Completing a walkthrough

When you're assigned a walkthrough, it appears on a card to complete under the Activities dashboard.

Completing a walkthrough that hasn't been signed off

After a walkthrough is assigned to you in Task Manager, confirm that it's designed appropriately 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 (Walkthrough) card.
    Each Control (Walkthrough) card contains key information, including the objective, sign-off details, project title, and control test title.
  3. Complete the fields in the Task tab.

    4. 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.
  4. Enter the relevant information as described in the following table:
    Note

    After entering any data in a field, wait for the confirmation that it is saved successfully before you fill out any other fields. Else, you get an error indicating that your changes conflict with those made concurrently by another user.

    FieldDescription

    (Optional) Walkthrough Results

     

    A description about the walkthrough results

    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

    (Optional) Is the control designed appropriately?

    Select one of a maximum of 10 selections set by your organization. Each option corresponds to a pass or fail state. For example:

    • Designed Appropriately specifies that the control designed has passed
    • Design Failure specifies that the control design has failed

    You can use the Issues panel to record issues.

    Tip

    You can automatically populate the value of this field based on a Results metric. For more information, see Automating control assessments.

  5. Decide if the control is designed appropriately or not.

    • If the control is designed appropriately, select Designed Appropriately.
    • If the control is not designed appropriately, select Design Failure, then create one or more issues in Projects. See in Recording issues for details.
  6. To attach files to your walkthrough, go to the Files tab, select Upload file. Choose the file you want to upload and select Send.

  7. Select Sign Off to approve the walkthrough results as the Preparer Reviewer.

  8. 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 walkthrough results, design status, and sign-off details, including the name of the person who signed off and the date of the action.

  9. (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 Walkthrough after a preparer has signed off

Additional sign-offs may be required for walkthroughs 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 (Walkthrough) card.

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

    1. Select Sign off to approve the walkthrough 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.

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, Test Plan, and Associated Risks sections

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

  • Test Plan: Contains control-related testing methods and their total sample sizes.

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