Audit Documentation (Work papers) View

Overview

This feature provides a view that contains a repository of working papers that form part of the audit documentation. The working papers view is organized by folders and subfolders and reflects the hierarchy of the audit, so the user can be eased through the audit workflow.
Column headers located above the working papers indicate:

Whether a working paper has been signed off (prepared and/or reviewed) and the initials of the preparer and/or reviewer
Number of review notes and what status they are in
Number of comments

Key functions

What functions can I use with this feature?

Add a new template from Templates (aka Report Portal)
Add a new working paper or attachment from local
Add a standard working paper
Add a new folder
Add a new subfolder
Filter the working papers view
Clear filtered view
Expand/collapse working papers view levels
Share/remove sharing of a document with Authorized Requester (AR)
Sign off/remove signoffs of a document
Delete a working paper

User Flow

Add templates(s) from Templates (aka Report Portal)

Navigate to the Working papers view on the top navigation menu bar
Click Add new
Click File(s) from template
Click the check box next to the working paper you want to add
Click the Import template(s) button

Note: user is only able to see and import template(s) that have been published in the Templates (aka Report portal)

Under Where would you like to add the file(s), select the folder and subfolder to which the template(s) should be added

User can update name/copy/remove the selected template(s)

Click Add file(s) button

Add working paper/attachment(s) from local

Navigate to the Working papers view on the top navigation menu bar
Click Add new
Click File(s) from upload
Under Add file(s) as, select between adding file(s) as working paper(s) or attachment(s)
User can choose from the file(s) previously uploaded, or upload new file(s)

Note: If user chooses to upload a file that has been previously uploaded, user is then prompted to choose to either replace the existing file or upload as new (with a new file name)

Click the Next button
Under Where would you like to add the file(s), select the folder and subfolder to which the file(s) should be added
- User can update the name of the selected file(s)
Click Add file(s) button

Add standard working paper(s)

Navigate to the Working papers view on the top navigation menu bar
Click Add new
Click Standard working paper
Click the check box next to the working paper you want to add
Click the Add selected working papers button

Note: user is only able to add a standard working paper from the library if the standard working paper has not been added previously

Add folder(s)

Navigate to the Working papers view on the top navigation menu bar
Click Add new
Select Folder from the dropdown menu
Give a name to the new folder

User can create multiple new folders at once by clicking the Add button

Click the Add folder(s) button

Add subfolder(s)

Navigate to the Working papers view on the top navigation menu bar
Click Add new
Select Subfolder from the dropdown menu
Give a name to the new subfolder(s) and assign to folder(s)

User can create multiple new subfolders at once by clicking the Add button

Click the Add subfolder(s) button

Filter the Working paper view

Navigate to the Working papers view on the top navigation menu bar
Click Filter and select the option(s) you want to filter by from the drop-down lists
Select your filters or click +Add filter to add additional filtering criteria
Click the Apply button to execute your filters

Clear filtered view

Navigate to the Working papers view on the top navigation menu bar
Click Filter
Click X to clear your selected filters

Expand/collapse Working papers view levels
The Working papers view is organized by folders and subfolders; these folders and subfolders are ordered in a way that is consistent with business workflow.

Click a folder to collapse it.
Click a collapsed folder to expand it

OR
Click the Expand all or Collapse all buttons in the top navigation of the Working papers view to expand or collapse all folders and subfolders.

Share/remove sharing of a document with Authorized Requester (AR)

Navigate to the Working papers view on the top navigation menu bar
Click the check box beside the file(s) to select the file(s) you want to share
Click the Share with Authorized Requester button in the top navigation bar of the working papers view

Only certain (digitized) working papers can be shared for an External Compliance Audit, i.e., Action Plan and Assertion Certificate
Only certain (digitized) working papers can be shared for an Self-Service Risk Assessment, i.e., Self-assessment Audit Questionnaire and Assertion Certificate
Any files added from template(s) can be shared
Attachments cannot be shared

To remove sharing of any file(s), simply select the file(s) that you want to de-share then click the Remove ‘Share with Authorized Requester’ button in the top navigation bar of the working papers view.

Sign off/remove signoffs of a document

Navigate to the Working papers view on the top navigation menu bar
Click the check box beside the file(s) to select the file(s) you want to sign off
Click the Sign-off button in the top navigation bar of the working papers view

The initial of the user that provides the signoff will be displayed under the Sign-off column.

To remove the signoff of any file(s), simply select the file(s) that you want to remove signoffs then click the Remove Sign-off button in the top navigation bar of the working papers view.

Delete a working paper

Navigate to the Working papers view on the top navigation menu bar
Click the check box beside the file(s) to select the file(s) you want to delete
Click the Delete button in the top navigation bar of the working papers view