1. All activities during the Preliminary Checks phase have dependencies. The Dependencies (Activity IDs) has been already updated.
2. The SMEs stated that the information within the parenthesis for activities 7,8,9,10, and 11 are sometimes dependent on submitting the request to the DA/D or PM to update Audit Board and waiting for them to update it as depicted in activities 12, 13, and 14. Therefore, activities 7, 8, 9, and 10 is best depicted by using a decision tree. The SMEs post an example of one of these decision trees on our Share Point site. The file is titled, “Decision Flow Example”.
3. For Activity 35, this activity ONLY happens if the draft report includes substantive findings. That’s why the In-System Effective Report column is “0”. When asked why the is the out-of-system for the Effective Report is “7” the SMEs stated that was an error and it should be “0”. (This has already been corrected on the updated Activity List.
4. For Activity 36, this activity is only carried out if there are review comments from the Audit Director that require the Draft Audit Report to be reworked. This should be depicted with a decision tree like the decision tree example provided in the “Decision Flow Example” file.
5. Activity 37 always occurs even if rework depicted in 36 is not necessary.
6. Activity 38 only occurs if there are review comments as a result of the Director’s review in Activity 37.
7. Activity 46 has been updated to accurately reflect that if the Audit Director rejects the Audit Report, then the teams must restart the process from activity 26.
8. Activity 48 as been updated to accurately reflect that if the Audit Director rejects the risk assessment metrics in the Risk Management Tool.
9. Activity 49 as been updated to accurately reflect that if the Audit Director rejects the report details in Audit Board.
10. Team members must go into multiple platforms to check data is accurate across all systems throughout the report issuance process. This often causes confusion and re-checks.
11. Team members draft the audit reports completely offline due to Audit Template Generator limited ability to enable updates and tracking online. Version control and correspondence is via email resulting in voluminous and redundant communications often leading to confusion and failure to accurately track report draft versions.
- Audit Teams need to collect, aggregate, scrub, track, and version control Audit Manager, Audit Director, Business Stakeholder, & Special Review Committee comments. Review comments are provided in differing formats and technologies.
- The Audit Template Generator emails the copy of the Audit Report to various Stakeholders. The email of the report generated is not always the same as the one in the Audit Template Generator. There are times where formatting/content/characters are incorrect and as a result Report Issuers are forced to review the report directly in the Audit Template Generator against the email it generates and make corrections to the email version of the report before issuance.
- Report Issuers often must ask Audit Managers questions related to the audit and the distribution list in order to accurately answer the system generated questions required to create the surveys and to ensure the survey is sent to the correct respondents. In addition, the Bank Continuous Improvement team requires surveys to be sent out in order to officially close an audit project so Audit Managers must follow-up with Report Issuers often to confirm the surveys have been sent.
- Report Issuers are often juggling other responsibilities or on vacation so there have been times when reports have not been issued due to the unavailability of Report Issuers.
- Audit Director’s schedules are packed and seldom have time to review documents. All of them end up blocking every Friday between 3-6pm to review documents and reports. All three Directors are in NYC.
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