Audit Register Module in Risk Assessment Product Application

User Guide: Audit Register Module in Risk Assessment Product Application

We are excited to introduce the Audit Register feature, designed to simplify and enhance the way you manage audits and assessments. This guide will provide step -by-step instructions, covering everything from creating audits to managing assessments

1. Overview of Audit Register module:

An Audit Register interface is designed to enable users to plan, view, and manage their annual audits efficiently. Here is how you could describe such an interface in a structured format.

The user is currently creating an assessment and performing the assessment.

By using audit register user can plan an assessment at starting of the year only.

The Audit Register interface provides a comprehensive, user-friendly platform for managing audits throughout the year. It allows users to efficiently plan, track, and review audits to ensure compliance, identify risks, and document findings.

The Audit Register is a centralized tool to: Create and manage audit plans for your locations. Assign auditors and facilities to audits. Plan, execute, and track audit assessments. Generate detailed reports in various formats. Improve collaboration and visibility among team members.

1. Audit Register questionnaires
2. How to Access Audit Register module in Risk Assessment product?

Audit Register module can be accessed from below navigation

• Navigate to Main Menu
• Select Audit Register module
• It will navigate you to the Audit Register Screen.

1. How to create New Audit Plan in Risk Assessment product?

• Click on Audit Register module
• Click on + icon in Audit Register module at the top right.
• Audit popup plan should be displayed with below fields:
• Audit Number: In an audit plan, the audit number (also sometimes called audit ID or audit reference number) is a unique identifier assigned to a specific audit. It helps organize, track, and reference the audit within a broader audit program or management system.
• Audit Title: The audit title is a brief, descriptive name that clearly indicates the focus, scope, or subject of the audit. It helps stakeholders quickly understand what is being audited without reading the full plan or report.
• This field allows users to define a custom title for the audit. The title can be entered freely and should reflect the nature or scope of the audit being performed.
• Users may input their own audit title according to their specific needs or organizational naming conventions.
• This Audit title field is “Not Mandatory”.
• Audit Name: The audit name usually serves the same purpose as the audit title — it's a label or identifier that summarizes what the audit is about. However, depending on how your organization structures its documents, “audit name” might be Audit Scope: Define the areas or processes covered by the audit.
• This field allows users to define a custom name for the audit. The Audit Name can be entered freely and should reflect the nature or scope of the audit being performed.
• Users may input their own audit name according to their specific needs or organizational naming conventions.
• This Audit name field is “Mandatory”.
• Audit Scope: The Audit Scope defines the boundaries, focus, and extent of what will be examined during the audit.
• This field allows users to define a custom scope for the audit. The Audit Scope can be entered freely and should reflect the nature or scope of the audit being performed.
• Users may input their own audit scope name according to their specific needs or organizational naming conventions.
• This Audit scope name field is “Not Mandatory”.
• Audit Objective: The audit objective defines the purpose of the audit — in other words, why the audit is being conducted and what it aims to achieve.
• This field allows users to define a custom Objective for the audit. The Audit Objective can be entered freely and should reflect the nature or scope of the audit being performed.
• Users may input their own audit Objective according to their specific needs or organizational naming conventions.
• This Audit Objective name field is “Not Mandatory”.
• Audit Description: The audit description provides a brief summary or overview of the audit. It explains what the audit is about, what areas or processes will be covered, and may include context or background information to help stakeholders understand the scope and focus of the audit.
• This field allows users to define a custom Audit Description name for the audit. The title can be entered freely and should reflect the nature or scope of the audit being performed.
• Users may input their own audit description name according to their specific needs or organizational naming conventions.
• This Audit name field is “Mandatory”.
• Audit Type: The audit type refers to the category or nature of the audit being conducted. It tells you what kind of audit it is, based on its purpose, scope, and who is conducting it.
• This field allows users to define a custom Audit Type name for the audit. The title can be entered freely and should reflect the nature or scope of the audit being performed.
• Users may input their own audit Type name according to their specific needs or organizational naming conventions.
• This Audit name field is “Not Mandatory”.
• Check whether selected audit type is:
• Internal: The Internal Audit Type refers to the category or classification of an internal audit based on its purpose, focus, or subject area. It helps define why the audit is being conducted and what kind of internal audit activity is planned.
• External: The External Audit Type refers to the classification of audits conducted by an external party—such as a regulatory body, certification authority, or third-party firm. This field helps document the nature and purpose of audits that are outside the internal audit function.
• Compliance: The Compliance Audit Type refers to audits specifically designed to evaluate whether an organization is following required laws, regulations, internal policies, or external standards. This audit type ensures that the organization meets its regulatory, legal, contractual, and corporate obligations.
• Status: The status refers to the current progress or stage of a particular audit. It indicates where the audit stands in its lifecycle — whether it's just scheduled, in progress, completed, or awaiting action. In new audit plan by default status to be "Planned." And below are the status for new audit plan : And below are the status for new audit plan :
• Planned
• In progress
• Not Started
• Completed.
• User should select above status for that particular audit plan.
• This Status field is “Not Mandatory”.
• Start Date: The start date refers to the date on which the audit is scheduled to begin. It marks the official commencement of audit activities. This Start Date is Mandatory field.
• The Start Date field refers to the scheduled beginning date of a specific audit. It defines when the audit activities are planned to commence and is a key part of scheduling, resource planning, and audit tracking.
• The user can select a custom start date for the audit plan.
• End Date: The end date is the scheduled or actual date when the audit is expected to be completed. It marks the conclusion of the audit fieldwork and any other on-site or document review activities.
• The End Date field represents the scheduled completion date for the audit. It marks the point at which all planned audit activities—including fieldwork, reviews, and reporting—are expected to be finalized.
• The user can select a custom End date for the audit plan.
• These fields are mandatory.
• Select Template: Select Template typically refers to choosing a predefined format or structure for creating the audit plan document. It's not part of the audit content itself, but rather a tool or option in audit management systems or software that helps standardize how audits are planned and documented.Select Template field is mandatory field in audit plan.
• Select facility: The "Select Facility" typically refers to choosing the specific location, department, or facility where the audit will take place. This could apply to physical sites, business units, or operational areas that are part of the audit scope. Select Facility field is mandatory field in audit plan Click on ‘Submit’ button
• Audit Plan successful message should be displayed on the page.

