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Audit plan management

Article author
Jonathon Plowman-Samson
  • Updated

Summary

On the Audit Plan page, learn how to:


Navigation

To perform these tasks, go to the Audit Plan page.


Search for a specific task

To search for a specific task within the audit plan, such as transaction numbers or sample names, enter your search terms into the search bar, then select the magnifying glass to submit your query.


Apply filters

Filters help identify groups of tasks based on Assertions, Audit Area, Risk, Sample Name and More. You can use the filters in isolation, or select multiple filters to further narrow your search parameters.

To apply filters

  1. Open the desired filter menu.
    To see additional filters, open the More menu and use the checkboxes to make selections.
  2. Enter or select your desired filters.
  3. If needed, Apply the changes.
    The data table reflects your selection(s) immediately.

To clear all filters from the table, select Reset Filter


Sort tasks

The table on the Audit Plan page can be reorganized as needed.

  • Select the desired column header to toggle between ascending or descending order.
  • Click and drag a column header left or right to adjust how it appears in the table.


Export an audit plan

You can export the audit plan in several formats, with or without the selected filters applied.

  1. Open the Export Audit Plan menu.
  2. Select from the following options:
    • Export Entire Plan as XLSX.
    • Export Entire Plan as CSV.
    • Export Filtered Plan as XLSX.
    • Export Filtered Plan as CSV.

XLSX export file details

An audit plan exported to the XLSX file format contains 3 sheets.

Summary

Outlines the engagement’s name, the time the audit plan was exported, the name of the analysis, and any applied filters.

Data

Provides information about transactions and entries, tasks, and control points.

Transaction and entry information is listed beneath the blue column headers. Column headers include:

  • Transaction ID
  • Type
  • Account
  • Account Description
  • Account Tags
  • Posted
  • Memo
  • Debit
  • Credit
  • Use

Task information is listed beneath the green column headers. Column headers include:

  • Status
  • Task Type
  • Description
  • Reporter
  • Assignee
  • Objectives
  • Filters Applied
  • Audit Areas
  • Audit Assertions
  • Sample
  • Comments

Information is listed beneath the teal column headers for each control point, including rule-based entries and machine learning-based risk scores.

Settings

Provides information about the settings used in the export. Column headers include:

  • Analysis

CSV export file details

An audit plan exported to the CSV file format contains one sheet. This sheet includes a column for each control point, as well as the following column headers:

  • Transaction ID
  • Type
  • Account
  • Account Description
  • Account Tags
  • Posted
  • Memo
  • Debit
  • Credit
  • User
  • Status
  • Task Type
  • Description
  • Reporter
  • Assignee
  • Objectives
  • Filters Applied
  • Audit Areas
  • Audit Assertions
  • Sample
  • Comments
  • Overall Score


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