Completing a test plan

The test plan is defined by the Control Owner in Projects. When you are a Control Owner, a test plan appears as a card to complete.

In projects with an Internal Control workflow, you can identify the testing method or type of evidence obtained, specify the total sample size (split amongst testing rounds), or record test steps or attributes.

Completing a test plan that hasn't been signed off

After a test plan is assigned, you can use Task Manager to sign off and assign it to the next reviewer.

  1. From the Platform home page (www.diligentoneplatform.com), select the Task Manager app to open it.

    If you are already in Diligent One, you can use the left-hand navigation menu to switch to the Task Manager app.

  2. From the Activities dashboard, select the Control (Test Plan) card.
    Each Control (Test Plan) card contains key information, including the objective, sign-off details, project title, and control test title.
  3. Complete the fields in the Task tab.

    Note

    • Interface terms are customizable, and fields and tabs are configurable. In your Diligent One organization, some terms, fields, and tabs may be different.
    • If a required field is left blank, you will see a warning message: This field is required. Some custom fields may have default values.
    FieldDescription

    (Optional) Testing Method

     

    Specifies how you obtained the evidence.

    (Optional) Total Sample Size

    Specifies a numerical value that defines the total sample size (split among testing rounds). For more information, see Completing a test plan.

    (Optional) Test Steps/Test Attributes

     

    Specifies the steps or attributes associated with the test plan.

    Note

    Rich text fields cannot exceed 524,288 characters.

    Tip

    To enable spell check on rich text fields, do one of the following:

    • Chrome, Firefox, or Safari CTRL + right-click within the field on Windows or Command + right-click on Mac
    • Internet Explorer or Microsoft Edge open your browser settings and turn on spell check / highlighting of misspelled words
  4. Select Sign Off to approve the control (test plan) as the Preparer Reviewer.

  5. Submit the control by assigning the next reviewer from Assign To dropdown menu and then selecting Assign and Complete.

    Note

    This action is irreversible, and you will no longer have editing rights for the task.

    When signed-off, the Task tab displays the updated Test Steps/Test Attributes, description, and sign-off details, including the name of the person who signed off and the date of the action.

  6. (Optional) To undo the sign-off, select Remove Preparer Sign-Off from the Sign Off dropdown menu.
    This reverts the changes and returns the view to its previous state.

Signing-off on a test plan after a preparer has signed off

Additional sign-offs may be required for test plans after initial sign-off occurs. If you are assigned as a reviewer, you can complete your sign-off in Task Manager.

  1. From the Platform home page (www.diligentoneplatform.com), select the Task Manager app to open it.

    If you are already in Diligent One, you can use the left-hand navigation menu to switch to the Task Manager app.

  2. From the Activities dashboard, select the Control (Test Plan) card.

  3. In the Task tab, review the control details thoroughly.

    1. Select Sign off to approve the control (test plan) at the current review level.

    2. Choose a user from the Assign To dropdown menu and then select Assign and Complete.

    3. If you still want to assign the control to someone else in the next level review level, select Assign to another user, choose a user, and then select Assign.

  4. If a follow-up review is required, select Sign Off to complete your sign-off.
    In the confirmation pop-up, assign the next reviewer by selecting a user from the dropdown list and then select Assign and Complete.

  5. If no additional review is needed, select Submit and complete.

    Note

    This action is irreversible, and you will no longer have editing rights for the task.

  6. (Optional) To undo the sign-off, select Remove Detail Reviewer sign-off from the Sign Off dropdown menu.
    This reverts the changes and returns the view to its previous state.

  7. Confirm your action by selecting Submit and complete to finalize the task in the confirmation pop-up.

Control Test workflow

A Control Test is considered complete only when the final sign-off is made by the designated user, as configured in the Project Type settings under Project.

The following is a complete breakdown of the workflow:

Scenario Workflow

User A signs off as preparer.

 

When User A (preparer) signs off on the Control Test and assigns User B as the next reviewer, the test will no longer appear in User A’s subsequent Task Managerview:

  • Ongoing: The Control Test is now assigned to User B.

  • Completed: The Control Test has not yet been finalized.

User B signs off as reviewer.

When User B signs off and assigns User A as the next reviewer, the Control Test no longer appears in User B’s tasks view but is listed as ongoing in User A’s Task Manager, awaiting the upcoming steps.
Final sign-off. The final sign-off is completed by the designated user; the Control Test is removed from the ongoing list and appears in the completed list for the user who made the final sign-off.
(An exception) control owner.

If User C is the Control Owner (but not the assignee or reviewer) of the Control Test’s parent control, the Control Test will always:

  • Appear as ongoing in User C’s tasks list until the final sign-off is completed.

  • After the final sign-off, it will appear as completed in User C’s tasks list.

Managing Issues and Requests Linked to Control Cards

You can create and link issues and requests directly to control cards from the Issues and Requests tabs.

To add an issue or request:

  1. Navigate to the Issues or Requests tab.

  2. Select Add Issue or Add Request.

  3. Fill in all the required and relevant fields.

  4. Choose one of the following actions:

    1. Save to add the item.

    2. Save and add another to continue adding multiple entries.

    3. Cancel to discard the action.

  5. To edit an issue or request, select the title of the item you want to edit from the list and then select Save after updating the changes.

    Note

    • You can view the list of issues linked to the activity. To take action, select the external link icon to go directly to the specific request within the Projects app.

    • Only assigned owners have permission to view or modify issues and requests.

Review Control X-ray, History, and Associated Risks sections

  • Control X-ray: Displays a summary of the control details, including Control ID, owner, testing frequency, and the test plan.

  • History: Contains an audit log documenting all actions related to the control, such as sign-offs and reassignments.

  • Associated Risks: Shows linked risks along with their corresponding weights; this section is read-only.