Findings Manager

Findings Manager

The findings manager application allows you to record and manage findings identified during audits and reviews. It a simple tool which is fully customizable and allows for collaboration.

Start off by recording a finding that has arisen from your audit or review, you can then add management comments and remediation controls to the finding. Remedial actions can be allocated to the responsible people in the team and the integrated messaging system allows all team members to be kept informed and up to date.

The audit team is then able to monitor findings and actions by producing reports and dashboards with real time filters which can be used when presenting to stakeholders.

To navigate to the finding manager from the B-Digital Home page, select the Finding manager option.

Findings

Findings

Add a Finding

Select the Add a Finding () option from the top menu bar. You will be directed to a page with reviews:

Select the icon (under the actions column) for the review you would like to work on. You will be directed to a dashboard for the selected review:

Select the Add a Finding button on the top right corner of the findings table, fill in the pop-up form and select the Add button

Add a Program

To add a new program, Users must navigate to the “Configuration” menu bar item in the Findings Manager portal and select Programs. Thereafter, you will be presented with a list of existing programs. To add a new item, select the Add Program button and fill in the pop-up that is displayed. Once complete, select the Add button and the program will be created.

Note: Only programs with no reviews linked to them can be deleted.

Add a Review

NB If you need to add a finding for a review which is not in the review table, add a new review by selecting the Add Review button, fill out the pop-up form by selecting the correct Program that the review belongs to and then select the Add button.

Note: Only reviews with no findings can be deleted by selecting the icon under the Actions Column.

Modify a Finding

Once you have accessed the Review Dashboard, you can scroll down to the Findings table and select the green edit icon to update the details of the finding. Select the icon under the actions column for the finding you would like to edit OR select the icon followed by the Edit Details button.

The Edit Finding pop-up appears and the user will have access to changing the details of the finding. Some fields may be non-editable as they are essential to maintaining the integrity of the logged finding. Once the user has completed editing the fields, they may select the “Save Changes” button in the bottom right-hand corner of the pop-up.

Selecting the icon directs you to the Findings Details page where you can, Mark a Finding as Resolved (if you are the finding owner), Withdraw a finding or Archive a finding using the relevant buttons. The finding owner is also able to Add a Management Comment and Remedial Actions

The changes will be saved and the Review Team will be notified of the change via an email notification.

View a Finding

Once you have selected a review and are upon the Review Dashboard, select the review you would like to view by selecting the blue binocular icon under the Actions column.

Once the finding has been selected, you will be redirected to the Finding Details page where you may view the remedial actions, discussion, and other functionality attached to the specific functionality.

View Status of a Finding

Findings go through a strict reviewing process where the details of the findings are refined before presenting it to the client and deciding upon the relevant remedial action. To view what stage in the process a finding is within, you must Select a review to view, and scroll down to the Findings table. Within the table, you will be able to see the table below which provides you with an overview of all findings and the stage they are within.

If the status reflects as “No”, the finding has not passed the stage within the process yet (i.e. The task has not been promoted from that stage); and if the status reflects as “Yes”, the finding has passed that stage.


Approving and Promoting a Finding

Approving and Promoting a Finding

A finding is required to be promoted to each stage of the reviewing process. To promote a finding, you will need to select the findings from the findings table that you would like to promote and then select the action you would like to perform from the list of actions (shown below).

Findings can be submitted to multiple stages at once.

Promote A Finding Via Your Dashboard

To view the findings that are awaiting approval and promotion, navigate to My Dashboard.​

Within this screen, the Engagement Manager or Partner will be able to view all findings that have been raised for their review. To view the details of the finding and promote the finding, select the blue binoculars icon from the Actions column.

Within this screen, the Engagement Manager or Engagement Partner will be to view the finding details, edit the finding details, withdraw the finding, archive the finding or revert the finding back to the review team.​

Select the “Promote to Finding Owner” button to send the finding to the client for acknowledgement.​

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Promote A Finding Via The Review Dashboard

To approve and promote the finding, navigate to the Review Dashboard.​

Within this screen, the Engagement Manager or Partner will be able to view all findings that have been raised for their review. To view the details of the finding and make edits, the Engagement Manager or Partner can select the blue binoculars icon from the Actions column.

To send the finding/s for approval by the engagement partner or for acknowledgement by the client, select the relevant finding/s and click the “With Selected Records” drop-down. ​

  1. Select “Promote to Engagement Leader” to promote the finding to the engagement partner for review​
  2. Select “Promote to Finding Owner” to promote the finding to the client for acknowledgement ​
  3. Select “Promote to Other Recipient” to promote the finding to another client recipient. This action will enable you to forward the finding to another staff member for their review and comment. This will not change who the finding owner is and will not change the status of the finding.​

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Promote And Withdraw Findings From Audit Committees

​​To promote a finding to the Audit Committees, navigate to the Review Dashboard.​

Within this screen, the Engagement Partner will be able to view all findings that have been raised for their review. To view the details of the finding or edit the finding, the Engagement Partner can select the blue binoculars or green edit icon from the Actions column.​

