> For the complete documentation index, see [llms.txt](https://interfacing.gitbook.io/interfacing-help-files/llms.txt). Markdown versions of documentation pages are available by appending `.md` to page URLs; this page is available as [Markdown](https://interfacing.gitbook.io/interfacing-help-files/auditors/managing-internal-audits-apps/planning-and-executing-audits/plan-audit.md).

# Plan Audit

Create and submit an audit to initiate the Audit Planning & Execution workflow.

## Workflow Overview

<i class="fa-location-dot">:location-dot:</i>  **Current Task:** Plan Audit

<i class="fa-user">:user:</i>  **Performed By:** Team Leader (e.g., Audit Lead, Audit Supervisor, Engagement Lead)

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

***

## Accessing the Form

The **New Audit** form can be accessed through any of the following modules, depending on your planning needs:

1. **Manage Audit Plans**

Use this module for high-level, long-term audit planning.

{% hint style="info" %}
Audits are organized by year, providing a clear view of workload across planning cycles.
{% endhint %}

Click **Add** to open the **New Audit** form.

<p align="center">━━━━━━━━━━━━━━━━━━━━━━━━━━━</p>

2. **Manage Audit Schedules**

Use this module for granular, operational audit planning.

{% hint style="info" %}
Audits are organized by month for precise scheduling and sequencing.
{% endhint %}

Click **Add** to open the **New Audit** form.

<p align="center">━━━━━━━━━━━━━━━━━━━━━━━━━━━</p>

3. **All Audit List**

Use this module for creating and managing audits in a comprehensive list view

Click **Add** to open the **New Audit** form.

***

## Completing the Form

Use the **New Audit** form to configure and prepare an audit for scheduling and execution.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

{% hint style="success" %}
For guidance on common form features and functions, see [**Working with Forms**](/interfacing-help-files/end-users/exploring-apps/working-with-forms.md).
{% endhint %}

***

{% stepper %}
{% step %}

### Assign Audit Program(s)

Select one or more audit programs to include in the audit.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

Click **Add** to assign an audit program.&#x20;

<details>

<summary><mark style="color:blue;"><strong>Add Audit Program to Plan</strong></mark></summary>

The **Add Audit Program to Plan** form allows you to link approved audit programs to the audit.

{% hint style="danger" %}
You can only access audit programs where you are designated as team leader.
{% endhint %}

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

1. **Access Audit Programs**
   * In the **Select the Audit Program** field, use one of the following methods:
     * Enter the name of an approved audit program and select it from the dropdown.\
       → If used, proceed to Step 4.
     * Click the <i class="fa-angle-down">:angle-down:</i> icon to open the **Select Audit** form and view all approved audit programs.
2. **Locate Audit Program**
   * Locate the required audit program in the list.

{% hint style="success" %}

#### Filtering Audit Programs

Use the **Filter Panel** at the top of the form to filter by ID or name.
{% endhint %}

3. **Select Audit Program**
   * Double-click the audit program to select it.
4. **Assign Audit Program**
   * After selecting an audit program, choose:
     * **Save and New:** Click to assign the selected program and open a new form to add another.
     * **Save and Close:** Click to assign the selected program and close the form.

</details>

Added entries appear in the grid, where they can be removed by clicking **Delete** ( <i class="fa-trash-can">:trash-can:</i> ).

{% hint style="info" %}
Confirm deletion by clicking **Save Changes** or clicking outside the grid. To cancel, click **Discard Changes** or **Undo** ( <i class="fa-rotate-left">:rotate-left:</i> ).
{% endhint %}

***

{% endstep %}

{% step %}

### Review & Configure Audit Information

Review and update information to reflect the audit's scope and purpose.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

{% hint style="info" %}

#### How Audit Information Is Populated

The following fields are automatically populated based on the assigned audit program:

* **Audit Name**
* **Audit Type** (locked)
* **Total Estimated Effort (Hours)**

As additional programs are assigned, values are consolidated:

* **Audit Name** includes all program names, separated by “&”.
* **Total Estimated Effort (Hours)** is the sum of all program estimates.
* **Audit Type** becomes editable; select a value applicable all programs.
  {% endhint %}

{% hint style="danger" %}
Any manual changes to these fields will be overwritten if audit programs are added or updated.
{% endhint %}

<p align="center">━━━━━━━━━━━━━━━━━━━━━━━━━━━</p>

**Read-Only Fields** (🔒)

* **Audit ID:** A system-generated, unique identifier used for tracking and reference.

***

{% endstep %}

{% step %}

### Set Timeline

Define the planned and actual dates for the audit.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

* **Planned Start Date:** Select the date when the audit is expected to begin.
* **Planned End Date:** Select the date when the audit is expected to be completed.
* **Actual Start Date:** Select the start date for scheduling the audit.

{% hint style="danger" %}
The **Actual Start Date** must fall within the planned date range.
{% endhint %}

***

{% endstep %}

{% step %}

### Configure Requirement Testing

Define which requirements will undergo testing.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

{% hint style="info" %}

#### How Requirements Are Populated

When audit programs are assigned, their associated requirements automatically populate the **Requirement(s) Needs Testing?** section.&#x20;

* If multiple programs are assigned, duplicate requirements are automatically excluded.
  {% endhint %}

You can enable or disable testing for individual requirements or all at once.

