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Getting Started


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Audit Management Services System

The Audit Management Service (AMS) is the application where you will be able to follow up your audit. 

AMS is accessible by the Audit Contacts (AuCo) role nominated by primary audit contact for the audited organisation or by the external auditor role, among other roles, nominated by the primary external auditor / external auditor administrator for the external audit organisations (consult Audit Roles for audited organisations and Overview of Audit Firm Roles for external audit firms). These roles carry out the audit related tasks in the system.

In addition to have one of the mentioned roles above, the primary audit contact needs to assign the audit and the AuCo to a team, and the primary external auditor / external auditor administrator needs to assign the external audit firm roles and the audit also to a team (consult Assign an audit role and a team to a person for audited organisations and Manage Teams for external audit organisations) 

To access AMS, once you and the audit have been allocated to a team, got to Manage my area in the Portal and click on My Audits. Then, select the audit and click Action / Access Audit.

Audit details screen

When you access AMS to see an audit, you find the following elements on the screen:

Audit details

When you access the audit, the details will be not shown, click on Show audit details to display the details or Hide audit details to hide them again.

You find find all key data regarding your audit:

  • LEAR of the organisation.
  • Audit Representative of the Organisation, that is the audit contacts for this audit.
  • Legal Name of the organisation.
  • Legal Address of the organisation.
  • Legal Form of the organisation.
  • Legal Status of the organisation.
  • Whether the organisation is an International Organisation.
  • Whether the organisation is an International Organisation of EU Interest.
  • Whether the organisation has been registered with the SME status or not.
  • The PIC (Participant Identification Code) of the organisation.

Outsourced audits

For the outsourced audits, the audit details will display both the audit details for the audited organisation, as listed above, and a subsection containing the details of the external audit firm.

Note that under the audit representatives of both the audited and external audit organisations the names of the people working on that audit in both sides will be listed, should you need to liaise with the other party outside the established procedures in AMS. Click on the name to send the message.

Active Processes

Click on View process details to access the process. It is from within the process that you can access the task details and perform your tasks related to the process.

There is a search box allowing to perform searches in the list of processes, which can be handy when there are audits with several processes.

Action buttons

On the top of the screen, you have the following buttons:

  • Show audit details (or Hide audit details if already shown on the screen) allows you to display or not the audit details.
  • Launch new interaction with the EU. This button allows you to send a Formal notification to the EU. See Formal Notifications for audits for information about Formal Notifications.
  • View Active processes. It allows you to display all the active processes for the audit, i.e. processes that has not been completed.
  • Click on the three dots to access further actions such as switching to the archived processes, i.e. processes that have been completed, or access your Audit Formal Notifications.

Process details screen

Access the process by clicking View process details. You will be presented with the following elements on this screen:

Action buttons

You have the following available actions when accessing the process:

  • Back to processes, it takes you back to the audit details screen where you can see all active processes for the audit.
  • Show audit details. It shows the process details, click on Hide audit details to hide the details again.

  • Launch new interaction with the EU. This button allows you to send a Formal notification to the EU. See Formal Notifications for audits for information about Formal Notifications.
  • Refresh Process. Use this button after completing a task in order to update the screen.
  • Click on the three dots to switch to the archived processes.

Audit ID

This code corresponds to the audit ID as listed under My Audits in the Portal.

Process details

The process details are presented in three tabs:

Overview

This is the main tab, where you can see at which point of the process you are and access your tasks. The information is presented into two sections: General Information on the right and Task information on the left.

The General Information is a visual representation of all the steps from the beginning to the end of the process. You can hide this section by clicking the arrow.

On the top of the steps, it mentions who is the current actor, which, depending on the process, can be the EU, the audit firm or the audited organisation. Then, it enumerates the steps.

Colour in the steps

The steps are shown in three different colours:

  • When a step is shown in green, it means that there is no task for you to perform.
  • When a step is shown in orange, it means that there is pending tasks awaiting for your action.
  • When a step is shown in grey, it means that the process did not reach that step yet.

Click on the arrows on the right side of the steps to display or hide a short description of the step. When the step is a system step, i.e. the Started point, it will show only the date when the step was reached.

On the right, you will see the tasks that you need to perform when you are the actor of the step. Click on View task details to perform the task.

The tasks will be different depending on the process. For further details of the different tasks within a process, please consult the process documentation as follows:

For the audited organisations:

For the external audit firm:

Documents

In this tab, you can access all the documents related to the audit and to the process, including the related Formal Notifications. They are organised in libraries, each folder is a a library.

The icon indicates that the document is pending. In this example, you have as a task to provide the LoA (Letter of Announcement) annexes, but none of the annexes have been provided yet, so they appear here as in draft.

Once the document has been provided, the icon will be displayed next to it and there will be a Download button on the right, click it to access the document.

You can also see/hide the content of each folder by clicking the arrow on the right, or show/hide the content of all of them with the corresponding and buttons.

History.

In this tab, you can see the different events on the process as a whole, the time when the event has happened and the actor who performed the action triggering the event.

You are able to see further details for the events involving tasks where your organisation is the actor. By clicking on Show detailed history, you will be able to see details such as what file was provided, by which user in concrete and for which task.


Task details screen

Within the process details screen, click on View task details to access the task and perform it.

These are the different elements you find in this screen.

Navigation button

Click on Back to tasks to display all tasks for which you need to take action.

Task information

When accessing the task, you will see only the name of the task. Click on Show more to see a full description of what you need to do to complete the task and which roles are able to perform the task.

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Icons

The task will be tagged with the icon until you complete it.

The requested documents will be tagged as (completion of task is blocked until you upload of these files) or as (you may complete the task without them).

Document actions

You are able to download or upload documents via the corresponding buttons next to them.

When a file has been provided for one of the requested documents, the icon will change intoindicating that the upload was successful. If you need to replace the file, use the bin icon to remove the current one and upload the new one.

Task completion button

Tick the confirmation that you have performed the required actions and click on the Submit button to complete the task.

Once you submit a task, it is not possible to change the provided documents and it will disappear from the list of tasks under the process details screen. Should you need to provide a revised version of the uploaded file, please use the Launch new iteration with the EU button and use the Formal Notification functionality to send your file.