Define the audit exercise, issue the engagement and prepare the control sample.
The Auditor records the subject, audit year and period dates in an Open assessment. The scope statement explains the activity under examination. The Audit Manager reads it before fieldwork is organized so that later findings can be attached to an exercise with a recognizable purpose.
The Auditor creates the Draft engagement and checks the audited entity and organization. Record the audit area and planned date, then use the memo to explain the immediate work. Admin resolves directory ambiguities before the team relies on a similarly named entity.
The Auditor uses the engagement issue action after the preparation checks. Inspect the change from Draft to Sent and the Engagement Issue receipt. If the result needs investigation, inspect the existing record before attempting another issue action.
The Auditor links each test to the engagement and relevant control. Describe the sample work and enter its sample size. The Audit Manager can then inspect the engagement with its test detail when discussing what was examined.
And how to keep it from happening.
Start free, then use Proto to change fields, steps and approvals before your team goes live.