Objective
In the Track Open Findings app, an audit team can evaluate how a management has responded to action plans and recommendations proposed in a finding. An audit manager, audit lead, or auditors can change an executive responsible person for the finding, create new action plans, approve action plans, add attachments and links to findings, set statuses for findings, and raise findings as ad-hoc issues to SAP Process Control in the Track Open Findings app.
Open a finding and select Edit to change an executive responsible person for a finding in the Track Open Findings app.
An audit manager, audit lead, or auditor can create action plans for an open finding in the follow-up phase in the Track Open Findings app. It is also possible to create additional action plans under these newly created action plans or under other existing draft action plans.
When a new action plan is created, one of mentioned above audit team members opens it, and selects Accept Draft to transfer the action plan to the status, Open, and start follow-up activities for it.
As an audit manager, audit lead, or auditor, you can propose an ad hoc issue to SAP Process Control based on a finding. Open the Track Open Findings app, select a finding, select Raise Issue, and choose a connector to SAP Process Control. Integration with SAP Process Control should be configured to perform the scenario.
After the ad hoc issue was raised to SAP Process Control, the link to the SAP Process Control object is displayed under the Activities section of the finding.
Select the hyperlink in order to directly navigate to the SAP Process Control. Log in with your user and password, and check the details of the ad hoc issue. If SSO is activated, you can skip this step, as you will be automatically logged into the system.
All raised ad hoc issues are stored in SAP Process Control in the Issues app. Ad hoc issues will be processed according to SAP Process Control scenarios out of SAP Audit Management.
The My Findings app allows auditees to monitor findings under their responsibility. An executive responsible person for a finding can add attachments and links to findings, create new action plans and send them for approval to an audit team, change responsible persons and deadline of action plans, add attachments/links, and comments for action plans of findings.
An audit team can add attachments and links to open findings on the follow-up phase in the Track Open Findings app, executive responsible persons – in the My Findings app.
The following figure shows the flow of status changes for findings. Only the follow-up phase part is explained within the current lesson. Find the explanation of the execution phase part in the unit, Executing an Audit, and lesson, Creating Findings and Action Plans.
When the work on findings is finalized, an audit manager, audit lead, or auditors changes the status of open findings to Closed in the Track Open Findings app. To close a finding, all open action plans assigned to this finding must be in one of the final statuses. Closed findings can be reopened if it is necessary to continue work on the findings.
If a finding is not needed and will not be processed further, then an audit manager, audit lead, or auditors can mark it as obsolete in the Track Open Findings app. When the Obsolete status is set for the finding, all action plans under the finding with the statuses Open and In Process will automatically be set to the status, Obsolete.
Optional notes can be provided for each status change activity.
To set a final status for a finding, select Close or Obsolete in the Track Open Findings app.
Closed and obsolete findings are stored in the Display Historical Findings and My Findings apps.
To reopen closed findings, open the Display Historical Findings app, choose one of the closed findings from the list, and select Reopen. Optional notes can be provided. The reopened finding will obtain the status, Open. Work on reopened findings can be continued in the Track Open Findings and My Findings apps.
View activity history for a finding in the Activities section of the finding.
