers for record attachments and subject links for review decisions; retain genuine operation receipts with their existing operation keys.
Set up Audit Management your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.