Browser-based Access by
Auditee: AuditAlert Web
AuditAlert Web is
an internal website residing on the organization's server housing AuditAlert.
This browser-based application is used primarily by the auditee.
Since AuditAlert is a browser-based
application there is no software downloaded on the auditee's desktop.
The auditee simply
clicks on the link embedded
in the email that is automatically generated and delivered by
AuditAlert, which in turn opens
their browser. AuditAlert
Web is used by the auditee to:
- Respond to questions
assigned in an audit program or internal control questionnaire.
- Prepare an action
plan for assigned audit points / findings and subsequent management
updates to the action plan for the audit committee's review.
In either case the auditee can attach supporting
documents, if applicable, and the application will in turn create
a "point-in-time copy" of the supporting document onto the audit
department's network drive. AuditAlert, the client-software residing
on the audit staff's desktop, accesses the information created
in AuditAlert Web.
There are 28 different email types automatically
generated and delivered by AuditAlert. b4nAfter is
extremely sensitive to the number of emails that can be generated,
therefore creates such email prudently. Of the 28 email types,
there are 15 that are sent to the auditee with links to AuditAlert
Web. The intention of the email generated is to dramatically
reduce the administrative time currently incurred on a manual
basis by the audit staff to perform the functionality of the
email generated and to have the auditee directed to a centralized
location to organize their responses.
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Information Displayed on AuditAlert
Web:
1. Audit programs, internal control questionnaires,
etc.
- Assigned Questionnaires Any
audit program, internal control questionnaire, etc. and only
the associated questions specifically assigned to that auditee is available for their response.
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and see screenshots>>
- Assigned Questions Clicking
on the associated Questionnaire I.D. button
(in the screenshot example selected above for display Questionnaire # 3948, examination
# 176) will bring up a list
of questions assigned to the auditee for that Questionnaire along
with any responses and attachments previously input.
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and see screenshots>>
- Response, Comment
and Attachment Form Clicking
on the associated question button will bring up the response
form for the auditee.
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more and see screenshots>>
- The Auditor's Review
of the Auditee's Response The
audit staff will now be able to see the following information
in AuditAlert (the Net.Visual
basic client) for the questions that have been completed
by the auditee in AuditAlert
Web.
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and see screenshots>>
2. Audit
Findings
Using AuditAlert
Web's Audit
Point browser form provides the auditee with
the necessary tools to complete the remediation process
in a timely manner. The Audit Point form has various information
sections and buttons located at the bottom of the form
as described below:
- Assigned Audit Points Using
AuditAlert provides
a management tool for the auditor as well as senior management,
ensuring that the remediation process is performed in a timely
manner by the assigned auditee. Once an audit point
is released by AuditAlert,
an email is sent to the primary auditee(s) responsible
for the remediation process. The auditee clicks
on the embedded link in the email, which opens AuditAlert Web.
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and see screenshots>>
- General Information The
Audit Point's general information is displayed. There are
four buttons along the bottom that allow the auditee to
write his / her action plan, write management summaries updating
the original action plan for audit committee purposes, attach
supporting documents or URLs and an electronic bulletin board
so that the auditee can delegate work to his / her
subordinates and bring in-house expertise into the remediation
process. The button in the upper right-hand corner allows
the auditee to "mark the Audit
Point completed," which in turn generates
an email back to the appropriate auditor to begin their follow-up
work.
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and see screenshots>>
- Action Plan The
Action Plan describes the remedy that has been prepared by
the auditee to correct and prevent the circumstance documented
in the Audit Point going forward. The Action Plan is pulled
into the Examination Report, if requested, and into the Audit
Point Status Report, if requested. The auditee enters the
Action Plan via AuditAlert Web.
Future updates to the Action Plan are documented in AuditAlert as
management summary (see below) updates, which are described
later in this document.
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and see screenshots>>
- Management Summary After
culling through the internal dialog amongst the staff in
the Responses form, the auditee, via AuditAlert
Web, can
create a more informed update to the original Action Plan
in the management summary form.
read
more and see screenshots>>
- Supporting Documents
& URL References An
Audit Point can reference a file (PowerPoint presentation,
Adobe PDF, Word document, scanned documents, etc) or URL
(an external website's address on the Internet or the organization's
Intranet) to support and further explain the audit finding.
This section may be used by the auditee to substantiate their
work during the remediation process.
read
more and see screenshots>>
- Responses / Comments The
auditee can delegate and bring in-house experts into the
remediation process. The conversation thread between these
individuals substantiating the remediation process is documented
in this form. Once a comment is added and saved, and email
message is released to the staff listed. This function acts
as a project-task manager for the auditee.
read
more and see screenshots>>
