Improvements
- Enabled the Use Organization Logo on all email templates for the new logo customization functionality.
- Certification Process – Layout Improvements:
- Added Certification Owner role to Controls.
- Added Certification Owner to all IC Control forms.
- Removed the No option from the Certification Complete field.
- Added Name field to IC forms and removed Concatenation option.
- Create a Certification Sent Date read only field to be use with the point in time reporting feature.
- Created an action to set Certification Sent Date on the Create and Sent to Owner and Sent to Certification Owner buttons.
- Removed the Business Unit field as a mandatory field on the Creation WF.
- Added Company field as a mandatory field on the Creation WF.
- Certification Owner Summary Report.
- Created a new relationship between company and control
- Added new data definitions:
- Certification
- Company
- Business Unit
- Internal Controls Assessment
- Process (Control)
- Sub Process
- Control
- Enabled the Point in Time reporting feature.
- Add Certification Owner role parameter on both Control and Issues.
- Reduced the amount of report filters.
- Remove the Process table and added Process Name as a column on the Control table.
- IC – Certification Owner Summary for the IC team:
- Used on the Certification – IC Overview form.
- Similar with Certification Owner Summary report with an additional note for users and no parameters.
- Intention is to use Certification Owner role filter and point in time reporting.
- IC – Certification Summary:
- Change the data definition to Company – Certification.
- IC – Continuous Assessment Layout Improvements:
- Added the Prior Year Complete Date field to the Assessment Management section on the Internal Controls Assessment – 2 – In Progress and Complete form.
- An action to set the Prior Year Complete Date was added to the Complete Testing trigger on the In Progress workflow for the Assessment object type.
- Created IC – Process – Prior Year Process Updates Report with Point in Time Reporting feature with the Prior Year Complete Date.
- Created IC – Control – Prior Year Control Updates Report with Point in Time Reporting feature with the Prior Year Complete Date.
- The following actions were added to the OE: Reassess from ICA trigger on the Complete workflow for the Process object type:
- Clear the answer to Question 1 – Have there been any changes to the process (e.g. staff changes, system changes, etc.) since the last testing cycle?
- Clear the answer to Question 2 – Have there been any changes to the process that would impact the related controls?
- Clear the answer to Question 3 – Have any known issues been identified since the last testing cycle?
- Clear the answer to Question 4 – Are there any additional changes to note?
- Clear the Date Update field.
- Clear the Changes to Process field.
- Clear the Updated by field.
- Added Prior Year Complete Date.
- Changes to the Process – IC – 1 Process Overview form:
- Added the Send to Process Owner button to the Process Update tab.
- Added the Prior Year Completed Date field.
- Changes to the Process – Prior Year Process Updates form:
- Report focus was changed to process
- Anchor was changed to process
- Data was changed to process
- Enabled filter by report date
- Added the following columns:
- Date Updated
- Updated By
- Changes to Process
- Current Update Status
- Question 1 – Changes Question
- Question 2 – Control Changes Question
- Question 3 – Issues
- Question 4 – Additional Changes
- Removed the Roll Forward field from the IC – Risk and Control Matrix and IC – Risk and Control Matrix (data grid).
- Added the Bypass Required Fields to the OE: Complete Review from Test: Review trigger on the Review workflow for the Control object type.
- Add the Complete Prior Year Test variable to the OE: Send for Review from Test: In Progress trigger on the Review workflow for the Control object type.
- The Roll Forward Testing transition was removed from the OE: Reassess from ICA: Complete trigger on the Complete workflow for the Control object Type.
- The following actions were added to the OE: Prior Year Complete Attachments from Control: Reassess New Testing Year on the Complete workflow for the Control object Type:
- Clear the answer to Question 1 – Have there been any changes to the control (e.g. staff changes, system changes, etc.) since the last testing cycle?
- Clear the answer to Question 2 – Have there been any changes to the process that may impact this control’s design?
- Clear the answer to Question 3 – Have any known issues been identified since the last testing cycle?
- Added Prior Year Completion Date.
- The following actions were added to the OE: Prior Year Complete Tests from Control: Reassess New Testing Year on the Complete workflow for the Control object Type:
- Clear the Updated By field.
- Clear the Changes to Control field.
- Clear the Date of Last Update field.
- Clear the answer to Question 4 – Are there any additional change to note?
- The following changes were made to the Control – IC – 2a – Control Walkthrough and Testing form:
- Added the Send to Control Owner button on the Control Update tab.
- Added Prior Year Completed Dated and Description fields (read only).
- The following changes were made to the Control – Prior Year Control Updates form:
- Report focus was changed to controls
- Anchor was changed to controls
- Data was changed to controls
- Enabled filter by report date
- Added the following columns:
- Date Updated
- Updated By
- Changes to Control
- Current Update Status
- Question 1 – Control Changes
- Question 2 – Process Changes Question
- Question 3 – Issues
- Question 4 – Additional Changes
- The Phase field was removed from the following forms:
- Test – IC – Testing Working Paper
- Test – GRC – 1 – Create
- Test – IC – External Auditor Overview
- The following consume Orchestrated Events were added to the Prior Year Complete workflow on the Test object type:
- OE: Prior Year Complete from Control: Reassess on Complete State
- OE: Archive Prior Year Complete Tests from Control: Reassess on Prior Year Complete State
- The following consume Orchestrated Events were added to the Received workflow on the Request object type:
- OE: Archive from ICA – Process: Complete
- OE: Archive from ICA – Sub Process: Complete
- OE: Archive from ICA – Controls: Complete
- Added the consume Orchestrated Event OE: Prior Year Complete Attachments from Control: Reassess New Testing Year to the Completed workflow on the Attachments object type.
- Added the consume Orchestrated Event OE: Archived Prior Year Complete Attachments from Control: Reassess New Testing Year to the Prior Year Completed workflow on the Attachments object type.
- The following changes were made to the Control object type:
- Removed the Orchestrated Event OE: Send for Review from Testing In Progress.
- Removed the Send to Review button.
- Renamed the Orchestrated Event OE: Complete Review from Test: Review to OE: Complete Testing for Test: Review.
- Added the Complete Control button.
- Removed the review trigger from the Internal Controls Assessment - Control workflow.
- Removed the Orchestrated Event OE: Return to Tester form Test: Review.