Implementing Recommendations
Recommendations are sent automatically to recommendation owners when the closing report is circulated.
Accessing Recommendations
The recommendation owner receives an e-mail for all recommendations addressed to him.
To access recommendations to be executed:
Click My Tasks > Action Plans > Recommendations to implement. Recommendations assigned to you appears.
Implementing Actions
The recommendation owner must create actions whose objective is to implement these recommendations.
Creating actions
To create an action:
1. Open the properties of an audit, and select the Recommendations page.
2. In the properties of a recommendation, select the Action Plan page.
3. In the Actions section, click New.
4. Open the properties of the action created.
5. Modify its name if necessary, enter a deadline and an action Owner.
The list available in the Owner field corresponds to the list of auditees defined on the audit.6. Click OK.
Submitting the recommendation
Actions created and assigned to appropriate users constitute an action plan. This action plan is submitted to the lead auditor or the audit director via the recommendations workflow.
To submit a recommendation:
Click the recommendation icon and select Recommendation to be sent-out > Send-out recommendation.The lead auditor or audit director validates the recommendation by return.
Following up Recommendation Implementation
When the recommendation has been validated, actions are implemented by the auditees.
Following up recommendation progress
After a predetermined period, the audit director or lead auditor can request information on progress of recommendations.
The audit director can consult the list of recommendations of an audit plan in the Recommendations page of the audit plan. A Follow-up attribute indicates recommendations that are linked to a follow-up audit.
Specifying recommendation progress
The recommendation owner must inform the audit director on progress of his actions.
To indicate progress of recommendations:
1. In the properties of a recommendation, select the Action Plan page.
2. In Progress Rate, specify an execution percentage of the action plan (that is of the recommendation).
The recommendation owner can also indicate action progress in the page of the action.Following Recommendations
An analysis report assures follow-up of recommendations. This report is accessible to the audit director or the IRM functional administrator.
To access this type of report:
1. Select Analysis > Action Plans > Recommendations.
2. In the drop-down list select Recommendations report.
To create a recommendation report:
1. Click New and open the report created.
2. In Parameters, connect the objects that interest you:
• Audit plans
• Audits
• Processes
• Risks
• Entities
You will see:
• Recommendations breakdown by priority
• Recommendations breakdown by progress (delayed, etc.)