Create a control test from an engagement
After defining a control, audit managers create control tests that run periodically and provide documented evidence of whether the associated control is operating correctly.
Before you begin
Role required: sn_audit.admin and sn_audit.manager
Procedure
Navigate to All > Audit > Engagements > All Engagements.
Open the engagement for the audit task you want to create.
Assign audit tasks to engagement in one of the following states:
- Validate
- Fieldwork
- Awaiting approval
- In the Audit Tasks Related List, click New.
In the Audit Tasks Interceptor, click Control Test.
On the form, fill in the fields.
| Field | Description |
|---|---|
| Number | Unique identification number. |
| State | - Open - Work in Progress - Review - Closed Complete - Closed Incomplete - Closed Skipped |
| Parent | Parent audit task. |
| Control effectiveness | Control effectiveness. |
| Assigned to | User assigned to this control test. |
| Issue | Issue related to this control test. |
| Test plan | Test plan associated with this control test. |
| Short description | Brief description of the control test. |
| Schedule | |
| Planned start date | Intended date the control test should begin. |
| Planned end date | Intended date the control test should end. |
| Planned duration | Expected duration of this control test. As with actual duration, the planned duration shows total activity time and takes the control test schedule into consideration. |
| Actual start date | Date that this control test began. |
| Actual end date | Date that this control test ended. |
| Actual duration | Duration of the control test from control test start to control test closure. |
| Design test | |
| Design effectiveness | - Effective - Ineffective |
| Design expectations | Basic requirement that should be met by a control so that it is effective. This checks if the control was designed properly to achieve the control objective. |
| Design assessment procedures | Procedure or steps to be followed to conclude whether the design of the control is effective to achieve the control objective or not. This is based on the design expectation. |
| Design results | Results of testing the design of the control based on the design assessment procedure. |
| Operation test | |
| Operation effectiveness | - Effective - Ineffective |
| Operation expectations | Expectations that should be met to ensure that the control is operating effectively to achieve the control objective. |
| Operation assessment procedures | Detailed steps, to carry out the operation expectations, which need to be performed to conclude that the control is operating successfully. |
| Operation results | Results of testing the operation of the control based on the operation assessment procedure. |
| Activity journal | |
| Work notes | Comments that are viewable by the audit manager. |
| Additional comments | Customer-viewable comments. |
| Confidentiality | |
| Confidential | Option to enable confidentiality of the record. Only the assigned confidential users or confidential groups of users can access the record.For more information on confidential option, see Confidentiality flag for audit and compliance records. |
Click Submit.
Automatically generate control tests from an engagement
After adding an entity to an engagement, you can automatically generate control tests.
Parent Topic:Manage engagements