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Access the control log

The control log can provide you with a complete overview of your audit trail. You can access the control log in two different ways:

Latest activities:

You can access the control log by clicking on the control if it is displayed under “Latest activities” on your Dashboard. When clicking on the control, the control log will be available at the bottom of the page.

Your programs:

You can also access the control log by clicking on the specific program under the tab “Your programs” on your Dashboard. Click on the three grey dots under “Controls in this program” and select “View activities”. The control log will be available at the bottom of the page.

Add links to the control

When assigning or performing a control, it is possible to insert a link (URL) in the comment field. Links will only be visible once the control has been assigned or performed.

Links are very useful if you are using a cloud-based service to store information.

Links do not support æ, ø, å, and, ( ).

Add tasks to the control

To add tasks to a new control, click on “Create controls” and go to “Tasks”.

To change the tasks of existing controls, click on the specific program under “Your programs” on the Dashboard. Then click on the title of the control of which you wish to change the tasks.

The control designer is the heart of the control. The designer is easy to use and offers you a very flexible way to customize the control using different “task types”.

Design your control by using one or more of the task types. The different task types are:

  • Text: Ask the assignee to enter a text based on your instructions.
  • Comment field: Ask the assignee to write a comment.
  • Number: Ask the assignee to write a number. The system will validate that a valid number has been entered.
  • Checklist: Create a checklist for the assignee to complete.
  • Radio buttons: Ask the assignee to provide one answer to a question e.g. yes/no, approved/not approved.
  • Attach file: Provide the assignee with the option of attaching one or more files when completing the control. There is a max file size of 50 MB.
  • Table: You can define titles, columns, and rows on your table when you create the control. After completion, the data in the table can easily be transferred to Excel.
  • Datasheet: Add your predefined datasheet to the control.

For each of the different task types you can choose to add files. The files will show up for the assignee, when he or she is performing the control.

The control is simple to adjust, if you find that you have something you want to change.

You can preview your control by clicking on “Preview” to see if your control is working as intended.

Remember to save your work when you are done.

Assign control

To assign users to a new control, click on “Create controls” and go to “Assign”.

To change the assigned users of existing controls, click on the specific program under “Your programs” on the Dashboard. Then click on the title of the control of which you wish to change the assigned users.

Assign responsible:
To assign user responsible to your control, type in a user or a user group under “Assign responsible”.

A control will be inactive until it has been assigned to a user. It is possible to assign one or more users or groups to the control. You can easily create a new user if the one you need has not been not created yet.

Please note that users do not get a new email notification if you edit the control on the same day the control was sent. If you need to send the control again without changing the due date, you have to remove the users, save the control, and reassign the users. After reassigning the users, the control will be sent again.

Assign reviewer:
To assign a reviewer to your control, type in a user under “Assign reviewer”

The reviewer receives an email that lets the reviewer know that they have been given the task. When the control has been completed, the reviewer will be asked to confirm or reject the control after the completed review. It is optional to assign a reviewer.

You can require assignees and reviewers to login to the application before completing the control.

Check the box if you want to make sure that your assignees and reviewers are valid users in the application. Assignees and reviewers from outside your organization cannot complete the control when you check this box.

Attach files to your control

When designing your control, it is possible to attach files to the different elements (Text, number, radio button etc.). Click on the task type you wish to add, fill in a headline and an instruction, and click “Add files…”. Find the files you wish to attach to the control.

The attached file will now be visible for the assignee when performing the control.

Control details

The assignee will see the control details when viewing the control.

To create a new control, click on “Create control” in the menu.

Provide your control with the relevant details. Provide title, description, and add the control to an existing program or create a new program. Providing a description is optional, but it can be a good idea to make sure the control is sufficiently described.

Both title and description will be visible to the assignee when completing the control, but the assignee will not be able to see which program it is added to. The name of the responsible will occur on the assignee’s notification mail, as the name of the control the assignee is asked to complete.

Copy Control Template

Where the same control is to be created for multiple users or entities with minor changes, it is more efficient to copy the template created and edit it as required.

This will enable you to reduce errors by ensuring that timelines and control structures are aligned across the organization.

To get started, create a control from the “Create Control” screen. Once completed, use the 3 dot menu in the Control edit screen and select “create copy” option.  This will create a separate control within the same control program as the original. Ensure that you edit the required details such as the title or assignee’s and save the control.

When a control is copied, all information such as Title, Description, Control Program, Scheduling,  Financial year  Control Questions as well as the reminders set for the original controls get copied.

Please note that copying a control also copies the responsible and reviewers assigned to the control.

