SQM How to | Design - Tasks

Published: 08/08/2023

The following describes the functionality and features included in SQM.

Objective

The objective of this page in SQM is to record the firm’s tasks.

Tasks are the firm’s actions to implement the firm’s policy responses.

Page position

TASKS can be found in the DESIGN module.

Design tasks position.jpg

Page content

This page includes a table that contains the following types of tasks:

Network tasks: these tasks are prescribed by the firm’s network firm, where relevant. The network firm will distribute the prescribed tasks, which are then imported in SETTINGS. The firm must consider if they are relevant to the firm.
Firm tasks: these tasks are recorded by the firm and are in addition to the network tasks.

1. Complete task

The task dialog can be completed by either adding a new task or by editing a task from the list of tasks already included in the table.

When completing a network task, some of the fields will be pre-populated and cannot be edited.

The task dialog contains the following fields to be completed:

FIELD	INPUT REQUIRED
Linked procedures	Tasks are designed to document evidence that the actions required by the firm’s procedure responses were performed. The procedure responses addressed by the task are listed in this field.
Title	The short title for this task. The title is visible in tables and when selecting items from libraries. It should therefore be concise but clearly indicate what the task is.
ID	The unique identification number for this task.
Type	No input required. This field is automatically completed based on the process that was followed to include the task.
Relevant	Select either ‘yes’ or ‘no’. The default is ‘yes’, to indicate that the task is relevant to the firm.
Reason for not relevant	This field appears when the firm has indicated that the task is not relevant to the firm. It is a compulsory field.
Task	Include the wording of the task. When the task is selected from the library, the firm will edit the task to align with the firm’s unique characteristics.
Form details complete	No input required. This block indicates whether the form has been designed in the form editor. If the block is ticked, then there is content in the form editor. If the block is unticked, there is no content in the form editor and the user must still design the input for the task in the form editor.
Form editor	The form editor provides the user with functionality to design a form. Users will complete this form when they are completing a task in SQM. For more information about the form editor, refer to the separate document with information on how to use the form editor.
Applicable standard(s)	Select the standard(s) that the task relates to. Where the firm has only selected one applicable standard, then no selection is required.
Authoritative reference(s)	Include authoritative references where relevant.
Link(s)	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.
Note	Include any additional notes or comments.
Effective from	This is an optional field and will be left blank if the task will become effective immediately on publishing it to the firm’s system of quality management. When a task is only effective from a specific date in the future, that effective date is recorded in this field. The task can then be recorded and published before the effective date.
Effective to	This is an optional field and will be left blank if the task will remain in effect for the foreseeable future. When it is decided that a task will no longer be applicable from a specific date, the date on which the task 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 task itself, will be in operation until the sunset date is reached.

Fields indicated with a red asterisk (*) indicate fields that must be completed before the task can be SAVED.

design tasks red asterisk.jpg

Fields indicated with a blue asterisk (*) is not required to be completed before the task can be SAVED, but must be completed before the task can be signed off as ‘prepared’.

design tasks blue asterisk.jpg

When the relevant information has been recorded in the task, SAVE the information in the dialog.

2. Edit task

Tasks included in the table can only be edited in ‘draft’ status.
If a task has already been signed off as ‘prepared’, the sign-off must be removed before the task can be edited.
To edit a task already in the table, click on the ‘expand’ button to show the record of the task.

design tasks expand.jpg

Select the ‘edit’ button to open the task dialog.

design tasks edit button.jpg

The content of the task is then edited as needed and the changes saved by clicking on the ‘save’ button.

design tasks save dialog.jpg

3. Delete task

Tasks can be deleted by expanding the task and selecting the ‘delete’ button.

design tasks delete.jpg

If a task has been signed off as ‘prepared’, the sign-off must be removed before the task can be deleted.

Note: network tasks cannot be deleted.
If the task does not apply to a firm, it will be marked as ‘not relevant’ only.
These tasks are therefore not carried forward in the firm’s design of the system of quality management.

4. Sign-offs and approvals

Only tasks selected as ‘relevant’ and signed off as ‘prepared’ will be considered finalised and therefore

included in the draft system of quality management; and
published when the firm approves and publishes the draft system of quality management.

Every relevant task must therefore be signed off as ‘prepared’ once finalised.

design tasks signed off.jpg

Page Outcomes

Before continuing with the rest of the design of the firm’s system of quality management, the firm should have:

Considered each network task and indicated whether they are relevant or not.
Recorded any additional tasks that are required to address the firm’s quality risks and to implement the firm’s procedure responses.
Signed off all relevant tasks as ‘prepared’.