Audit International 19.1 What s New September 2017
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1 What s New September 2017
2 Index 1. Technical Enhancements AO General Options Firm Author Financial Statements Areas Checklist and Work Programs Usability AI 18 Hotfixes Update Process Constellations Content CaseWare International CaseWare Africa Localisation all Localisation South Africa General options and settings Master documents Amendments to the grouping and mapping structure Other... 9
3 1. Technical Enhancements CaseWare International introduced the following new features, enhancements, and fixes: 1.1. AO General Options Firm Author Engagement profiles. The firm can add up to 20 engagement profiles (previous limit 10) Controls A new Control field, Design Implementation, has been added to the Control dialog. The field can be enabled or disabled in AO General Options. You can set the dropdown options for the field using the + and - buttons at the bottom of the General Control Options dialog A new IT Systems Affected field, that allow users to document IT related controls, can be added to the Control dialog from the AO General Options. User can filter by IT Systems Affected in the Control Matrix Enable or disable links to CaseWare Risk Space in the firm template. In the AO - General options document, the Enable CaseWare RiskSpace option has been added to Controls Reportable items Enable or disable links to CaseWare Risk Space in the firm template. In the AO - General options document, the Enable CaseWare RiskSpace option has been added to Reportable items Changes applied to "Observation, Weakness, Management Response" in the Reportable Items field will now reflect in the Management letter Risks Enable or disable links to CaseWare Risk Space in the firm template Firm can add up to 90 pervasive (Entity Level) risk categories (previous limit 10) in General Options/Risk/General Risk Options Materiality Choose the Sections to be Included in the Materiality Document from the Materiality sections of AO General Options New settings have been added to the Materiality options for noting Trivial Misstatements. Firms can create multiple pre-set options with descriptions and percentage settings. The new options are available at the bottom of AO- General Options/Materiality Firms can now use abbreviations for Preliminary and Final materiality. The new options are available in AO-General Options/Materiality. 3
4 1.2. Financial Statements Areas User FSA Inherent Risk warnings are now cleared by the user by selecting from a Yes/No prompt, rather than being automatically cleared when text is entered into the Summarize the reasoning for the assessed level of risk column. (Summarize the reasoning for the assessed level of risk column can be activated via "Options".) FSA items with possible unrecorded adjustments that would cause the FSA item to be immaterial now display a yellow warning sign in the Inherent Risk column. The warning is cleared when the Risk assessment completed column is filled out Changes made to Adjusted Materiality now prompt the yellow over-auditing warning and the red under-auditing warning in the Materiality assessment column when relevant Firm Author The FSA Inherent Risk warning will now only display if you specify a setting in the Inherent Risk column of the FSA worksheet Checklist and Work Programs User Procedures can be filtered. User can specify filter parameters in the Filter Procedures dialog which can be accessed from the Filter Procedures button at the top of any work program or checklist Modified comments made to a procedure response after sign-off no longer appears in modified state after performing a year end close The Display Completion Details option in the Options menu to hide or show the role sign-off at the top of the document will now also hide the role sign-off detail from printing The AOCR now includes a new Prior Year column to help you decide which documents to delete The Page Setup option to change page orientation can now be accessible from the Template Toolbar in the master template for work programs and checklists The Work Program/checklist progress report has been updated: Work programs and checklists will only have the Not Relevant status if the Relevant checkbox in this document is not selected. Work programs and checklists can now have the In Progress status if a document role is signed off and not all procedures are signed off. In addition to displaying the number of roles that have been signed off, the tooltip for In Progress status now also displays the role labels for any signed off roles and the initials of the user who signed off each role. 4
5 Firm Author You can now remove the materiality table from individual CaseView documents at the master template level. In the work program or checklist document, select Options Display Materiality Details to toggle it on or off When you are modifying a work program, you can now delete detailed audit response tables from the content library. You can only delete audit response tables that you own. This function is disabled for default CaseWare audit response tables. If the deleted audit response table was used in another work program, you will be prompted to select a new detailed audit response when you open the work program Usability User Diagnostic report. A new read-only Diagnostics report has been added to provide a summary of all the warnings that are being shown in an engagement. Users can generate a report within the file which will list all warnings currently in the file. Report can be launched from the Diagnostics Report document added into the Evaluate Audit Evidence folder. The document is also available in the New Master Documents folder. Clicking on a warning will launch the document where the warning appears. Before running the report, you can select the type of issues you want to scan. Once you selected the 1.5. AI 18 Hotfixes configuration settings, click Refresh ( ) to generate the report. Users will have the option to mark a warning to be ignored in this report (will only impact the report not the warning itself). The report will be as at the time of generation and will have to be refreshed to update for changes in the file. A list of warnings is available in the updated Audit International User manual. The template includes hotfixes issues by CaseWare International relating to AI 18. These hotfixes will run when a user opens an engagement file. A dialog will appear that informs the user that the update is running. This only relates to the hotfixes. It does not include the update from AI 18.2 (or earlier versions) to AI Update Process AI 19.1 includes update functionality that will enable users to update from AI 17.4 (and later) to AI It does not support the update from earlier versions than AI User When performing a client file update, a red exclamation mark will appear near any signed-off documents in the Update dialog to indicate that they cannot be updated or deleted. Firm Author PCUTil. Add a manual document to document manager with document number as follows: To retain letters (RETLETTERS) To retain document numbers and names (RETDOCNUM) To retain document manager (RETDOCMAN) 5