 

Delete control

To delete a control, click on the specified program under “Your programs” on the Dashboard. Click on the three grey dots in the upper right corner of the specified control and select “Delete”. Then click on “Ok” to delete the control.

Different time zones

To change the time zone of a new control, click on “Create controls” and click on “Change time and time zone” under “Scheduling”.

To change the time zone of existing controls, click on the specified program under “Your programs” on the Dashboard. Then click on the title of the control of which you wish to change the time zone.

The chosen time zone will affect everyone assigned to the control.

Export a control result

You can easily export your control results to provide the audit team with the necessary information.

Completed controls can be exported with or without all underlying files to a zip file.

From the control program select the 3 dots menu. View activities to see all previous completed controls. Open a control result and select export from the 3 dots menu. When exporting you will have the option to export control and attached files or only the control. The export will result in a zip file, with the content of the specified control in HTML, in your download folder.

Filter your activities

To filter your activities, click on the title of your program under “Your programs”. Click on the three grey dots in the upper right corner and select “View activities” to view activities on a program level. Click on the three grey dots next to the specific controls and select “View activities” to see activities on a control level.

Click “Adjust view” to filter on all available columns in the list, i.e. control name, responsible, reviewer, status etc. The results can then be exported as a CSV file. This can be very useful when control results for audit is needed on specific controls, or if you want a status on a specific control.

Financial Year and Holiday Calendar

To add a custom financial year or holiday calendar for your organization, please reach out to us @ support@impero.dk

 

Mark task as required

To mark a task as required, check the box “Required” when designing your control.

If you want to make sure that a question or a task in your control is completed by the assignee, you can mark the tasks as “Required”. Using the “Required” function means that the control cannot be completed without an answer.

If the box is not checked, the assignee can complete the control without completing the question or task.

Perform review on controls

Having a reviewer on a control can ensure effective control and monitoring.

You can perform the review in two different ways:

Email invitation link:
When you are assigned as reviewer on a control, you receive an email that asks you to perform review on the assigned control before due date.

You do not need to login to Impero to review a control.

Login at the website:
If you are assigned to review a large number of controls, you may choose to login at Impero to get a complete list of the controls you are assigned to review. The tab “Your pending actions” presents a list of controls you are assigned to review. Click on the review title to perform the review.

This will require a login to Impero

Completing review:
When completing your review, you can either approve or reject the control. It is possible to add a comment and add files to the review. Click on “Complete the review” to perform review on the control.

If the reviewer rejects the completed control, the assignee will get a notice to perform the control again. The reviewer’s comments and/or added files will be visible to the assignee. When the assignee completes the control again, it is possible for the assignee to provide a comment to the reviewer.

Once the assignee has performed the control again, the reviewer will get a notice to perform review on the control again. All activities are stored in the log of the control.

Perform your control

You can perform the assigned control in two different ways:

Email invitation link:
When you are assigned to a control, you receive an email with a link to the control you need to perform. Click on “Go to control” to perform the control you are assigned to.

You do not need to login to Impero to perform/complete a control.

Login at the website:
If you are assigned to a large number of controls, you may choose to login at Impero to get a complete list of the controls assigned to you. The tab “Your pending actions” presents a list of controls assigned to you. Click on the control title to perform the control.

This will require a login to Impero.

If the control is on a schedule and you have performed the control before, you can click “View” next to previous in the upper right corner when performing you control, to see your previous answers.

Previous controls

If you have performed a control of the same kind before it is possible to see the previous control results. When performing a control there will be a “Previous” statement in the upper right corner. Click “View” to see the previous control results.

The previous function can be very useful when performing a control since you can access the previous results, which might answer any questions you might have regarding the control tasks.

Reassign a control

Sometimes a control needs to be reassigned in case of temporary absence like sick days or holidays.

A control that is pending or overdue can now be reassigned to a new responsible or reviewer. This can be helpful if the responsible or reviewer is on holiday or no longer a part of your company and thus resulting in controls not being completed.

To reassign an assignee or reviewer of a control, locate and select the control on any activity list, from the 3 dots menu click “Reassign”. Search the user you wish to reassign and click “Ok”. If the control was setup without a reviewer, it will not be possible to reassign a new reviewer.

If you wish to reassign a control to a new user click the search field and select “Create new user”.

It is also possible to select multible controls and reassign these to a new responsible in one go.

After reassigning, the new responsible or reviewer will receive an email with a link to the control that needs to be completed.

The control log will be updated and reflect the changes made.

Remove assignee or reviewer

To remove assignee or reviewer, click on the specific program under “Your programs” on the Dashboard. Click on the title of the control of which you wish to remove an assignee or reviewer.