To send the finding/s for promote the finding/s to the Audit Committees the Engagement Partner must select the relevant finding/s and click the “With Selected Records” drop-down. ​

  1. Select “Promote to Audit Committee” to promote the finding to the Audit Committee for review​
  2. Select “Promote to Group Audit Committee” to promote the finding to the Group Audit Committee for review​
  3. Select “Withdraw from Audit Committee” to remove the finding from the schedule of findings for the Audit Committee to review​
  4. Select “Withdraw from Group Audit Committee” to remove the finding from the schedule of findings for the Group Audit Committee to review.​

Management Comment

Management Comment

Further down the Finding Details page you are also able to add a management comment by selecting the Add Comment button under the Management Comment section

The other buttons under this section allow you to Accept the Risk associated with the findings and indicate that you will not be taking further action to address it, Mark the Finding as Addressed and alert the review team or raise an objection to a finding by selecting the Revert to Review Team button for the review team to further review/action.


Finding Functionality

Finding Functionality

The Management on the Review will have access to reviewing and managing the findings raised within a review. Once a finding has been acknowledged, the management will have access to Editing, Withdrawing, Archiving as well as reverting the finding back to the previous stage in the process. To access these functions, the management must navigate to View A Finding.​ The following actions can be executed when a finding has been promoted to the next stage after being acknowledged. The Review Partner or Manager has the option to edit the details of the logged findings, revert it back to the previous stage in the process or withdraw or archive the finding. An explanation of the actions are as follows:​

Edit Details​

The details of the finding can be updated and altered by selecting this button. ​ Finding pop up pane will be displayed and the User may update the editable fields.​

Withdraw​

The Finding will be withdrawn and no longer on the list of active findings​

Archive​

The finding will be removed from the active finding schedule for the review. ​

Revert​

The finding will be reverted to the review team​


Actions

Remedial Actions

Add a Remedial Action

Navigate to View a Finding for the specific finding you wish to add a remedial action for and Select the “Remedial Actions” button from the menu bar. Select the Add Action button from the Finding Details page OR the Remedial Actions Page

Thereafter, you will be presented with a list of remedial actions. To add a new remedial action, select the “Add Action” button.

An “Add Action” pop-up will be displayed. Populate the fields the required fields and select the “Add” button once completed.

Once a finding has been added, it will appear in the finding list where it can be monitored and updated.

Modify an Action

Select the icon under the Actions column for the action you would like to modify, followed by the Edit Details button. Select the Save Changes button once you have completed your edits. You can also Mark an Action as Addressed , Mark an Action as Resolved or Delete an action using the relevant buttons.

Documents, Comments and Team Members

Documents

Upload documents for an action under the Documents page OR the Remedial Actions page. Select the Upload Document button to open your files and select a document to upload.

Once a document is uploaded you can download a single document using the icon, edit the description using the icon or delete a document using the icon. Additionally, you are able to Download all Documents using the green button on the Documents page.

<h5>Add a Document</h5> To add documents as supporting evidence to a finding, the user my navigate to the Finding Details page for the desired finding. Once upon it, the User must select the “Documents” menu bar item.

The User will be redirected to the Documents Overview page for the specific finding and will be presented with a list of documents that have been attached to the finding under review. To add a new finding, select the “Upload Document” button.

The Upload Document pop-up will be displayed and the user will need to populate all fields as well as select the “Select File” button to attach a file. Once all fields have been populated, the User can select “Upload” and the document will be attached to the finding.

Comments

Add a comment relating to a remedial action by selecting the Add Comment button under the Comment section. Team members may also edit a comment using the icon or delete a comment using the icon

Team Members

Add a team member relating to work on the remedial action by selecting the Add Team Member button under the Team Members section or remove a team member by selecting the icon


Activity Log

Activity Log

To view the activity log for the finding, the user my navigate to the Findings Details page for the desired finding. Once upon it, the User must select the “Activity Log” menu bar item.

The User will be redirected to the Activity Log page for the specific finding and will be presented with all the changes and promotions that the finding has undergone. The activity log can be exported as part of evidence of approval and acknowledgement.


Dashboard

Dashboard

The top of the dashboard contains cards, providing a high-level overview of the statuses relating to findings (left) and actions (right). Selecting a card will take you to a view showing the findings/actions related relating to the selected card.

The rest of the dashboard displays a Findings section with a table containing findings where you have been added as a team member, followed by two Actions tables. The first shows you all the actions where you are the action owner:

and the second shows you all the actions where you are a team member:

Reporting Dashboard

The top of the dashboard contains status cards, providing a high-level overview of the statuses relating to findings (left) and actions (right). Selecting a card will take you to a view showing the findings/actions related relating to the selected card.

Below those cards are additional filters which allow you to view specific actions or findings based on the selected criteria.


Discussion

Discussion

Discussion

Select the Discussion option from the top menu bar to have a discussion with other team members by adding comments:

and replying to other team members: