Overview
Once a member of the Internal Audit Team has reviewed a corrective action attached to an internal audit project in the Fieldwork phase, it is assigned to the Internal Audit Lead for final review.
Related Information/Setup
Please refer to the Creating a New Test article for further information on creating a new test.
Please refer to the Sending an Internal Audit Test for Review article for further information on sending a test for review.
User Account Requirements
The user account used to log into Resolver must be added to the Internal Audit Lead user group.
Navigation
- From the Home screen, click a corrective action in a review status from the My Tasks section.
My Tasks
Note:
Click on the Corrective Action bar chart to view all corrective actions that require attention in the My Tasks section.
Bar Chart
Alternate Navigation
- 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 Test 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 desired control.
- Click the control to open the Control Details pop-up. Controls are indicated with a C icon next to the control name on the node.
Control Overview Pop-up
- From the Control Overview pop-up, scroll to the Audit Findings section.
Audit Findings Section
- Click an Issue with an open workflow status from on the Issues table.
Issue
- From the Issue pop-up, scroll to the Corrective Actions tab and click on a corrective action on the Corrective Actions table.
Corrective Action
Closing a Corrective Action
- From the Corrective Action screen, review the following fields:
- Description: A brief description outlining the steps within the corrective action.
- Corrective Action Owner: Select the user or user group responsible for the corrective action from the Corrective Action Owner dropdown menu.
- Priority: Select a corrective action priority from the Priority dropdown menu (e.g., Low, Medium, or High).
- Expected Completion Date: Select the date the corrective action is expected to be complete from the Calendar pop-up.
- Actual Completion Date: Select the date the correction action was completed from the Calendar pop-up.
Corrective Action Screen
- Users can attach evidence to the corrective action by dragging and dropping an image in the Supporting Attachments field or clicking the + Add File link and selecting an image from the connected PC. The maximum size for Files is 100 MB. the following file types are not valid (.bat, .exe, .gif, .sh, .dll, or .com).
+ Add File Link
- Users can attach evidence to the corrective action by clicking on the Add Link link to attach a web link to the corrective action or click the Click to add a web link to a file link.
Add Link
- (Optional) Click the More icon on the uploaded file card to upload new version, rename, delete, or check version history.
More Icon
- From the Add Web Link pop-up, enter a Display Name and URL Link.
Add Web Link Pop-up
- Review the issues listed on the Related Issues tab.
Related Issues Tab
- Click an Issue to view further issues details or submit an issue for review.
Issue
- Click the Loss Events tab to view loss event details.
Loss Events Tab
- Click a Loss Event for more details.
Loss Event
- (Optional) Click the X icon to remove the loss event from the corrective action.
X Icon
- Scroll to the bottom of the screen and click the Close Corrective Action button to complete the corrective action.
Close Corrective Action Button