The user account you use to log into Resolver must be added to either the Internal Audit Leads or Internal Audit Managers user group.

You must first create an Internal Audit Project before it can be Activated. Please follow the link below for instructions on how to Create an Internal Audit Project:

• Creating an Internal Audit Project

Before creating an Internal Audit Project, you must first assess what elements you want to audit by creating an Audit Plan:

• Create an Audit Plan

Please refer to the Defining the Scope for an Internal Audit Project article for further information regarding adding a scope to an Internal Audit Project.

• Defining the Scope for an Internal Audit Project

Activating an Internal Audit Project consists of moving the Internal Audit Project through the Audit Plan and into the Planning state.

1. From the Resolver Home screen, click the Home drop-down and select the Internal Audit Management link.

Home Drop-Down

2. From the Risk Assessment screen, click on the Audit Plan tab.

Audit Plan Tab

3. From the Audit Plan screen, click on an Internal Audit Plan with a Not Started state from the Pending Audits section.

Pending Audits Section

1. From the Internal Audit Projects screen, add more information to the Audit Project by filling out the fields on the Audit Details section:

• Audit Plan: An Audit Plan groups multiple internal audit projects of a similar theme (e.g., projects from the same year, the same organizational branch, etc.). Audit Plans must be first added to the system before you can select them from the drop-down list.
• Audit Type: Select an Audit Type from the drop-down list. The Audit Type defines the area the Audit Project will evaluate.
  
  • Operational: An Operational Audit is an audit that focuses on an Entity's key processes, procedures, systems, and internal control.
  • Financial: A Financial Audit is an audit of the Entity's financial statements by an independent party.
  • Compliance: A Compliance Audit is an audit of the Entity's internal policies, procedures, laws, and regulations where the entity operates. 
  • IT: An IT Audit is an audit of the Entity's information system.
  • Special Project: A Special Project Audit occurs internally and is performed by an internal auditor (e.g., fraud, business case, or other special cases).
  • Other: Use the Other Audit type for all other audit types that do not currently have an Audit Type.
• Auditable Entity: An Auditable Entity is an element (e.g., business unit, legal entity, office location, etc.) of an organization that can be audited.  Auditable Entities make up an organization's Auditable Universe.
• Business Unit: The Business Unit creates a reporting connection to the assessment and allows users to create assessment reports (reporting path Company>Business Unit>Assessment).
• Audit Client: Enter an internal audit client's name in the Internal Audit Client field and select them from the drop-down list. An Audit Client views the full scope of the audit, including Processes, Risks, Controls, Requests, Issues, and Corrective Actions (Read-only) and can view final audit reports.
• Planned Quarter: The Planned Quarter indicates the time of year the audit will occur.

Audit Details Section

2. Fill out the following fields on the Audit Planning Memo tab:

Audit Planning Memo Tab

• Audit Background: A free-form field that allows you to track any audit background information. Audit background information consists of why the audit is required.
• Audit Objectives: A free-form field that allows you to track any audit objective information. Audit objective information consists of Internal Audit goals (what the audit attempts to achieve).
• Audit Approach: A free-form field that allows you to track any audit approach information. Audit approach information consists of how the Internal Audit will achieve its goals.
• Audit Scope: A free-form field that allows you to track any audit scope information. Audit scope information consists of processes, risks, controls, and tests used in the Internal Audit.
• Other Audit Considerations: A free-form field that allows you to track any miscellaneous audit information. 
• Supporting Attachments: Add supporting document files (up to 100 MB per file) to the Audit by dragging and dropping the files in the designated area or by clicking the + Add File link and selecting a file from the connected PC, the following file types .bat, .exe, .gif, .sh, .dll, and .com cannot be uploaded. You can also add web links to supporting documents by clicking Add Link. Enter a Display Name and URL Link on the Web Link pop-up and click the + Add Link button to add a web link.

Web Link Pop-up

3. Fill out the following fields on the Key Dates and Resource Planning tab:

Key Datas and Resource Planning Tab

• Date of Kickoff: Enter the Audit's start date by selecting a date from the Calendar pop-up.
• Date of Fieldwork Start: Enter the Audit's fieldwork start date by selecting a date from the Calendar pop-up.
• Date of Fieldwork End: Enter the Audit's fieldwork end date by selecting a date from the Calendar pop-up.
• Date of Report Insurance: Enter the Report Insurance date selecting a date from the Calendar pop-up. 
• Internal Audit Lead: Enter an Internal Audit Lead's name in the Internal Audit Lead field and select them from the drop-down list. An Internal Audit Lead manages individual audit projects, reviews tests, progress the audit from Planning to Fieldwork to Reporting.
• Internal Audit Staff: Enter an internal audit staff's name in the Internal Audit Staff field and select them from the drop-down list. An Internal Audit Staff member performs tasks for individual audit projects. 
• Budgeted Hours: Enter the total hours budgeted for completing of the Audit Project.
• Actual Hours: Before completing the Internal Audit Project enter the Actual number of hours it took to complete the Internal Audit Project.

4. From the Define and Review Audit Scope section, click the Define Audit Scope button to define which processes, risks, controls, and tests are included in the audit. Users must define the Internal Audit Project's scope before moving to the Fieldwork stage. Please refer to the Defining the Scope of an Internal Audit Project article for further information.

Define Audit Scope Button