1. Governance mandate management
In this article you will learn how to create and update an audit mandate and how to associate observation, recommendation, action plans and deliverables.
Managing a governance mandate
Governance mandates are created on a fiscal year basis. Users with the 'Pilot-GrpBusinessUnit_BTGMandate' can create and update a governance mandate.
Creating a governance mandate
From the QuartzGOV homepage, click on the 'Governance mandate' button in the 'create' menu. A governance mandate creation screen will appear. On this screen, you should be able to:
- Give a title to your mandate;
- Select a fiscal year from the drop-down list;
- Add a start date, end date and presentation date;
- Add a rating to your audit mandate from the 'overall ratings' drop-down list;
- Select a lead auditor with the 'Assigned to' button;
- And, click on 'save' to create the mandate.
Governance mandate creation screen
Accessing the governance mandate main list
From the QuartzGOV homepage click on 'Mandate' inside the 'Governance mandate' module to display the list of governance mandates. The list displays the main information about each mandate.
Example of a governance mandate list with the main information about each mandate
Finding a governance mandate
Filters on the right allow you to search a mandate according to different criteria:
- You can use Assigned to if you know the lead auditor present on your mandate.
- You can use Fiscal year if you know the fiscal year of your mandate.
- You can use start date if you know the start date of your mandate.
- You can use end date if you know the end date of your mandate.
- You can use deadline if you know the deadline of your mandate.
A magnifying glass in each filter lets you to search for a specific item.
Editing a governance mandate
From the governance mandate main list, click on the 'menu' button of the mandate that you want to edit to display the mandate detailed view. From this view, you can edit the mandate and update the field that you want to modify.
Managing an observation
Observations are related to a governance mandate. You can create, update and delete an observation.
Creating an observation
From the governance mandate main list, click on the 'Menu' button of the mandate in which you want to add an observation and click on the 'create observation' button. An observation creation menu will appear. In this menu, you should be able to:
- Add a description to your observation;
- and, describe the impact on the 'impacts' field.
Observation creation screen
Finding an observation
After an observation has been created, it should appear on an audit mandate detailed view.
List of observations linked to the governance mandate 'Mandate 1212'
Edit an observation
From the audit mandate detailed view, click on the observation that you want to edit in order to open the observation detailed view. From this view, you should be able to edit the observation and update the field that you want to modify.
Linking or unlinking controls to an observation
From an observation detailed view, click on 'add related controls' to link controls with your observation. If oyu want to unlink a control, click on the 'unlink' button of the linked control to unlink it.
Deleting an observation
From the observation detailed view you want to delete, click on the 'delete' button on the top right of the screen.
It is possible to delete an observation only if no recommendations are linked to it.
Managing a recommendation
Recommendations are related to an observation. You can create, update or delete a recommendation.
Creating a recommendation
From an observation detailed view, click on the 'add' button in the 'recommendation' field. The recommendation creation menu will appear. To create a recommendation it is mandatory to add:
- A name and summary;
- A recommendation owner(s);
- The type of the recommendation selected in the 'type' drop-down list;
- The priority of the recommendation selected in the 'priority' drop-down list.
You can also add an owner delegate and click the ' handled by project' button if you want to manage your recommendation by project.
Recommendation creation screen
Once a recommendation has been created, it will appear on the observation detailed view
Accessing the recommendation main list
From the QuartzGOV homepage click on 'Recommendation' inside the 'Governance mandate' module in order to display the list of recommendations. The list will diplay the main information about each recommendations.
Finding a recommendation
Filters on the right allow you to search for a recommendation based on your criteria. A magnifying glass in each filter lets you search for a specific recommendation.
Editing a recommendation
Click on the recommendation that you want to edit in order to open the recommendation detailed view. This screen is structured in different editing sections.
Recommendation detailed view
The header
You can edit the header with the 'edit' button on the top right of the section. From this section, you should be able to:
- Update the recommendation title;
- Add or remove a recommendation owner;
- and, add or remove a recommendation delegate.
The 'recommendation' section
The recommendation section allows you to update recommendation summary and extra details.
The 'note' section
The 'notes' section allows you to add notes and attachment to a recommendation if necessary.
Deleting a recommendation
From the recommendation detailed view you want to delete, click on the 'delete' button on the top right of the screen.
It is possible to delete a recommendation only if no action plans are linked to it.
Managing an action plan
Action plans are related to a recommendation. You can create, update or delete an action plan.
Creating an action plan
From the recommendation list, click on the 'add action plan button' on the recommendation. You can also click on the 'add' button in the 'action plan' field from a recommendation detailed view. The action plan creation menu will appear. To create an action plan it is mandatory to add a name and description. You can also add an owner and an owner delegate.
Action plan creation screen
Accessing the action plan main list
From the QuartzGOV homepage click on 'Action plans' insight the 'Governance mandate' module in order to display the list of action plans. This list displays the main information about each action plans.
An example of action plans list with main information about each action plan
Finding an action plan
Filters on the right allow you to search for an action plan based on your criteria. A magnifying glass in each filter allows you to search for a specific item.
Editing an action plan
Click on the action plan that you want to edit in order to open the action plan detailed view. This screen is structured in different editing sections.
Action plan detailed view
The header
Click on the 'edit' button on the header in order to update the action plan title, owner(s), owner delegate, and target date.
The 'action plan' section
The action plan section allows you to update the action plan description.
Deleting an action plan
If you want to delete an action plan, you can go to its detailed view and click on the 'delete' button on the top right of the screen.
It is possible to delete an action plan only if no deliverables are linked to it.
Managing a deliverable
Deliverables are related to an action plan. You can create, update or delete a deliverable.
Creating a deliverable
From an action plan detailed view, click on the 'add' button in the 'deliverable' field in order to display the deliverable creation screen. The name and description are mandatory to create a deliverable. You can also add a deadline.
Deliverable creation screen
Finding a deliverable
Once it has been created, the deliverable will appear on the action plan detailed view.
List of deliverables linked to the action plan 'AP 1212'
Editing a deliverable
From the action plan detailed view, click on the deliverable that you want to edit and update the field that you want to modify.
Delete a deliverable
From the deliverable detailed view you want to delete, click on the 'delete' button.