1. Audit mandate management
In this article you will learn how to create and update an audit mandate and how associate observation, recommendation, action plans and deliverables.
The audit process is useful to ensure that the organization is following policies and procedures
Managing an audit mandate
Audit mandates are defined by fiscal years. You can create and update an audit mandate.
Creating an audit mandate
From the QuartzGOV homepage, click on the 'Audit Mandate' button in the 'create' menu. The audit mandate creation screen will appear :
- Give a title to your mandate;
- Select a fiscal year with the drop-down list;
- Fill 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 by using the 'lead auditor' button.
- Click the 'is active' button to activate your audit mandate.
- And, click on 'add'.
Audit mandate creation screen
Accessing the audit mandate main list
From the QuartzGOV homepage click on 'Audit mandates' inside the 'Oversight, Audit and tracking' module in order to display the list of audit mandates. The list displays the main information about each mandate.
Example of audit mandate list with main information about each mandate
Finding an audit mandate
Filters on the right of the screen allow you to search mandate you want to see according to different criteria:
- You can use Lead auditor if you know the lead auditor present 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 allows you to search for a specific item.
Editing an audit mandate
From the audit mandate main list, click on the audit mandate that you want to edit to display the mandate detailed view. From the view, you can edit the mandate and update the fields that you want to modify.
Link or unlink controls to an audit mandate
From an audit mandate detailed view, click on 'add related controls' to link controls with your audit mandate. If you want to unlink a control, click on the 'unlink' button of the relating control.
Control management screen from an audit mandate detailed view
Managing an observation
Observations are related to an audit mandate. You can create, update and delete an observation.
Creating an observation
From an audit mandate detailed view, click on the 'add' button in the 'observations' field. The observation creation menu will appear. From the menu, you can:
- Add a description (this is mandatory to create it);
- And, describe the impact in the 'impacts' field.
Observation creation screen
Finding an observation
Once an observation has been created, it will appear on an audit mandate detailed view.
List of observations linked to the audit mandate 'Recommendation tracking'
Editing an observation
From the audit mandate detailed view, click on the observation that you want to edit to open the observation detailed view. From the view, you can edit the observation and update the field that you want to modify.
Linking or unlinking controls to an observation
On the same principle as an audit mandate, from an observation detailed view, click on 'add related controls' to link controls with your observation. If you want to unlink a control, click on the 'unlink' button of the relating control.
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 and 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 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 with the 'priority' drop-down list.
You can also add an owner delegate and click the ' handled by project' button if you want 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 'Oversight, Audit and tracking' module in order to display the list of recommendations. The list displays the main information about each recommendations.
Example of recommendation list with main information about each recommendation
Finding a recommendation
Filters on the right allow you to search recommendation you want to see according to your criteria. A magnifying glass in each filter allows you to search for a specific item.
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
Edit the header with the 'edit' button on the top right of the section allows 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 to update recommendation summary and extra details.
The 'note' section
The 'notes' section allows to add notes and attachment to the 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 plan 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 for which you want to create an action plan. 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 owner, owner delegate, and an action plan tag with the 'action plan tags' drop-down list.
Action plan creation screen
Accessing the action plan main list
From the QuartzGOV homepage click on 'Action plans' inside the 'Oversight, Audit and tracking' module in order to display the list of action plans. This list displays the main information about each action plans.
Example of action plans list with main information about each action plan
Finding an action plan
Filters on the right of the screen allow you to search for an action plan you want to see according to 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 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 to update description and tags.
Deleting an action plan
From the action plan detailed view you want to delete, 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 target date.
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.
Deleting a deliverable
From the deliverable detailed view you want to delete, click on the 'delete' button.