Deloitte Control Self Assessment System UTAS WHS Control Reviewer Instruction Manual

Transcription

1 Deloitte Control Self Assessment System UTAS WHS Control Reviewer Instruction Manual

2 Contents 1 Deloitte Control Self Assessment System (CSA System) Principles of the CSA System for Control Activity Reviewers 3 2 The basics of the CSA System Login Dashboard and Assessment Timeline Your Review Summary Dashboard Tabs and Organisational Unit Selection Process Review Process Review Summary Process Review Page Process Improvement Period Recording Process Improvements Completion of WHS Control Activity Review 20 Appendix A Guide to WHS control activity maturity ratings 21

3 Deloitte Control Self Assessment System (CSA System) 1 Deloitte Control Self Assessment System (CSA System) 1.1 Principles of the CSA System for Control Activity Reviewers The Deloitte Control Self Assessment System (CSA System) is built around a library of WHS control activities specific for the University of Tasmania. Multiple WHS control activities are linked up to an individual WHS control process. In turn, multiple WHS control processes are linked up to an individual WHS control category. Each individual WHS control activity is assigned to a control activity owner (control owners) and an independent control activity reviewer (control reviewers). There are no restrictions to the number of WHS control activities that can be assigned to a control owner or reviewer. However, an individual WHS control activity cannot be assigned to the same person as control owner and reviewer. The role of control reviewers is to assess and apply an independent maturity rating to each of their WHS control activities during the process review period. The process review period commences with the closure of the control assessment period. The process review period provides the timeframe for control reviewers to assess and apply an independent maturity rating to the WHS control activities. Any WHS control activity that is considered not relevant should be left unrated and a comment recorded stating that the activity is not performed. Where control reviewers have rated the WHS control activities at the implementation level or lower, action/improvement plans and recommendations are required to be recorded by the control reviewer. Closure of the process review period signals the commencement of the process improvement period. Details of the WHS maturity scale are provided below: Levels and descriptions of WHS maturity 0 Unrated 1 None; element not commenced 2 Framework; the element is in place 3 Implementation; the element is in operation 4 Compliance; the element is effective 3

4 Deloitte Control Self Assessment System (CSA System) 5 Consolidation; the element is permanent practice / better practice. Implementation of the recorded action/improvement plans and recommendations occurs during the process improvement period through collaboration between the control owners and reviewers. The process improvement period also allows control owners and reviewers to record comments and to modify the progress status of action plans and recommendations. Reports can subsequently be generated summarising all action/improvements plans & recommendations, their status and any comments posted by control owners and reviewers. In addition, reports can be generated which provide an overall rating of the University s WHS maturity, to reports that summarise the WHS maturity level for each of the faculty s and business divisions, right through to reports for each of the schools & business units and each individual WHS control activity. 4

5 2 The basics of the CSA System 2.1 Login To login to the Deloitte CSA System, enter your username and password that has been provided. In the event that you forget your password or need to generate a new one, click the thumbnail Forgotten your password? where you will be prompted to enter your address or username. A new password will be generated and sent to your address. For any difficulties with accessing or operating of the CSA system, please direct your queries to the University of Tasmania Work Health and Safety Unit via, health.safety@utas.edu.au 5

6 2.2 Dashboard and Assessment Timeline Once logged-in, the Dashboard page appears and is separated into three distinct parts to allow the control reviewer an overall summary of their control activity responsibilities and the periods of review. The bottom left of the screen contains the Assessment Timeline. This highlights the period of review for control activities. There are three periods of review; Control Assessment Process Review Process Improvement The Process Review period is the timeframe which control activities are required to be reviewed and rated by the control reviewers. This will be indicated with the Process Review box illuminated in green. Action/improvement plans are also required to be recorded by control reviewers where the present level of maturity of WHS control activities is at the Implementation level or below. Links to FAQ s and Technical Support are provided at the bottom of the Dashboard page. 6

7 2.3 Your Review Summary The right side of the dashboard screen contains Your Review, which provides a summary of the assessment status of control activities that are assigned to the Control Reviewer. The table provides a summary of the number of control activities that are Reviewed or remain Unrated, and the category of the control activities. The control categories listed under Category also provide a separate link to the control activities for each particular category. 7

8 2.4 Dashboard Tabs and Organisational Unit Selection The right of the dashboard page may contain a drop down box. This allows the control reviewer to enter any of the organisational units for which they have been granted access to. To access a specific organisational unit, click on the drop-down box. Then click the Go button. The organisation unit you are currently signed into will be listed under your name and sign out button at the top of the screen. The top of the screen contains the dashboard tabs. By clicking on the Review tab, the control reviewer will be directed to all of their WHS control activities for review during the Process Review period. The Action Plans Review tab directs the reviewer to a summary of the progress of actions plans during the Process Improvement period. 8

9 2.5 Process Review To begin the review of control activities click on the Review tab. Alternatively, click on the category of the controls to be reviewed listed under Category in Your Review. Alternatively, click on the category of the controls (WHS key elements) to be assessed listed under Category in Your Review. 9