1. What all the available columns in audit Register home page?

• Audit Register Table/grid columns should be displayed as below:
• Audit Name: When user create new audit plan from + icon in audit plan popup whatever Audit name he gives that name should be displayed on the Audit Name column.
• Audit Summary: In audit plan popup when user gives audit description that should be displayed on the Audit Summary column.
• Facility: When user creating audit plan which facility he selected that facility should be displayed in facility column.
• Template Name: When user creating audit plan which template he selected that Template name should be displayed in Template name column..
• Start Date: When user creating audit plan which start date he give that date should be displayed on the page.
• When user select start date in new audit plan creation from that day user can create assessments for that audit plan.
• When user trying to create new audit assessment for that audit plan before start date then those dates should be in disable mode.
• Before start dates all dates should be in disable mode.
• End Date: When user creating audit plan in which when user select End date that date should be displayed on the page.
• When user select End date in new audit plan creation before that day user can create assessments for that audit plan.
• When user trying to create new audit assessment for that audit plan before End date user can select after end date all dates should be in disable mode.
• User can create assessment within start date & End Date.
• Before start date & after end date user should not be able to create new audit assessment.
• Before start & after end date dates should be in disable
• Facility Assessed: When user creates new audit assessment those all audit assessment should be displayed in this facility assessed column with below fields:

1. Total: With this audit plan total how many audit assessment created information it will display in popup.
2. Created: How many assessments created information it will display on the page.
3. To be created: If no audit assessments are created with this audit plan that information should be displayed in this page.

• Reports: In audit register home page word & PDF reports should be displayed in reports column.
• When user click on Word report in reports column in audit register page that particular audit plan data should be displayed in the downloaded Word report.
• When user click on PDF report in reports column in audit register page that particular audit plan data should be displayed in the downloaded PDF report.
• Action: In audit register home page action column having below fields:
• Edit Audit Plan: When user click on edit icon in audit plan created audit assessment popup should be displayed on the page.
• User can edit which fields he wants to edit and can those details to by clicking on update button.
• Delete: When user click on delete icon in audit plan action column delete popup should be displayed on the page. When user click on yes then that audit plan should be deleted successfully.
• Go to Audit Planning: When user clicks on go to audit planning icon audit planning view & calendar page should be displayed on the page.
• Go to all audit assessments: When user clicks on go to audit all assessments icon all audit assessments calendar page should be displayed on the page.

