Linking evidence from Results

Link Results data to your documentation in Projects to consolidate information, inform assessments, and easily sign-off on when remediation is complete.

Before you start

Your organization must be using both Projects and Results, and must complete the following tasks in each app:

App Tasks
Projects / Frameworks
  1. Create a project or framework.
  2. Add objectives to the project or framework.
  3. Define risks and procedures or risks and controls.
Results

Create the table or metric you want to link as evidence.

How it works

During any assessment phase, you can link different types of evidence to support your documentation. By linking evidence, you highlight exceptions or important information that pertains to a control failure, and eliminate subjectivity in risk assessments.

You can also link evidence to view remediation statuses and easily sign-off when all exceptions have been remediated.

What types of evidence can be linked?

The following table shows the different types of Results data you can link to Projects items:

Results data Projects items

Metric

Tip

Metrics monitor the data in a single column of a table (Data Analytic, Survey, or Event Report) over a time period using an aggregate function.

Workplan workflow:

  • risks in a project
  • execute procedures in a project

Internal Control workflow:

  • risks in a project
  • walkthroughs in a project
  • tests in a project

Tables:

  • Data Analytics
  • Surveys
  • Event Reports

Workplan workflow:

  • risks in a project or framework
  • execute procedures in a project

Internal Control workflow:

  • risks in a project or framework
  • walkthroughs in a project
  • tests in a project

Examples

Scenario

You need to track potential duplicate payments made against the same invoice to detect and prevent improper payments. As part of your duties, you must monitor the risk on an ongoing basis and report any quarters where potential duplicate payments are more than 11% of total payments.

Process

To monitor this threshold, you configure a Key Risk Indicator in Results by:

  1. Filtering the metric data on potential duplicate payments, so that only potential duplicate payments are measured.
  2. Setting the metric calculation period to quarterly.
  3. Creating a % of Total metric that calculates potential duplicate payments as a percentage of total payments.
  4. Setting the metric threshold to greater than 11.

To display the metric in Projects, you link the metric to the appropriate risk in a project.

Result

If potential duplicate payments are more than 11% of total payments, per quarter, the metric indicates that the threshold has been exceeded.

Tip

You can set up triggers to notify key stakeholders when a metric falls below or exceeds a threshold. For more information, see Triggering automated activity.

Scenario

You create a data analytic that samples 100 invoices. As part of your analysis, you identify two invoices that were not approved by the appropriate personnel, and create an interpretation that visualizes the exception data.

You want to attach this information as evidence within a control test so that:

  • all 100 invoices records are visible AND
  • the two exceptions are clearly noted

Process

To display the data analytic in Projects, you link the data analytic and the associated interpretation to the relevant test.

Result

The data analytic displays in the relevant test. The data analytic shows the whole population of sampled invoices, while the interpretation highlights the important records from the analysis.

Permissions

To link Results data to an item in Projects, you must:

  • be assigned the Professional Manager or Professional User role within the project or framework in Projects
  • have view access to the appropriate data within the collection in Results

Steps

Navigate to the appropriate item in a project or framework

Item Steps
Risk
  1. Open a project or framework.
  2. Click the Fieldwork tab or within a framework, click the Objectives tab.
  3. Click Go To  beside the appropriate process, and select Risk Control Matrix.
  4. Click Risk next to the View by label.
  5. Click the appropriate risk title.
Execute Procedure
  1. Within a project, click the Fieldwork tab.
  2. Click Go To next to the objective you want to work with and select Execute Procedures.
  3. Click View/Edit beside the procedure you want to work with.
Walkthrough
  1. Within a project, click the Fieldwork tab.
  2. Click Go To next to the appropriate process and select Walkthroughs.
  3. Click View/Edit next to the walkthrough you want to view or edit.
Test
  1. Within a project, click the Fieldwork tab.
  2. Click Go To next to the appropriate process and select Testing.
  3. Click the tab for the testing round you want to work with.
  4. Click Update Test beside the appropriate test.

Link evidence

Note

You cannot link evidence from archived collections in Results. If you previously linked evidence, and archived the collection in Results where the evidence is located, the evidence is protected in a read-only state.

  1. Under Supporting Files, click Add/Remove next to Metrics, Data Analytics, Surveys, or Event Reports.
  2. Search for a metric by name, or click the All Collections dropdown list and do one of the following:
    • To search for a table, enter a keyword.
    • To filter tables by collection, select the appropriate option from the dropdown list.
  3. Select the appropriate metric or table from the list.

    If you select a data analytic, all interpretations are selected by default.

    Note

    You can link results from Results at the data analytic or interpretation level. A data analytic may contain the whole population of data analytics, while an interpretation can be used to highlight the important records from an analysis.

  4. Optional. If you selected a data analytic, deselect interpretations you do not wish to include:
    1. Click the test title.
    2. Deselect the appropriate interpretations.
  5. Click Save.

    The linked evidence displays under Metrics, Data Analytics, Surveys, or Event Reports.

View, add, or remove linked evidence

Complete any of the following actions:

  • To view summary information for a test, click the down arrow  or simply view the number of active and resolved records in the test.
  • To view detailed status information for Active and Resolved records, hover your mouse over the information icon .
  • To redirect to the metric configuration in Results, click View Data.
  • To redirect to the records in Results, click the test link.
  • To redirect to the visualization in Results, click the interpretations link.
  • To add or delete linked metrics or tables, click Add/Remove.

    Removing metrics or tables only removes the link in Projects. The data in Results is retained.