Overview

Audit Settings provides the ability to adjust various settings used within audits. It comprises a range of screens which can be utilised by the Audit Setting Administrator to define variables and criteria utilised during the audit process.

Audit settings can be accessed via Menu > Framework > Audit Settings.

Setting
Description
Audit Categories
Categories audits for enhanced filtering.
Audit Entities
Link audits to audit entities within the organisation.
Audit Firms
Link audits to audit firms i.e. independent public accounting firms that do auditing at the organisation.
Numbering System
Define a prefix for audit and finding records in the automatic numbering system.
Audit Status
Track the different phases or stages of an audit.
Audit Risk Rating
Rate the risk levels of audits.
Audit Action Status
Monitor the progress of audit actions.
Audit Duplicate
Create duplicates of audits.
Custom Lists
Customise the dropdown list available in the Field Configuration area.
Field Configuration
Customise the fields which are made visible within Audit details.


Note: This module will only be available to the clients who have purchased Audit.


Audit Categories

This settings page lets you define an audit category to enable users to select from one of these created categories when creating an audit in the Audit Detail page.

To add an audit category:

  • STEP 1: Click the 'Audit Categories' tab.
  • STEP 2: Type in a name and description in the text boxes provided.
  • STEP 3: Click the 'Add' button at the bottom-right corner of the page.
Notes:
  • To edit an already added category, click on the 'Edit' button next to a category, edit and click the 'Update' button.
  • To delete an already added category, click on the 'Delete' button next to a category.


Audit Entities

This settings page lets you define an audit entity within the organisation in this page to enable users to select from one of these entries when creating an audit in the Audit Detail page.

The Audit Administrator can define one audit entity representing the entire organisation and/or create multiple entities for distinct sections/areas as required. 

  • STEP 1: Click the 'Audit Entities' tab.
  • STEP 2: Type in a name and description in the text boxes provided.
  • STEP 3: Click the 'Add' button at the bottom-right corner of the page.
Notes:
  • To edit an already added entity, click on the 'Edit' button next to an entity, edit and click the 'Update' button.
  • To delete an already added entity, click on the 'Delete' button next to an entity.


Audit Firms

This settings page lets you define an audit firm that would perform auditing for your organisation in this page to enable users to select from one of these firms when creating an audit in the Audit Detail page.

  • STEP 1: Click the 'Audit Firms' tab.
  • STEP 2: Enter an audit firm name in the textbox placed at the bottom of the list.
  • STEP 3: Click the 'Add' button at the bottom-right corner of the page.
Notes:
  • To edit an already added firm, click on the 'Edit' button next to a firm, edit and click the 'Update' button.
  • To delete an already added firm, click on the 'Delete' button next to a firm.


Numbering System

This settings page lets you define up to a three-character prefix for the auto generated numbering system of an audit and finding displayed in the Audit Detail page as Audit No. and Audit Finding page as Finding No.

To create a prefix to the numbering system:

  • STEP 1: In the 'Numbering System' tab, select if setting the prefix for an Audit or Finding.
  • STEP 2: If 'Audit' is selected, select the 'Audit Type'. If 'Finding' is selected, go to Step 3.
  • STEP 3: Enter the 'Prefix' to be concatenated to the start of the auto numbering system.
Note: You can enter only three characters for a prefix.
  • STEP 4: Click the 'Save' button at the top-right corner of the page.


Audit Status

This settings page lets you define an audit status, that would track the different stages of an audit; enabling users to select from an Audit Status field in the Audit Detail page during its lifecycle.

  • STEP 1: Click the 'Audit Status' tab.
  • STEP 2: Type in a name and description in the text boxes provided.
  • STEP 3: Click the 'Add' button at the bottom-right corner of the page.
Notes:
  • To edit an already added status, click on the 'Edit' button next to a status, edit and click the 'Update' button.
  • To delete an already added status, click on the 'Delete' button next to a status.


Audit Risk Rating

This settings page lets you define an audit/finding risk rating, that would mark the audit and finding records with a rating; enabling users to select from a Risk Rating field when creating an Audit Detail or an Audit Finding. Both audit detail and audit findings will display the same ratings. You can add only up to four ratings.

  • STEP 1: Click the 'Audit Rating' tab.
  • STEP 2: Click on the 'Edit' button to edit an audit ratings.
  • STEP 3: Edit the audit risk rating and click on the 'Update' button to save.
Notes:
  • To edit an already added rating, click on the 'Edit' button next to a rating, edit and click the 'Update' button.
  • To delete an already added rating, click on the 'Delete' button next to a rating.


Audit Action Status

This settings page lets you define an audit action status, that would enable users to select from an Audit Action Status field in the Audit Recommendation Details page. One status can be ticked to be identified by the system as the completed status. The system will then consider this status as the completed status, regardless of its label.

  • STEP 1: Click the 'Audit Action Status' tab.
  • STEP 2: Type in an Audit Action status and description in the text boxes provided.
  • STEP 3: Specify the position (order) that needs to be displayed within an audit.
  • STEP 4: Under the 'Determine completed status by' column, tick this for the status you wish the system to consider as the completed status. 

