SQM How to - Design - Responsibilities
Design - Responsibilities
The following describes the functionality and features included in SQM.
Objective
The objective of this page in SQM is to ensure that the firm allocates the SoQM responsibilities to individuals in the firm.
The following key responsibilities are allocated in this page:
• Individual(s) ultimately responsible and accountable for the firm’s system of quality management (UR)
• Individual(s) operationally responsible for the firm’s system of quality management (OR)
• Individual(s) with operational responsibility for independence in the firm’s system of quality management (IND)
• Individual(s) with operational responsibility for the firm’s monitoring and remediation process (MON)
Page position
Responsibilities can be found in the design module.
Page content
This page includes a table that must be completed to indicate the allocation of each of the responsibilities to at least one individual.
1. Add responsibility
Select Add to allocate a responsibility to a new individual.
In the dialog for assigning responsibilities, complete the following:
• Select the individual from the list of users on Caseware Cloud;
• Select the responsibilities that the person will be allocated (more than one can be selected);
• Include a link to any additional appointment letter (if used); and
• Select OK.
2. Edit responsibility
The responsibilities added can be edited when selecting the edit button.
Responsibilities can only be edited in draft status.
If responsibilities have been accepted or reviewed, the sign-off must be removed before the responsibilities can be edited.
3. Delete responsibility
Allocated responsibilities can be deleted by selecting the delete button.
If responsibilities have been accepted or reviewed, the sign-off must be removed before the responsibilities can be deleted.
After selecting the delete button, a new dialog will appear to confirm whether the responsibility can be deleted.
Select Delete to confirm and delete the responsibility.
4. Approval of responsibility
Each individual must accept the obligations linked to the responsibilities allocated to them.
This is achieved by clicking on the sign-off button in the table.
The responsibilities are then reflected in a new dialog, where the individual must click on Accept to sign-off.
The responsibilities table will then show the individual’s avatar in the button and reflect the status as Accepted.
A similar process is followed to review the allocation of responsibilities until the table reflects all users as reviewed.
Page outcomes
Before continuing the rest of the design of the firm’s system of quality management, at least one individual must be allocated to each of the 4 responsibilities.
Each of these allocations must also be accepted and reviewed.
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