Purpose: Auditor completes the report for the engagement and submits to UNICEF for review.
Who: Auditor
When: UNICEF Focal Points created an engagement and the auditor is granted access to the Financial Assurance Module to complete the report for the engagement and submit to UNICEF for review.
IMPORTANT: UNICEF Users and UNICEF Focal Points are not able to view content entered as a draft by the Auditor, and will only become available to them once the final report is issued. UNICEF Users and UNICEF Focal Points have view-only access to the status of engagement.
1) Click the link in email to gain access to the Financial Assurance Module
2) List of engagements will open
3) Click on Unique ID of the engagement you wish to complete report
4) Engagement overview page will open and you will be able to view the engagement overview and partner information. Click on Report Tab
5) Enter the Date of the Field Visit. Once you enter the Date of the Field Visit into the report, the status bar will update to coincide with this date.
IMPORTANT: After scheduling a field visit, the Auditor will work with partner to collect appropriate data and conduct field work
6) Once the field visit is over, Auditor is required to issue a draft report of their assessment to the partner for review. Once issued, you will enter the Date Draft Report is Issued to IP in eTools. Once you enter the Date Draft Report issued to IP into the report, the status will update to coincide with this date
7) After the IP sends you comments, you will enter Date Comments Received from IP. Once you enter the Date Comments Received from IP into the report, the status will update to coincide with this date
8) After you issue draft report to UNICEF to review and make comments, you enter the Date Draft Report is Issued to UNICEF. Once you enter the Date Draft Report is Issued to UNICEF into the report, the status will update to coincide with this date.
9) After you receive and review the comments for UNICEF, you are required to enter the date you received those comments. Once you enter the Date Comments Received from UNICEF into the report, the status will update to coincide with this date.
10) Go to Overall Risk Assessment section and select Risk Assessment from the drop-down menu and Brief Justification for Rating
11) Go to the Tested Subject Area card and hover on the pencil sign to add a risk assessment to each of the subject areas.
12) A pop up screen will open. Complete the risk assessment and a brief justification and click on save button.
12) Go to Detailed Internal Control Findings and Recommendations and click on + sign
13) Add new Finding (enter description of finding and recommendation and IP Management response). Click Add
14) Go to Questionnaire tab and click on the pencil icon next to each question to complete the the risk rating questionnaire
15) Fill in risk assessment and comments for each of the questions in the risk rating questionnaire. Click save when completed.
Based on the responses to each of the questions, the questionnaire will automatically calculate the risk rating for the assessed category.
16) Go to Attachments tab to attach your report. Click on + sign to attach a report
17) Select Document Type from the drop-down menu and then upload file. Once the file is uploaded, click on Attach
18) After you uploaded your report, go to status bar and click on the arrow next to Save button
19) Click on Submit
20) Your engagement will be submitted and your status bar will show that your report has been finalized