10 2.6 Process Review Summary After selecting the Review tab, or the category under Your Review, the control reviewer will be directed to the Process Review Summary page. This page summarises the assessment of WHS control activities assigned to the control reviewer. The table lists the control activity processes, the number of individual control activities that remain Unrated or Reviewed, and the availability of reports. To progress to the process review page and perform the review of a control activity: Select the control category Select the category process 10

11 2.7 Process Review Page After selecting the category process for the WHS control activities to review, the control owner will be directed to the Process Review page. The left side of the page contains the WHS control activity assigned to the control reviewer for the control process. Any comments made by the assessor appear under the relevant control activity. The centre of the table allows control reviewers to record maturity ratings for their WHS control activities and to set action plans and due dates where the maturity rating is at the implementation (3 rating) level or below. The Comments field allows the control reviewers to record any observations relating to the WHS control activity or the maturity rating. 11

12 2.7.1 Recording WHS Control Maturity Rating The control reviewer is required to review the WHS control activity and record an independent maturity rating using the slide bar. Any WHS control activity that is considered not relevant should be left unrated and a comment recorded stating that the activity is not performed. For further detail on the maturity scale, click on the Information button located in the Rating column. To record control effectiveness rating: 1. Move the pointer over the slide bar square for Your rating 2. Left click and drag the square to the desired rating The Score and Action Plan change with the movement of the slide bar. Action/improvement plans and due dates are required to be recorded by the control reviewers where the maturity rating is at the implementation (3 rating) level or below. 12

13 2.7.2 Recording Due Dates, Action Plans, Priority and Comments Effectiveness ratings below a score of three require that actions plans and due dates are recorded in the relevant fields. To record due date: 1. Move the pointer over the date box and left click. 2. Select the required date and left-click again. To record action/improvement plans: 1. Move the pointer over the text box and left click. 2. When the cursor appears, begin typing the action/improvement plan. 3. Left-click outside the box when typing completed. To record priority and comments: 1. Move the pointer over the Priority drop-down box, left click, and select the priority from either High, Medium or Low. 2. To records comments, follow the same process as recording action/improvement plans. 13

14 2.7.3 Save options Once the review of control activities is completed and action plans and due dates have been recorded, the control reviewer must then chose a save option. Save and Close will save any changes made to ratings and action plans that have been recorded. The Actions Plans page will close and the control owner will be directed back to the Process Review Summary. An error will be prompted when an action plan or due date has not been correctly entered. Close Without Saving will close the Action Plans page without saving any further changes to ratings and action plans that have been recorded. The control owner will then be directed to the Process Review Summary page. Once the Process Review period closes, no further changes will be allowed to the effectiveness ratings or action plans recorded for control activities. Any Unrated controls will remain unrated. The due date for all control activity reviews will be listed in the Assessment Timeline on the Dashboard. 14

15 2.8 Process Improvement Period Closure of the Process Review period signals the commencement of the Process Improvement period. The Process Improvement period enables control assessors and reviewers to implement the recorded action/improvement plans. It also allows the status of action plans to be modified and comments to be recorded in the Action Plans Review page. The right side of the screen containing Your Review has now been replaced with Your Action Plan Review. The table provides a summary of the progress status of action plans for control activities that you review. To modify the status of action plans or record comments, click on the Action Plans Review tab. The control categories listed under Category in Your Action Plan Review also provide a separate link to the action plans for each particular control category. 15

16 2.9 Recording Process Improvements The Process Improvement period enables control reviewers to implement the recorded action/improvement plans and recommendations. The Process Improvement period also allows the status of action plans to be modified in the Action Plans page. In addition, comments regarding the implementation of action plans can be recorded in the Comments field. 16

17 2.9.1 Modifying the Progress Status of Action Plans The control reviewer has the option of changing the status of action plans from the drop down box. To modify the status of action plans: 1. Move the pointer over the drop down box 2. Right click and select the relevant status 17

18 2.9.2 Recording comments The control reviewer can also provide comments regarding the implementation of the recorded action plans. To record comments regarding action plans: 1. Move the pointer over the comments box and left click. 2. When the cursor appears, begin typing your comment. Left-click outside of the field once complete. 18

19 2.9.3 Save options Once the status of action plans have been updated and comments recorded, the control reviewer must then chose a save option. Save and Close will save any changes made to the status of action plans & any comments recorded. The Actions Plans page will close and the control reviewer will be directed back to the Process Review Summary page. Close Without Saving will close the Action Plans page without saving any further changes made to the status of action plans & any comments recorded. The control reviewer will then be directed to the Process Review Summary page. 19

20 2.10 Completion of WHS Control Activity Review Action plans and improvements should be completed during the Process Improvement period. This will enable WHS control activities to be assessed based on any improvements that have been implemented. However, improvements to the level of WHS maturity should occur at all stages during the assessment cycle. The next Control Assessment period will commence at the end of the Process Improvement period. 20

21 Appendix A Guide to WHS control activity maturity ratings Appendix A Guide to WHS control activity maturity ratings Score / Maturity Maturity definition 0 n/a or not rated: 1 None; element not commenced 2 Framework; the element is in place 3 Implementation; the element is in operation 4 Compliance; the element is effective 5 Consolidation; the element is permanent practice / better practice 21

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