Note: By having this option, you can name your completed status as per your organisation's need. You can mark only one status as the completed status.

  • STEP 5: Click the 'Add' button at the bottom-right corner of the page.
Notes:
  • To edit an already added status, click on the 'Edit' button next to a status, edit and click the 'Update' button .
  • To delete an already added status, click on the 'Delete' button next to a status.

Risk/Audit Action Status Setting

The completion date fields for risk actions and recommendations (audit actions) will be automatically populated when the action status is updated to ‘Completed’ and saved, by considering the date on which the status was changed (the system date), through auto populating the date to be the ‘completion date’.

  • For risk actions – The below field (standard field – ‘Completion Date’) will be automatically updated upon the status change.
  • For recommendations – The below field (standard field – ‘RecommendationCompletionDate’ will be automatically updated upon the status change.
Note: For recommendations, the configuration to map the standard action status as ‘Completed’ with the recommendation statuses (setting can be accessed via Menu > Framework > Audit Settings > Audit Action Status > Determine completed status by) will need to be opted. The system will then consider the recommendation status mapped to the ‘Completed’ status for the above completion date logic.

The same behavior will be followed when ‘risk actions’ are updated from ‘Quick update’ and recommendations are updated from the ‘Quick update’ as well as review tabs.


Audit Duplicate

This settings page lets you select from a previous year’s audit details and duplicate these into the new year. You can duplicate a previous year’s audit details, audit findings, and audit recommendations via a tree like hierarchy in a popup window.

  • STEP 1: Click the 'Audit Duplicate' tab.
  • STEP 2: Select the 'Audit Year' from the dropdown to list down any inactive audits within that year.
  • STEP 3: Select the checkbox against which audit you wish to duplicate.
  • STEP 4: In the popup window, select if you wish to duplicate the findings and recommendations of the audit as well and select these.
  • STEP 5: Click on the 'Duplicate' button at the bottom of the window to duplicate details.
Notes: 
  • When the audit is duplicated, a new audit number is assigned to the duplicate and there won't be a relationship between the duplicated audit. However, the audit, its findings and recommendation data are copied to the duplicate from the original, if these are selected. 
  • Note that certain recommendation related data such as Status Report, Status Report Summary and Management response does not get copied.


Custom Lists

This settings page lets you define customised dropdown lists and its values. Once a dropdown list is defined, it can be renamed and enabled to appear in the Audit Details page via the Audit Settings > Field Configurations page.

In order to define a customised dropdown list:

  • STEP 1: Click the 'Custom Lists' tab.
    This will take you to a screen which will show a list of Custom Lists.
  •  STEP 2: Choose the specific Custom List which you want to customise, and and click on '+ Add new record' to add values to the custom list dropdown.
    A list will appear enabling you to add/amend the list items and sequence it the way you wish.
  • STEP 3: The customised dropdown list will now appear in the Field Configuration tab to be selected as a field.
Notes:
  • To edit an already added custom list value, click on the 'Edit' button next to a value of a custom list, edit and click the 'Update' button .
  • To delete an already added custom list value, click on the 'Delete' button next to a value of a custom list.


Field Configuration

This settings page lets you customise the fields which are made visible within the Audit Detail, Audit Finding, and Audit Recommendation sections. Rearrange the order of fields, rename labels of fields, add help text to fields, change the visibility and mandatory state of fields, and change the visibility in registers and its search of fields via this setting.

  • Field configuration tab – The left hand panel will let you add custom fields, while the right hand panel will let you reorder fields, set field label names, set field help text when hovered over, set the visibility and mandatory state of the field, set the visibility in columns and visibility in the search. 
  • Adding custom fields – Select a custom field(s) to be added from the left hand panel and click on the right arrow button to add the custom field to be used in the Audit, Findings, or Recommendation sections.
    The following custom fields can be added:
    • 10 checkboxes
    • 10 date fields
    • 10 multi-line text fields
    • 10 multi-select list fields
    • 10 numeric fields
    • 10 single-line text fields
    • 20 single-select list fields
  • Reorder fields – Select the field to be reordered from the right panel under the 'Ordering' column checkbox and click on the up (to move one position up), top (to move right to the top), down (to move one position down), or bottom (to move right to the bottom) buttons at the top right corner of the page, and click the 'save' button.
  • Change label name or help text Change the displayed label name of a field by clicking on the 'Label Name' of the field and enter the new label name, and click the 'Save' button at the top right corner. Similarly, change or add help text to be displayed when hovered over the field by clicking on the 'Help Text' and enter details and click the 'Save' button.
  • Visibility and mandatory To display the field within the audit, findings, or recommendation sections, tick the checkbox below the 'Visibility' column. To make a field as a mandatory field tick the checkbox below the 'Is Mandatory' column.
  • Visibility in registers and register search To display the field within columns tick the checkbox below the 'Visibility in Registers' column, and the to display the field in search filters tick the checkbox below the 'Visibility in Register Search' column.
  • Delete a field If you have admin privileges, the delete button will be displayed at the right corner end of a field. It is not recommended to delete a standard field, as you would NOT be able to add it back again. However, if you delete a custom field, this could be added back.