Create a control test from an engagement
Create a control test that runs periodically and provides documented evidence of whether the associated control is operating correctly or not.
Before you begin
Role required: sn_audit.manager, sn_audit_ws.supervisor
Procedure
Navigate to All > Audit > Audit Workspace.
Select the lists icon (
List icon.\).
Select All engagements or My engagements in the Execution list.
Assign an audit task to an engagement that is in one of the following states:
- Validate
- Fieldwork
- Select the link to the engagement record in the Name column.
The engagement record details open in the Overview tab.
Select the Audit tasks related list.
Click the grouped button below the related lists and select New control test from the list.
On the form, fill in the fields.
| Field | Description |
|---|---|
| Number | Unique identification number. |
| Name | Name of the control test. |
| Parent | Parent engagement. |
| Test plan | Test plan associated with this control test. |
| State | State of the control test. The default state is Open. |
| Control effectiveness | Control effectiveness. |
| Issue | Issue related to this control test. |
| Assignment | |
| Assigned to | User assigned to the control test. |
| Schedule | |
| Planned start date | Intended start date of the control test. |
| Planned end date | Intended end date of the control test. |
| Planned duration | Expected duration of the control test. As with actual duration, the planned duration shows total activity time and takes the control test schedule into consideration. |
| Actual start date | Actual start date of the control test. |
| Actual end date | Actual end date of the control test. |
| Actual duration | Duration of the control test from control test start to control test closure. |
| Design test | |
| Design effectiveness | - None - Effective - Ineffective |
| Design expectations | Basic requirement that should be met for a control to be effective. This field 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 procedure is based on the design expectation. |
| Design results | Results of testing the design of the control based on the design assessment procedure. |
| Operational test | |
| Operating effectiveness | - None - Effective - Ineffective |
| Operational expectations | Expectations that should be met to ensure that the control is operating effectively to achieve the control objective. |
| Operational assessment procedures | Detailed steps, to carry out the operational expectations, which must be performed to conclude that the control is operating successfully. |
| Operational results | Results of testing the operation of the control based on the operation assessment procedure. |
| Activity | |
| Work notes \(Private\) | Comments that the audit manager and audit supervisor can only view. |
| Additional comments | Comments that customers can also view. |
| 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 the confidential option, see Confidentiality flag for audit and compliance records. |
Select Save.
You can view the description and monitor the state of the control test in the State banner of the Overview page as the record progresses through the control test process flows.