Linked policy responses
The policy responses addressed by the procedure response are listed in this field.
The short title for this procedure response.
The title is visible in tables and when selecting items from libraries.
It should therefore be concise but clearly indicate what the procedure response is.
The unique identification number for this procedure response.
No input required.
This field is automatically completed based on the process that was followed to include the procedure response.
Select either ‘yes’ or ‘no’.
The default is ‘yes’, to indicate that the procedure response is relevant to the firm.
Reason for not relevant
This field appears when the firm has indicated that the procedure response is not relevant to the firm.
It is a compulsory field.
Include the wording of the procedure response for a firm procedure response.
When a procedure response is selected from the library, the firm will edit the procedure response to align with the firm’s unique characteristics.
Mandatory and network procedure responses cannot be edited and the ‘additional description’ can be used to provide more context to a prescribed procedure response.
Include an additional description if considered necessary.
Where mandatory and network procedure responses are selected as relevant, a firm may choose to provide more context to the procedure response in this field.
Select the standard(s) that the monitoring activity relates to.
Include authoritative references where relevant.
Include links to documentation elsewhere.
Include a name and URL for each linked document.
URLs can either be to a document in the Caseware Cloud instance or to another location, such as the firm’s SharePoint library.
Previously recorded tasks can be linked to this procedure response using the dropdown menu.
When a task is recorded later, the link to this procedure response will be recorded when completing the task dialog.
Include information about the nature of the response procedure.
• Is the response preventative, detective or a combination of both?
• Will the procedure be a manual process or include the use of technology?
• Are any additional resources required to implement the response?
Select the relevant option from the dropdown menu:
• Scheduled, means that the execution of the procedure response will be a scheduled task within SQM and users will receive notifications of the tasks to be completed in SQM.
• Manual means that the procedure response will not be scheduled within SQM and users will have to manually add a task to be completed when the procedure is performed.
Response applicable to
Select the relevant option from the dropdown menu.
Response applicable to – Other
This field appears when the firm has indicated that the response is applicable to ‘other’.
The field must be completed to indicate who the response is applicable to.
This field appears when the firm has selected the timing of the procedure response as ‘scheduled’.
The result of the ‘edit frequency’ functionality is reflected in this field.
Select the relevant option from the dropdown menu.
Selection of activity
This field appears when the firm has indicated that the procedure is applicable to a selection of activities only.
Document detail about the selection of activities, for example, that the procedure is applicable to the appointment of
• audit staff only;
• all staff with professional qualifications; or
• only to first-time employees.
The procedure response must be assigned to
• individual staff users, known as ‘assignees’;
• groups of users, known as ‘assigned groups’
• or a combination of both.
The assigned persons will be expected to execute the procedures at the relevant times, either through completing tasks in SQM or through other documentation, such as in the engagement files
Include any additional notes or comments.
This is an optional field and will be left blank if the procedure response will become effective immediately on publishing it to the firm’s system of quality management.
When a procedure response is only effective from a specific date in the future, that effective date is recorded in this field.
The procedure response can then be recorded and published before the effective date.
This is an optional field and will be left blank if the procedure response will remain in effect for the foreseeable future.
When it is decided that a procedure response will no longer be applicable from a specific date, the date on which the procedure response will no longer apply to the firm’s system of quality management is recorded in this field.
The change can then be published to the firm’s system of quality management in advance and the procedure response itself, will be in operation until the sunset date is reached.
• Every X days
• Every weekday
For example, the selection can be to perform the procedure every second day
• Recur every day
• Options to select which days
For example, the selection can be to perform the procedure every Monday and Friday.
• On the X day of every X month(s)
• On the X week, X day even X month
For example, the selection can be to perform the procedure on the last Tuesday of every 2nd month.
• On the X day of X month
• On the X week of X month
For example, the selection can be to perform the procedure on the 1st of February every year.