1. Can we edit / Modify created audit plan in audit register module? 

• Click on edit icon in audit plan home page. 
• Audit plan popup should be displayed on the page.
• In Edit audit plan we can edit below fields :
• Audit Title
• Audit Name
• Audit Scope
• Audit Objective
• Audit Description
• Audit Type
• Status
• Start & End Dates.
• Select Facility.
• Select Templates.
• Editing a previous audit plan (i.e. one that has already been created or completed) serves specific purposes, usually related to accuracy, documentation, follow-up, or compliance. From a professional or quality management perspective, this is typically done with control and justification.
• Updated details successfully message should be displayed on the page. 

1. Can we delete a created audit plan in audit register? 

• Yes, we can delete an audit plan if some assessments are created already also with this audit plan.
• If a user deletes an audit plan that contains associated assessment plans and assessments, all related data will be deleted successfully.When user click on delete icon in audit register home page delete popup message should be displayed with yes or no button. 

1. Can we download Audit plan Reports? 

• Yes, in most audit management systems or quality management software, you can download audit plan reports.
• Yes, you can usually download audit plan reports if your audit system supports it. The report will typically include all planned audit details for documentation, communication, or record-keeping.
• These reports are typically exported in formats like Word (.docx), PDF, or Excel, depending on the system’s capabilities.
• Audit plan can be downloaded in 2 formats: Those are mentioned below:
• Word Report
• PDF Report
• Word Report: The downloaded Word report will include the Audit Plan Summary data & Audit Assessments data.
• In downloaded Word Report below data will show in Audit Plan Summary:
• Audit Number
• Audit Title
• Audit Name
• Audit Scope
• Audit Objective
• Audit Type
• Description
• Facilities
• Templates
• Start Date
• End Date
• Status
• In downloaded Word Report below data will show in Audit Assessments:
• Assessment
• Template Name
• Risk Accept
• Risk Mitigate
• Risk Avoid
• Risk review
• Risk Transfer
• Date
• Status

• PDF Report: The downloaded PDF report will include the Audit Plan Summary data & Audit Assessments data.
• In downloaded PDF Report below data will show in Audit Plan Summary:
• Audit Number
• Audit Title
• Audit Name
• Audit Scope
• Audit Objective
• Audit Type
• Description
• Facilities
• Templates
• Start Date
• End Date
• Status
• In downloaded PDF Report below data will show in Audit Assessments:
• Assessment
• Template Name
• Risk Accept
• Risk Mitigate
• Risk Avoid
• Risk review
• Risk Transfer
• Date
• Status

1. What is the use of go to audit plan icon in audit register home page?

• The "Go to Audit Plan" icon on the Audit Register home page is a quick-access feature that allows users to view, open, or edits the full details of a specific audit plan directly from the audit list.
• The "Go to Audit Plan" icon on the Audit Register home page allows users to directly access and manage the full details of a selected audit. It serves as a shortcut to open the complete audit plan, saving time and improving navigation.
• When user click on “Go to Audit plan” icon user can see Audit planning view page.
• In Audit planning view page user select below fields :
• Auditor
• Facility
• Template
• In Audit planning view page user can create new audit assessment.
• In audit planning view user can see the entire created audit assessment in that audit plan.
• When user click on back button in audit planning view page it should be navigated back to audit register home page.
• In audit planning view screen we can see below status mentioned below:
• New/Not Started
• In Progress
• Completed
• Incomplete
• Schedule later

1. What is the use of go to all audit plan icon in audit register home page?

• The "Go to All Audit Assessments" icon on the Audit Register home page provides users with quick access to all assessments linked to a particular audit plan. It's a shortcut to view, manage, and track the assessment activities related to that audit — such as checklists, questionnaires, or audit findings.
• When user click on “Go to all audit assessments” icon in audit register home page it should be navigated to full calendar page.
• Check whether user can create new audit assessments from this calendar page or not.
• Check whether created audit plan start date & end dates should be enabled in full calendar page.
• Check whether created audit assessments status should be displayed in this full calendar page are as below:
• New/ Not Started
• In Progress
• Completed
• Incomplete
• Scheduled Later
• Check whether what all the dates specified in audit plan start date & End dates those dates user can create new audit assessments.

1. How to create new audit assessment from audit planning View page?

• Click on go to audit planning icon. 
• Audit planning view should be displayed with following fields: 
• Select Auditor: In this field site contact & limited Site contact user should be displayed on the page. When user selects any user if that user assigned with any assessment those assessments should be displayed on the calendar page.

