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

  1. Navigate to Audit > Engagements > All Engagements.
  2. 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
  3. In the Audit Tasks Related List, click New.
  4. In the Audit Tasks Interceptor, click Control Test.
  5. Fill in the fields on the form, as appropriate.
    Table 1. Control test form
    Field Description
    Number Read-only field that is automatically populated with a unique identification number.
    State
    • Open
    • Work in Progress
    • Review
    • Closed Complete
    • Closed Incomplete
    • Closed Skipped
    Parent The parent audit task.
    Control effectiveness The effectiveness of the control.
    Assigned to The user assigned to this control test.
    Issue The issue related to this control test.
    Test plan The test plan associated with this control test.
    Short description A brief and general description of the control test.
    Schedule
    Planned start date The intended date the control test should begin.
    Planned end date The intended date the control test should end.
    Planned duration The 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 The date that this control test actually began.
    Actual end date The date that this control test actually ended.
    Actual duration The actual duration of the control test from control test start to control test closure. As with planned duration, the actual duration shows total project time and takes the control test schedule into consideration.
    Design Test
    Design effectiveness
    • Effective
    • Ineffective
    Design expectations
    Design assessment procedures
    Design results
    Operation Test
    Operation effectiveness
    • Effective
    • Ineffective
    Operation expectations
    Operation assessment procedures
    Operation results
    Activity Journal
    Work notes Comments that are viewable by the audit manager and audit manager.
    Additional comments Customer-viewable comments.
  6. Click Submit.