Overview
Users can request specific documents for their audits from an Audit Client. Audit Clients can be another user in the organization that we are auditing one of their process or controls.
User Account Requirements
The user account used to log into Resolver must be added to either the Internal Audit Leads or Internal Audit Managers user group.
Required Information/Setup
For further information on how to scope an Internal Audit Project, please refer to the Define the Scope of an Internal Audit Project article.
Navigation
- From the Home screen, click on an Internal Audit Project in the Planning stage from the My Tasks section.
My Task - Internal Audit Project - Planning
- From the Audit Details screen, click the Document Request tab.
Document Request Listings Button
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From the Documentation Request tab, click the Document Request Listing button to create and review document requests for the Internal Audit.
Document Request Listing Button
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From the Document Request Listing screen, click a Control.
Click on a Control
- From the ManageDocumentation Requests pop-up, click the + Create New button.
+ Create New Button
Alternate Navigation
- From the Resolver Home screen, click the Home dropdown and select the Internal Audit Management link.
Home Drop-Down
- From the Risk Assessment screen, click on the Planning tab.
Planning Tab
- From the Planning screen, click the Create Audit Project button.
Create Audit Project Button
- From the Intern Audit Project screen, click the Document Request tab.
Document Request Tab
- From the Documents Request tab, click the Document Request Listing button.
Document Request Listing Button
- From the Document Request Listing screen, click a Control.
Click a Control
- From the ManageDocumentation Requests pop-up, click the + Create New button.
+ Create New Button
Fieldwork Tab Navigation
Users can also add a new documentation request through the Fieldwork tab.
- From the Home screen, click the Home dropdown and select the Internal Audit Management link.
Home Dropdown
- From the Risk Assessment screen, click on the Fieldwork tab.
Fieldwork Tab
- From the Fieldwork screen, click on the Internal Audit report name that contains the control you want to perform from the Audits in Progress section.
Internal Audit Report
- From the Audit Project Overview screen, click on the Expand icon on the Navigation Tree to expand the nodes until you find the control.
- Click the control to open the Control Details screen. The process is indicated with a C icon next to the control name on the node.
Control Node
- From the Control Details screen, click the Document Request tab.
Document Request Tab
- From the Document Request tab, click the + Create New link.
+ Create New Link
Adding a New Document Request
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From the Create a New Request pop-up, enter the following information in the following fields:
- Request Name: Enter the name of the document request. The Request Name represents the document request throughout the system.
- Description: Enter a document request description. The Description field allows you to enter detailed information or instructions.
- Request Date: The system will tag the document request with the date the request was created.
- Request Owner: Enter the name of a user group and select the user group from the dropdown list. The Request Owner field indicates the user group responsible for the document request. When the Document Request is sent users entered in the Request Owner field will receive an email notification and a Documentation Request task in their My Task list on their Home screen.
- Request For: Select a Request For option from the dropdown list. The Request For indicates the reasons for the document request.
- Internal Audit Project
- Internal Controls Testing
- Document Request Type: Select a document request type from the dropdown list:
- Population Listing
- Evidence for Sample
- Policy/Procedure
- Spreadsheet/Report
- Narrative
- Scanned Notes
- Workflow Diagram
- Shared Link
- IPE (Information Provide by the Entity)
- Due Date: Select a document request due date from the Calendar pop-up.
New Request Details
- From the Policy section, click on the Add Existing Policy link.
Add Existing Policy Link
- From the Add Existing Policy pop-up, all recently created policies will be listed. Enter key search terms in the Search field if the policy you are looking for is not listed. A Policy describes an Internal Audit Project's procedures and requirements.
Search Field
- When you have located the policy, click the + ADD link to add the policy to the document request.
+ ADD Link
- From the Comments section, enter any comments related to the document request in the Auditor Comments text box.
Auditor Comments Section
- Click the Create button to add the Document Request to the Control.
Create Button