Use Findings to document issues that need to be reported.
Management action plans will be added later to reflect management's plan to address the finding.
To create a Finding:
- Select Findings.
- Select NEW FINDING.
- Fill out the information required in the New Finding dialog.
|Finding||A finding's description.|
|Risk Rating||The severity of a finding.|
|Working Paper References||The tasks and controls which triggered the creation of the finding. This links the task to the finding.|
|Finding Status||The finding is in a draft status up until it has been signed off by a reviewer. To prepare and review a finding, open the finding, navigate to the Working Papers tab and select it in Fieldwork > Complete Findings.|
|Action Plan Status||Indicates whether at least one management action plan has been provided.|
|All Risk Ratings||Show findings with selected risk ratings. Options: Low, Medium, High.|
|All Finding Statuses||Show final and draft findings.|
|All Action Plan Statuses||Show findings with or without management action plans.|
Tip: Hover over the () icon to see what is required for each field.
Note: The Management Response and Management Action Plan should reflect what management has provided to you.
When the project is finalized the project is locked and the Management action plan appears in the Action Plans menu.
To view additional information about Findings:
- Select Working Papers.
- Select a task.
Every task has a flag on the right that has a hover state around it. Select the flag icon to create a new finding or to view the findings card.
There is also a flag icon () in the navigation bar to indicate a finding was created that is linked to the task.
Select the task with the red flag icon in the navigation bar to see the task with a finding.
Select the flag in the upper right corner to view the findings card. To open a finding in the Complete Findings task, select a finding in the findings card.
You can also create a NEW FINDING from the findings card.
Note: The flag has a numbered badge that updates depending on the number of findings that are linked to that task.
Select the finding in the findings card.
To complete a Finding:
- Go to Findings under Working Papers.
- Select a finding from the list.
Under Fieldwork you see Complete Findings.
Note: The contents of the task is the same as when the finding was created. You can use this page to edit the finding.
To add another action plan, scroll to the bottom of the page and select Add management action plan.
To delete the finding, select More actions (...) in the upper right corner.
To see Findings associated with individual entities:
- From the Dashboard change the toggle to the entity of your choosing.
- Change the date to reflect the projects that are planned for a specific time period.
- Select Findings to see the findings related to those projects shown in the Gantt chart.
The table shows the Project Name, Auditable Entity and Finding Rating.
Next topic: Finalize a project