2. ARIC process management
In this article you will find how to manage an ARIC governance process and how to review the controls.
Annual Report on Internal Controls (ARIC) is a review of controls by its owners. This governance process is useful to monitor and update controls.
Managing an ARIC governance process
The 'Pilot-admin' role is required to create, update or close an ARIC governance process.
Creating an ARIC governance process
From the QuartzGOV homepage, click on the settings button on the top right of the screen to open the setting menu (see below). From this meny, you can select the 'Governance processes' option and click on the 'new' button.
Way to access to the governance process creation screen
The following articles also refer to the Governance Processes screen:
Governance Mandate 2. Governance mandate action plan process
Information Security Mandate 2. Information security mandate action plan governance process
Oversight, Audit and Tracking 2. Audit action plan governance process 3. Audit email tracking
Risk Management 1. Risks
A governance process creation screen should appear. On this screen you can:
- Select 'ARIC' from the 'type' drop-down list;
- Select the fiscal year you want to create it in from the 'Fiscal year' drop-down list;
- Add a name to the ARIC governance process;
- Select a start date, end date and a deadline;
- Click the 'is active' button if necessary;
- And, click on the 'create' button.
ARIC governance process creation screen
It is no possible to create a new ARIC governance process while one is already open.
Updating an ARIC governance process
If you need to update an existing ARIC process, go to the settings menu and click on the 'governance processes' button to display the governance process list. Open the 'ARIC' you are looking for and click on the 'edit' button in order to open the edit screen. You can edit the fields you want to update.
ARIC editing screen
Closing an ARIC governance process
If you need to close an ARIC governance process, go to the editing screen and click the 'is active' button to move it to 'inactive'.
Managing a Key control certification
The 'Pilot-ControlGovernanceCertificationOwner' role is required to manage a Key control certification.
Inviting a control owner to perform their certification
From the QuartzGOV homepage, click on the 'ARIC' link under the field with your name in order to open the ARIC main menu.
Control owners or delegates who have not started their certification appear with the 'Ready for certification' status.
To invite someone to perform their certification, click on the card with the person's name and click on the 'send reminder' button. This person will receive a notification on QuartzGOV and an email invitation with a link to go to their certification.
Inviting control owners and delegates
Access your control certification
You can access your control certification from the application or from your email address if you have received an invitation email.
Access from QuartzGOV
From the QuartzGOV homepage, click on the bell icon and click on the notification.
Access from your email address
Click on the invitation link from your email.
Email invitation template
Performing a control certification
From the control certification screen:
- You can view the name of the control to certify.
- Answer the questions for all controls and click on 'submit certification'.
Control certification screen
Performing a control certification review
If the certification contains changes according to the last certification, it needs to be reviewed by another user with the 'Pilot-ControlGovernanceCertificationOwner' role. A card will appear with the 'Certification to review' status.
Validating a certification
From the ARIC main menu, click on the menu button of the card that you want to review and click on the 'Show controls' button. The list of the controls to review will appear. Click on the 'View certification' button in order to open the certification review screen.
- Click on the 'Review certification' button to validate the review.
Control certification review screen
After your review, the card will appear with the 'Completed' status
Canceling a certification
From the ARIC main menu, click on the menu button of the card that you want to review and click on the 'Send unlock certification' button. The card will reappear with the 'ready for certification' status.