• Facility Dropdown: When the user creates a new audit plan, the facilities related to the selected audit plan should be displayed here.
• Template: When the user selects a template while creating the audit plan, the selected template should be displayed on the page. 
• Conflict User: In an Audit Register, within the Audit Planning View, a Conflict User refers to a user who has a potential conflict of interest with the audit being planned. This person should not be assigned to the audit team or involved in the audit process due to their prior or current role, responsibilities, or relationships with the audit subject.
• Check whether if any newly created audit assessments are assigned to that same auditor in audit planning view it should display already scheduled audit assessments for this auditor on selected dates.
• Right Side calendar should be displayed. 
• Click on date in calendar view audit plan selected date range should be displayed on the page. 
• Audit Assessment creation popup should be displayed on the page. 
• Audit Assessment popup fields displayed below: 
• Assessment Name: User can give audit assessment name. 
• Start Date: Start date should display as per the audit plan. 
• End Date: End date should display as per the audit plan. User can customize start date & End date always. 
• Selected Facility: Selected facility should be displayed in this field. 
• Selected Template: Selected Template should be displayed on the page. 
• New audit Assessment: Newly created audit assessments should be displayed on the Audit planning view calendar page. 
• Check whether status available in audit planning view calendar page are as mentioned below:
• New: Newly created audit assessments should be displayed in Red Colour. 
• In Progress: When user start audits assessments then it should be in blue colour. 
• Completed: When user complete audit assessments then it should be displayed in green colour. 
• In complete: When user start audit assessment and not complete that assessment then it should display in yash colour. 
• Schedule Later: When user creates new audit assessment for future date then those assessments should be displayed in orange colour. 

1. How to see all audit assessments in Go to all audit assessments icon in audit plan page? 

• Click on Go to all audit assessments icon in audit plan. 
• It should be navigated to full calendar page. 
• In full calendar page it will display all created audit assessments. 
• User can create new audit assessments from here also as per the plan range. 

1. How to edit audit assessment in go to all audit assessments full calendar page? 

• When user clicks on created assessment in full calendar page created audit assessment popup should be displayed on the page. 
• User can edit below fields in audit assessment popup: 
• Assessment Name 
• Start Date 
• End Date 
• Select Auditor  
• Select Facility 
• Select Template 
• When user change any above field & click on submit button updated details should be displayed on the page. 
• Audit assessments recorded in the audit register may need to be edited periodically to ensure they remain accurate, relevant, and reflective of the current status of audit activities. This section explains why and when users may need to edit these assessments.

1. Can we delete audit assessments from Go to all audit assessments full calendar screen? 

• When the user clicks the delete button in the audit assessment full calendar popup page, delete popup page should be displayed with yes or No when user select yes button then selected audit assessment should be successfully deleted.
• When user select “No” button in full calendar page full calendar home page should be displayed on the page.
• When user delete audit assessment in Go to all audit assessments in full calendar screen selected audit assessments will be deleted permanently.
• Audit Plan should not be deleted when user delete any audit assessments from “Go to all audit planning screen”.

1. Can we download or export the Audit Plans and in which format? 

• Yes, in most risk and audit management systems, you can download or export Audit Plans, and the available formats typically include:
• Excel Format

1. Can we hide/seek Audit Register screen columns? 

• Open the Audit Register screen 
• Go to Right side of the screen 
• Click on See/hide column 
• Selected list items columns are displayed on the screen 
• Unselected columns are not displayed on the screen.

1. What are events in Audit Register module? 

• Events section will capture all changes done by user on Audit Register module screen. 
• In events section below fields should be displayed: 

1. Search Field: When user enters related text in events search field if entered text is matching then data should be displayed on the page. If no data available on the page “No records found” message should be displayed on the page. 
2. Click here to view/hide details: When user click on click here to view icon columns popup should be displayed. When user unchecks any column that column should not be displayed on the page. Checked data should be displayed on the page. 
3. Excel Export: When user clicks on excel export link excel sheet should be downloaded successfully. 
4. In events screen we will capture below operations done by an end user:

• Create
• Update:(Audit Title, Audit Name, Audit Scope, Audit Description, Audit type,Status,Start Date , End Date, Select Facility & Select Template )
• Delete

1. Where we can see all created audit assessments? 

• In a risk assessment product, all created audit assessments can typically be found in risk assessment module under audit assessment tab.