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Procedure Allocation

Procedure allocation, which is specified in the AO - General options document, enables the ability to assign procedures in a work program or checklist document to specific users, and allows only those users to complete their assigned procedures. This capability is useful if a checklist or work program is to be completed by multiple members of the team. In addition, if responses to procedures could potentially contain sensitive information, the procedures can be marked as Sensitive and their responses hidden from other members of the team.

From the master template, the firm author has the option to provide guidance by assigning procedures to a recommended security group, and in the engagement file, procedures can be assigned to specific users within the group recommended by the firm or to any other member of the engagement team.

To use procedure allocation, the Working Papers protection feature must be turned on, with users and groups defined. The firm author then assigns each of the following privileges to a defined security group:

Assigners have the ability to:

  • assign or reallocate work program and checklist procedures to members of the engagement team
  • complete procedures assigned to any team member
  • mark procedures as Sensitive
  • view all responses to procedures marked as Sensitive
  • specify procedure allocation options in the AO - General Options document

Reviewers have the ability to:

  • complete procedures assigned to any team member
  • mark procedures as Sensitive
  • view all responses to procedures marked as Sensitive

Assignees have the ability to:

  • complete procedures assigned to them
  • view only those responses to procedures marked as Sensitive that are assigned to them

Note:

  • Since members of the Assigner group have all of the privileges of the Reviewer group plus the ability to assign procedures to users, the Assigner group is usually not the same as the Reviewer group.

  • Within the engagement file the Assigner can determine whether unassigned procedures can still be completed by Anyone or No one.

For more detailed information on protection, users, and groups in Working Papers, refer to Protection.

This online help system applies to all Caseware Audit, Review and Compilation products. Not all features are available in all products.