Managing Workpapers

Workpapers provide auditors a central location to manage audit work for compliance control. Auditors can access existing evidence, assessments, and control implementations to build their view of a control's effectiveness. You can edit workpapers and log your audit findings.

To open a workpaper

  1. On the Audit Management menu, select Workpapers.

    The Workpapers screen appears.

  2. Open a workpaper from the list to access the Workpaper Details screen.

    The Result tab of the Workpaper Details screen showing workpaper status and related information.

To add information to a workpaper

  1. On the Workpaper Details screen, click into the field in which you would like to add information.
  2. Enter information for the Testing Result, Sampling Result, and Interview Result fields.
    Note:

    • The Workpaper Assignment fields are added when the audit and audit scope are defined.

    • There is no character limit for the Testing Result, Sampling Result, and Interview Result fields.

  3. Click the Save button.

To log findings to a workpaper

Auditors are auditing controls and logging their results and findings of a workpaper for each control within the scope of the audit.

  1. On the Workpaper Detail screen, select the Findings tab.
  2. Click the Log Finding button.

    The Log Finding modal appears.

  3. Complete the fields. See the Log Finding Modal Screen Reference.
  4. Click the Save button.
    Note:

    You can access findings on the Findings tab of the Audit Details screen.

Log Finding Modal Screen Reference


The Log finding modal reference.
Field
Description
Finding Name

Enter a name that describes the finding.

Finding Type

Select the finding type.

Finding

Enter a description of the finding that was identified.

Deadline

Select a deadline for the finding.

Assignees

Select the user(s) responsible for the finding.

To complete a workpaper

  1. On the Workpaper Details screen, advance to the Completed stage.
    The Transition Stage modal appears.
    The Transition Stage modal showing the status change of a workpaper to Completed.
  2. Click the Continue button. The workpaper status will move to Completed.
    Note:

    You can reopen a completed workpaper on the Workpaper Details screen. This action will move the status to Not Started.

To add a task to a workpaper

  1. On the Workpaper Details screen, select the Tasks tab.
  2. Click the Add Task button.

    The Add Task modal appears.

  3. Complete the fields. See Add Task Modal Screen Reference.
  4. Click the Save button.

Add Task Modal Screen Reference


The Add task modal.
Field
Description
Task Name

Enter a name for the task.

Assignee

Select the user assigned to the task.

Collaborators

Select collaborators for the task.

Deadline

Enter the day by which the task should be completed.

Description

Enter a brief description of the task.

To add comments on a workpaper

Collaborate with others on the workpaper by adding comments. The comments added to a workpaper upon approval or rejection will also appear in the Comments pane.

  1. On the Workpaper Details screen, click the Comments link in the top right-hand corner.

    Workpaper Details screen showing the Result tab with the Comments link highlighted in the top right corner.
  2. On the Comments pane, enter a comment into the text box.

    Comments pane showing a user entering a comment in the text box.
  3. Click the Add button. The comment will be added to the pane and will appear in the order in which it was added.
  4. Click Close to close the Comments pane.