Plan the engagement

This topic applies to Caseware Audit

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The 010 Planning optimiser checklist document consists of questions to help you set specific preferences for the audit engagement, such as:

  • Acceptance or continuance procedures.
  • Accounting framework.
  • Firm composition.

The checklist also includes a Guidance tab that describes the purpose and scope of the document as it relates to regulatory standards.

Complete the 010 Planning optimiser to have additional documents and content included in the engagement. Once you respond to the last question, the Next step section displays with a link to the document that you need to complete next.

You can view a list of the current documents in the engagement by selecting the Documents icon () or clicking the Documents tab. A panel opens on the right side showing the available documents grouped by phase. You can also select a document to open it. Once you open a document, you can pin it for quick access using the pin icon ().

To sign off on the Planning Optimiser document, select Sign Off at the top-right corner of the document and choose the applicable role for your signoff. To learn more, see Manage the engagement documents.

Note: You can change the signoff workflow for a document by creating custom signoff roles and schemes. To learn more, see Define signoff roles and schemes.

To learn more about checklist documents, see Add a checklist.

In the Planning phase, you:

  1. Perform the acceptance and continuance procedures.
  2. Collect the initial information and documents.

Note: Ensure all the documents in this phase are signed off by the designated roles. To toggle the document signoffs view, select More Actions () | Sign-offs.