Audits Methodology
General
In this section, the Auditor Types are specified and the Audit Dashboard can be configured:
Types of Auditor
New: It allows to create a "New type of auditor", it will be necessary to press on the new button for it.
Remove: Eliminate an auditor type that has previously been created. To do this, click on one of the auditors already created, which will be the record that is deleted.
To translate the name of the auditor types into other available languages, it is necessary to press the "Translate" button.
Audit Dashboard
In this section you can show or hide which graphs and reports you want to see in the Audit Dashboard. To hide a graph, it must be deactivated in the "Visible" column.
Methodologies
This section allows to define different methodologies with which to evaluate and prioritize the items of the organization, as well as to perform a planning of the audit work, based on the Risk Analysis defined in other areas of the organization.
The methodologies option allows the user to parameterize the calculation of the existing controls, the criteria for evaluating the items in the organization, from the audit area. The tool allows the following initial actions:
Add: It allows to insert a new row in the methodologies, this happens when clicking the 'Add' button and can be configured by clicking on it.
Remove: It offers the possibility of removing a methodology from the list. To do this, select the desired row and click on the 'Remove' button.
Download: It offers the possibility to download the list of methodologies in an editable format (.xlsx)
When clicking on one of the methodologies, the following parameterization options are provided:
Methodology configuration
Propose button: Automatically adds a proposed list of basic dimensions within the methodology. It can be modified and modeled as required.
Download Button: Generate a report with the planning methodology configured.
Name: Identify the name of the methodology. This name is shown in the list of methodologies.
Description: It allows to define with more precision the methodology that is being defined.
Universe: It allows to identify the environment in which the audit methodology will be focused. Currently, the focus is based on the Risk Analysis.
Analysis Methodology: Displays a menu to select the Analysis methodology on which the planning is based. Once it is inserted, the dimensions that are taken will be based on this methodology. Therefore, if later modified, it will affect the dimensions that have been entered. Will warn with an alert message when trying to change to prevent possible loss of information. It will also be possible to select Risk Execution Methodology and Control Execution Methodology.
Grouping: It allows to identify the focus or base on which the audit planning will be carried out. It can be Element or Control.
Dimensions: It allows the configuration of the dimensions to be assessed in the Audit Plans for each one of the auditing processes. You can create and delete dimensions, as well as configure the order of appearance in the corresponding table with the buttons 'Up Dimension' and 'Down Dimension'.
Alias: Identifier that generates the tool automatically.
'Name:' Displays the name of the dimension. By clicking twice on the cell allows changing the name of the cell.
Order:'" Identify the order in which the dimension will appear in the Audit Plan.
Show Color: Allows us to define if we want to highlight the dimension in a color.
Minimum value: Identifies the minimum number on which the formula of the selected dimension is calculated.
Type: Identifies whether the dimension is of the Text type or not.
Type of dimension: It offers the possibility of establishing the calculation method of the dimensions, being able to choose between the following:
'Quantitative:' It allows to define that the calculation of the selected dimension is quantitative, being able to establish a numerical value in the dimension.
'Qualitative:' It allows to define that the calculation of the selected dimension is qualitative, being able to establish a determined range of values (example: High, Medium, Low).
Value: It allows to define how we want the calculation (Manual or Automatic) of the selected dimension in the table above.
Calculation type: In the case of having selected an automatic calculation in the previous option, the tool does not offer the following options:
Cartesian Product: It allows you to establish the calculation of the selected dimension, based on a matrix of two dimensions defined in the 'Dimensions' option. To do this, you have to select one dimension in the 'X axis' and another dimension in the 'Y axis' and give values according to the established levels.
'NOTE:': The Cartesian product cannot be generated based on dimensions whose calculation is quantitative.
Formula: The option allows defining how the calculation of the selected dimension will be obtained, based on a mathematical formula. For this, the tool shows the following options:
Dimensions of Item Inventory: These are the dimensions that appear by default to enter in the formulas.
Dimensions of Risk Analysis: These dimensions can be configured with Quantifiers to configure the results of the formulas with global values. They can be applied through these quantifiers Cumulative Value, Maximum, Minimum or Average.
Dimensions of Evaluation Controls: These dimensions can be configured with Quantifiers to configure the results of the formulas with global values. They can be applied through these quantifiers Cumulative Value, Maximum, Minimum or Average.
Dimensions of Audits: In these audit dimensions, GlobalSUITE provides a series of Dimensions by default but these are configurable. It also allows adding new dimensions.
Special dimensions: These are dimensions that have been added for the audit part, which I will explain in detail.
Global Related Risk: For the calculation of global risk, which is used to calculate the grouped residual risk, for example. You can use quantifiers, Counter, Maximum, Minimum, and Summation.
Global Related Risk by Item: Para el cálculo de riesgo global,
Date of Last Audit: They allow to compare dates and thus be able to indicate automatically if it exceeds the date and indicate if it is necessary to do the audit.
Current date: The comparison of the date of the last audit is made with this value of the current date.
Conditional formula: The option allows to establish a conditional calculation between different dimensions established in the audit methodology.
To configure this section, click on the 'Configure' button by accessing the following screen:
The configuration of the conditional formula is established based on the operators, where operators 1 and 2 serve to establish the condition, being necessary to set the same in the drop-down. The options that the tool allows are:
== Same as
!= Other than
'<': Less than
> Greater than
<= Less than or equal to
=> Greater than or equal to
Once the formula of the condition is established, the results to be obtained must be set, for which, in the case of the condition being met, the results shown correspond to operator 3 and otherwise to operator 4.
Note: It is necessary to validate the formula before saving the same by clicking on the button 'Validate Formula'
Result: It allows to define the values of the calculation option selected in the upper point (Cartesian Product, Formula or Conditional Formula)
Dimension levels: It allows you to define the evaluation levels of the selected dimension. Like the rest of the options, levels can be created and eliminated, as well as parameterizing the desired color so that the levels stand out at the time of the evaluation, selecting the level to be modified and pressing the 'Change color' button.
Note: If the levels are defined for a qualitative dimension, the options that the tool allows are to define the calculation range of the selected level and the value over which it will be calculated. If the levels are defined for a quantitative dimension, it allows defining the color in which the numerical values in the asset inventory will be highlighted.
Execution Methodologies
In this section, it is possible to define methodologies that will be used to execute the Audit Works, and audit the elements, risks and controls included in them.
Element Execution Methodology: It allows defining dimensions to evaluate the elements included in the scope of work. These dimensions can refer to those configured in the configuration of Items Methodology.
Risk Execution Methodology: It is possible to define what dimensions will be evaluated for each risk to be audited.
Control Execution Methodology: In the execution methodology, the dimensions to be audited on the controls will be configured.
It is possible to create more than one execution methodology of each type, defining one by default. The audit work that is created, will be assigned the default methodology, although it can be modified before starting the execution of the same.