To remove assignee or reviewer, go to “Assign” and click on the cross in the right side of the user you want to remove from the control. It is important to notice that a control will be inactive if there is no user assigned to it, whereas reviewer is an optional choice.

Reopen your completed control

A completed control can only be reopened in case of an error in the control. Only the administrator can reopen a completed control.

To reopen a completed control, click on the title of the program on your Dashboard. Then click on the three grey dots in the upper right corner. Select “View activities”. This will give a view of the activities within that program. Check the box or boxes of the controls you want to reopen. Click on the three grey dots and select “Reopen”.

You can also click on the specific control you want to open. Click on the three grey dots in the upper right corner and click on “Reopen”.

Reopening a control can be useful if the control mistakenly has been performed, or you have something you need to change.

When you reopen a control, the user responsible for the control will receive an email that the control has been reopened and reassigned to him or her. When the control has been completed, the reviewer will receive an email that the control should be reviewed again.

The control will have a log that documents the activities and bundles them together with any comments linked to the control.

Schedule control

To schedule a new control, click on “Create controls” and go to “Scheduling”.

To change the schedule of existing controls, click on the specific program under “Your programs” on the dashboard. Then click on the title of the control you wish to change the schedule of.

You can set your control to be executed one time or to follow a fixed schedule.

Set recurrence to one of the following options using the dropdown menu below “recurrence”.

  • None: The control will run one time only.
  • Weekly: The control will be run at the specified weekdays. You can choose more than one day if you want your control to run several times a week. Furthermore you can make the recurrence every 1 to 6 weeks.
  • Monthly: The control will run at the specified months. You specify on what day the control should be due, here you can either set a specific day of the month, or chose a business day e.g first business day of the month. The business days does not take holidays into considerations.

Set notification using the dropdown menu below “Notification”

  • Notification lets you specify how many days or weeks before the due date the control should be sent (from 1 day to 8 weeks before due date).

Set due date for your control by clicking on the date below “Due date”.

Send reminder

To send a reminder, click on the specific program on your Dashboard. Click on the three grey dots in the top right corner of the program. Click on “View activities”. Check the box for the activity and click on “Send reminder”. An email will then be sent to the user responsible for the control.

Tag responsible users

To add tags to the user responsible, click on “Add tags” and select one or more tags. Click on the three grey dots and select “Edit” to create new tags.

Tags can be helpful in many ways. You can use the tags to relate the assignee with e.g. department, country, process, etc.

In some cases, it can be very useful to assign a user to the same control multiple times in order to reuse the control, e.g. if you want to perform the same control for different departments; you simply add the tags specified to the departments, for instance: “Department: East” and “Department: West”.

With the help from tags, you can make distinctions in the emails. Without the tag, the user will essentially be asked to perform the exact same control twice. Tags will be presented in the emails, on the control form, and on reports.

Using the archive

To access the archive, click on the title of the program on your Dashboard. Then click on the three grey dots in the upper right corner. Select “View activities”. The activity list will by default display “Active”, click “Adjust view” and select “Archive” to see your archived controls.

It is not possible to reopen archived controls.

Working with User Groups

Where a group of individuals share responsibility for completing a control, such as a department instead of an individual, the entire group can be added as an assignee for a control.

Case I. Where same control is to be completed by many assignees

In certain cases, same central control may have to be completed by several departments, entities or countries. To manage such centralized structure, a group of such individuals can be formed, and responsibility assigned to these instead of writing multiple names in the assign user section.

When such format is to be used,

  1. Create a user group from the “Create User” section of Impero.
  2. Find the user group by typing the name in the assign responsible section of create control.
  3. Select “Individual” in the options given in Impero. This will create one control for each of the individuals in the group with same structure and deadlines.

Case II. Where a control responsibility is that of a department

Where an entire department is responsible for a task and anyone within such group may complete a control, user groups can be used to give access to everyone in the group to complete the control.

A. Claiming a group control:

  • Where controls are assigned to a group of people instead of an individual, duplication of work becomes a potential challenge. To avoid this, it is now possible for individuals in the group to claim a control for themselves. Once claimed, the control becomes primary responsibility of the claimant. However, others in the group will still be able to complete the control be logging into the system.
  •  All notifications and reminders (if any) will only be sent to the user who claimed the control. Others can view the open controls from the “Your Pending Items” list from their Impero dashboard.
  • To Assign User groups in this format,
  1. Select “user group” in assign responsible section
  2. Select “Group” in options shown under such group

 

B. Default claimants

Default claimants can also be set by system administrators by using the Create/Edit control function.

To pre-set a default claimant,

  1. Select “user group” in assign responsible section
  2. Select “Group” in options shown under such group
  3. Select “Set Default Claimant” option