**For individual requirements:**

* Check **Requires Testing?** to include a requirement in testing.
* Click **Save Changes** or click outside the grid to apply.&#x20;
  * To cancel, click **Discard Changes**.
* Leave the box unchecked to exclude the requirement from testing.

**For all requirements:**

* Click **Enable Testing For All** to include all requirements.
* Click **Disable Testing For All** to exclude all requirements.

{% hint style="warning" %}

#### How Testing Is Applied

A requirement is included in testing only if all of the following conditions are met:

* **Requires Testing?** is selected
* It is linked to one or more tests
* At least one linked test has associated evidence

If any condition is not met, the requirement is excluded from testing.
{% endhint %}

***

{% endstep %}

{% step %}

### Override Audit Location (Optional)

Override the default location inherited from the assigned audit program(s).

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

* [**Region:**](#user-content-fn-1)[^1] Select the geographic region where the audit will be conducted.
  * Selecting a **Region** filters the options shown in the **Country** field.
* [**Country:**](#user-content-fn-2)[^2] Select the country within the chosen region.
  * Selecting a **Country** filters the options shown in the **Site** field.
* **Set This Location:** Select to apply the selected location to all assigned audit programs.
  * If selected, the **Site** field will be enabled.
* [**Site:**](#user-content-fn-3)[^3]**\*** Select the site within the chosen country.

***

{% endstep %}

{% step %}

### Save & Submit Plan

When ready to finalize, choose one of the following options:

* **Save and New:** Click to save the audit plan and open a new form to create another.
  * After submission, the audit remains inactive until the specified **Actual Start Date** is reached.

    * On that date, the system automatically triggers the [Schedule Audit](/interfacing-help-files/auditors/managing-internal-audits-apps/planning-and-executing-audits/schedule-audit.md) task and assigns it to the designated team leader.

    <div data-gb-custom-block data-tag="hint" data-style="info" class="hint hint-info"><p>Audits awaiting scheduling are tracked in the <strong>Manage Audit Plans</strong> and <strong>Manage Audit Schedules</strong> modules.</p></div>
* **Save and Close:** Click to save the audit plan and close the form.

***

{% endstep %}
{% endstepper %}

***

## See Also&#x20;

<table data-view="cards"><thead><tr><th></th><th></th><th data-hidden data-card-cover data-type="image">Cover image</th><th data-hidden data-card-target data-type="content-ref"></th></tr></thead><tbody><tr><td><strong>Manage Audit Plans</strong></td><td>Plan or update audits at the yearly level.</td><td><a href="https://1488562728-files.gitbook.io/~/files/v0/b/gitbook-x-prod.appspot.com/o/spaces%2FTx7AmE0d2Q4ja20EYjF5%2Fuploads%2Fen13UZYeQenfX1VP70C7%2FIMS-V16-NAV-Library-Icons-162.png?alt=media&amp;token=370eba50-8692-48bb-986f-cf2e92e5b435">IMS-V16-NAV-Library-Icons-162.png</a></td><td><a href="/interfacing-help-files/auditors/managing-internal-audits-apps/tracking-and-monitoring-audits/manage-audit-plans.md">Manage Audit Plans</a></td></tr><tr><td><strong>Manage Audit Schedules</strong></td><td>Plan or update audits at the monthly level.</td><td><a href="https://1488562728-files.gitbook.io/~/files/v0/b/gitbook-x-prod.appspot.com/o/spaces%2FTx7AmE0d2Q4ja20EYjF5%2Fuploads%2Fen13UZYeQenfX1VP70C7%2FIMS-V16-NAV-Library-Icons-162.png?alt=media&amp;token=370eba50-8692-48bb-986f-cf2e92e5b435">IMS-V16-NAV-Library-Icons-162.png</a></td><td><a href="/interfacing-help-files/auditors/managing-internal-audits-apps/tracking-and-monitoring-audits/manage-audit-schedules.md">Manage Audit Schedules</a></td></tr></tbody></table>

[^1]: 💡 **For Administrators:**

    * Manage the options that populate the **Region** dropdown in:
      * **QMS Admin Settings** > **General Settings** > **Location** > [**Region**](/interfacing-help-files/administration-and-configuration/configuring-application-settings/general-application-settings/location.md#configuring-regions).
    * Only **active** options will appear in the dropdown.

[^2]: 💡 **For Administrators:**

    * Manage the options that populate the **Region** dropdown in:
      * **QMS Admin Settings** > **General Settings** > **Location** > [**Country**](/interfacing-help-files/administration-and-configuration/configuring-application-settings/general-application-settings/location.md#configuring-countries).
    * Only **active** options will appear in the dropdown.

[^3]: 💡 **For Administrators:**

    * Manage the options that populate the **Region** dropdown in:
      * **QMS Admin Settings** > **General Settings** > **Location** > [**Site**](/interfacing-help-files/administration-and-configuration/configuring-application-settings/general-application-settings/location.md#configuring-sites-and-managers).
    * Only **active** options will appear in the dropdown.


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