Preparing Audits
The lead auditor monitors the audit progress. In the audit preparation phase, he/she establishes the work plan and assigns activities to auditors.
The lead auditor has the “Auditor” profile.Creating Work Programs Manually
The lead auditor must create a work program to specify the content of the audit.
To access the work program:
In the audit properties, select the Work Program page.In this page you can create the content of your audit.
The basic element of the audit is the audit activity. This enables assignment of responsibility to the auditor.
Constituent elements of an audit
A theme can be used to group audit activities and their workpapers, that is to organize audit content. In this case they serve as "folders".
If audit scope comprises processes, themes can represent processes and sub-processes.
A theme can:
• serve as a folder enabling organization of work program structure
• correspond to a business process
From this tree, the auditor can create workpapers, findings and recommendations. For more details, see Audit Execution.Creating audit themes
Audit content can be divided into themes. Before creating activities and workpapers, you can create audit themes.
To create an audit theme:
1. In the properties of the audit select the Work Program page.
2. Click the audit icon and select New > Audit Theme.
The theme created appears in the tree of the work program.
3. Display properties of the theme.
You can:
• modify its name
• select a Parent Audit Theme (if you want to create a tree of themes).
• specify the Audit Theme Scope (which is a process).
• enter a Comment.
You can view the tree of themes and sub-themes created.
You can now create audit activities and workpapers.
Specifying an audit activity
An audit activity is an element of an audit that can relate to a set of processes, applications, risks or controls to be audited in an enterprise organization unit. It is assigned to an auditor.
To create an audit activity:
1. In the properties of the audit select the Work Program page.
2. Click the audit (or audit theme) and select New > Audit Activity.
The audit activity created appears in the tree of the work program.
3. Display the audit activity properties and enter a name.
4. Specify an Activity Theme if you want the activity to be located under a theme in the tree.
5. Select the Owner, who can be an auditor or lead auditor of the current audit.
6. Indicate the Estimated Workload (Hours).
You can also create audit activities in the Activities page of the audit properties. In this page, you can select several activities and trigger a mass transition using the 
> Workflow button.Specifying risks connected to an audit activity
In the page of an audit activity, Activity Scope section, you can specify risks concerning the activity.
To create a risk on an activity audit:
1. Open the properties of the audit activity.
2. In the Characteristics tab, expand the Scope section.
3. Click New.
The risk creation dialog box appears.
4. Enter the name of the risk and click OK.
For more details on users, see Defining and Assessing Risks.
Creating Workpapers
Workpapers are files or work documents that serve as a basis for the auditor in execution of the audit.
They can form the starting point for tests, which contain points to be evaluated (questionnaires containing questions/answers).
A workpaper comprises points to be checked on a given subject in the course of an audit activity.To create a workpaper:
1. In the properties of an audit, select the Work Program page.
2. Click the activity audit concerned and select New > WorkPaper.
The workpaper appears in the page of the activity, and under the work program tree of the audit.
3. In the work program, select the paper to display its Properties.
4. Enter a name and your comments.
Completing workpapers and questionnaires is detailed in "Audit Execution". See Specifying Workpapers and Questionnaires.