Table of contents
Getting Started
Related pages
- Audits (
concerns only audited organisations) - Information for audit firms ( concerns only to audit firms)
- Audit roles ( concerns only to audited organisations)
- Audit firm roles ( concerns only to audit firms)
Audits Centre
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, go to the left-side navigation menu in the Portal and click on Audits centre. Then, select the audit and click the three dots menu button / Access Audit.
Audit details screen
When you access AMS to see an audit, you find the following elements on the screen:
Audit details and interaction button
When you access the audit, the details will be not shown, click on the arrow to expand the audit and organisation details, and back on it 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.
You also find a Launch new interaction with the EU button, which allows you to send a notification to the EU as Formal Notification, see Sending a formal notification to the EU for more details.
Note that both the audit/organisation details and the interaction button will remain accesible at all time, even when you enter the process details.
Active Processes
You see here the list of processes linked to the audit.
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
These are also visible even when accessing the process, but the options you see will change accordingly
.
In the Audit process list screen, these are the options you have:
- View Active processes or View Archive process, depending which processes are being displayed on the screen. This is just the indication for you to know what is being displayed, there is no action linked to this element.
- Click on the three dots to access further actions such as switching to the archived/active processes, or to the Audit Formal Notifications.
- The
button shows specific information related to the screen where you are. For instance, within a process, it will describe what the process page and the tasks are about. - The
button allows you to navigate to the the Business (Online Manual) or the IT (IT How To) support information.
Within a process:
- The first element changes into a Back to processes link, that takes you from the process details screen back to the list of processes screen.
- There is a refresh button
to refresh the process details. - The remaining buttons are the same as described above
Process details screen
Access the process by clicking View process details.
You will be presented with the following elements on this screen:
Audit details and interaction button
As described above, you are able to display/hide the audit and organisation details, or send a formal notification to the EU services.
Process ID and action buttons
Here you find the ID of the process on the left, and the action buttons as described above, on the right:
- A Back to processes link, to go back to the list of processes.
- A refresh button to refresh the process details if needed.
- The button shows specific information related to the screen where you are. For instance, within a process, it will describe what the process page and the tasks are about.
- Thebutton allows you to navigate to the the Business (Online Manual) or the IT (IT How To) support information for the current process.
Process details
The process details are presented into three tabs:
Process details 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 
.
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.
Documents
In this tab, you can access all the documents related to the audit and to the process.
Click on it to expand and see the document together with other metadata such as the document type and the acknowledgment status.
These are the possible acknowledgement status (i.e. opening of the document):
| As seen on the screen | Meaning |
|---|---|
| Pending | Document not acknowledged |
| Acknowledged by <<username>> on <<date>> | Document has been acknowledged by the person and date indicated |
| N/A | Document does not require acknowledgement |
| Expired | Acknowlegement period is over |
Use the blue filter on the top to perform searches.
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.
By default, the view is set to "condensed", meaning that you only see actions. Click on the blue filter on the top and tick Detailed to include system logs.
Depending on the actor, the log will appear with a different icon:
Indicates system logs, such as generation of tasks, i.e. no actor.
Indicates actions done by you in the system (User), such as initiating or completing a task, uploading a document, etc.
Indicates actions done by the EU services, such as initiating or completing a task, requesting a document, etc.
Task details screen
Within the process details screen, click on View task details to access the task and perform it.
The task details display always on the right side, the rest of elements on the screen are the same as explained until now. To return to the view of all tasks, click on Back to tasks.
Depending on the tasks itself, you can have different actions within the task, but for Audits they are basically:
- Download a document.
- Upload a document. Whether a document is compulsory or optional to complete the task, it is visually indicated by respectively
and 
. - You have always a checkbox to confirm that you have verified all documents related to the task, including those you are submitting. The submit button is active after ticking the confimation. Click on Submit to end 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:
- In-house audit
- Outsourced audit
- Extension of audit findings
- Audit result implementation
- Audit Formal Notification (observations requested)
For the external audit firm: