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Audit Exception Notifications

The Audit Exception Notifications (AEN) system allows the creation, distribution and tracking of compliance violations through to resolution. There are three modules in the AEN system: the Auditor module, the Manager module and the Employee module. Each one provides a unique view focused on the role of the user.

Using the Auditor module, the auditor can create new AENs, attach Exception Types, attach Employees, add Comments, attach Supporting Documents, etc. The auditor can also run Reports by Division, Department or Employee.

Within the Manager module, the manager is able to review, comment on and attach Supporting Documents to any Exception — attached to an Employee in his or her Department. The Manager can also search for and review Closed and Retracted AENs and run Reports for his or her Department.

Through the Employee module, an employee is able to review, comment on and attach Supporting Documents to Exceptions raised under his or her name. The Employee is also able to search for and review Closed and Retracted AENs to which he or she is attached.

Capabilities Overview

  • Auditor
    • Create AENs,
    • Attach one or more Exception Types to an AEN,
    • Assign the AEN to one or more Employees,
    • Add Comments to the AEN and review existing Comments,
    • Attach Supporting Documents (documents, spreadsheets, etc.) to the AEN,
    • Send an email-based notification of new AENs to Employee Managers,
    • Review the Notification Log,
    • Search for AENs,
    • Change the AEN status (to Open, Approved, Authorized, Closed, Retracted and Voided), and
    • Print Reports by Division, Department and Employee.
  • Manager
    • Review Authorized, Closed and Retracted AENs under his or her Department,
    • Add Comments to the AEN and review existing Comments,
    • Attach Supporting Documents (documents, spreadsheets, etc.) to the AEN,
    • Request a review of an AEN after updating it, and
    • Run Reports for his or her Department.
  • Employee
    • Review AENs raised under his or her name,
    • Review existing Comments and add additional Comments to an AEN,
    • Attach Supporting Files (documents, spreadsheets, etc.) to an AEN, and
    • Search for and review Closed and Retracted AENs to which he or she is attached

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Additional Information
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© Integrated Business Applications
All Rights Reserved




End User
License Agreement (EULA)




Website
Terms of Use