6 We advise that you add the documents at the top of the document manager Improved the process of updating procedure conditions by reducing the need for increasing the procedure version number Firm authors can push updates made to FSA document to users, such as Working Paper references and making specific items as being qualitatively matters. When changes are made, the firm author must increase the document version number. An example would be when the R3-Template Analysis Tool (Form 1.001). The document will assist the firm author to identify procedure/kli/ grouping issues. After opening the document, select Run All Tests to generate the report. Refer to the Firm Author Guide CaseWare Audit Health Check (Form 1.002). The document will assist the firm author to identify issues with versioning of the template, including Template versions. Script versions. On opening the document, the software will analyse the template. You will receive the following message when the above is in order. If you do not receive the message, contact our support department with the result of the report. For further information, refer to the Firm Author Guide A new document tag, CWI_REQ_DOC, has been added. This tag identifies required documents. Documents with this tag: 1.7. Constellations Users Are automatically updated when the file is updated, Are not deleted when performing an AOCR, and Cannot be deleted by the Profile feature Clicking a skin heading (such as Planning or Risk Assessment) no longer refreshes the constellation FSA cards now have a view/edit button () that launches the associated FSA worksheet Constellation filters now change colour to indicate they have been selected. 2. Content 2.1. CaseWare International The main focus of the content changes for Audit International 19 was to remove duplication of work that can lead not only to inefficiencies, but also lead to the potential for inconsistent responses within an engagement file. Examples of key content changes relating to the above are: Form Identifying risks through understanding the entity (Core) Added Procedures/Guidance from 500, 505, 508 and 515 into 510. Added in new content from US Audit. Reorganised format and layout of document. Duplicate procedures were removed. Data that has already been entered in another area of the software like Engagement Properties will automatically flow into this form as well. Due to the reorganisation/merging of content in the document, some existing responses will be lost Form 500, 505, 508 and 515. Documents were deleted. Majority of the procedures were moved to Form 510. Some procedures were moved to 426, 506 and 531. Previously entered responses will be lost. 6
7 2.1.3 Form Entity level risks and controls (Core) The Form was redesigned. Multi-select cells were added to reduce manual input by the user. Another key content changes relate to Significant Estimates. Entity-wide estimates procedures stay in Worksheet - Accounting estimates (including fair values). A question was added to each work program to determine whether significant estimate procedures are required for the relevant work program. Procedures relating to Significant Estimates are added to the work program when the user answer yes. Refer Annexure A for a Summary of Content Changes and Annexure B for a Summary of the Major Changes made by CaseWare International. Documents with major changes show updated procedures with an Updated or New label during the engagement file update process. The master template is updated for all changes. To review all updated or new procedures, use the Highlight functionality within each document CaseWare Africa Localisation all Major changes include adding content to work programs created by CaseWare Africa. Upon initial release of Audit International, CaseWare Africa developed an integration script to enable users to integrate CaseWare Africa Financial Statement Components into Audit International, which include groupings, mappings and Financial Statement templates. New lines were created in the Financial Statement Areas (FSA) document to align the content in the FSA with the CaseWare Africa Financial Statement (specifically the Statement of Financial Position and the Statement of Comprehensive Income). New work programs for the items inserted in the FSA was created. These work program did not contain audit procedures. The procedures relating to the FSA item was included in another work program in Audit International. For example, the audit procedures relating to Intangible Assets were included in the work program Goodwill (and Intangible Assets). To improve visibility of the procedures and to reduce the risk of error and non-compliance, the procedures were captured on the relevant work program. In some instances, which is deemed to be specialised or industry specific, Audit International does not provide procedures, for example Biological Assets. The template also provide users with procedures relating to: ISA 720 The Auditor s Responsibilities Relating to other Information in Documents Containing Audited Financial Statements (Form 305). Non-Compliance with Laws and Regulations effective on or after 15 July 2017 (Form 415 and 310). Refer Annexure C for a Summary of Content Changes made by CaseWare Africa Localisation South Africa Procedures with regards to the following legislation and regulations have been added and will be included in an engagement file when the user selects South Africa as the country in the Information Store: Companies Act 71 of 2008 Financial Intelligence Centre Act Reportable Irregularities Refer Annexure C for a Summary of Content Changes made by CaseWare Africa General options and settings The following default settings for new or revised features in the AO General Options and other documents were made by CaseWare Africa: Form Description Setting All work programs Default views of work programs Management letter report. Reportable items relating to the relevant Financial Statement Area will appear on the top of the work program. AO General Options/ Controls New Control field, Design Implementation, has been added to the Control dialog. Activated in profiles Core & Tailor Per Engagement. 7
8 Form Description Setting AO General Options/ Risks, Controls and Reportable items Enable or disable links to CaseWare Risk Space in the firm template. Enabled links in profiles Core & Tailor Per Engagement. AO General Options/ Controls AO General options/ Materiality IT Systems Affected field, that allow users to document IT related controls, is added to the Control dialog. User can filter by IT Systems Affected in the Control Matrix Choose the Sections to be Included in the Materiality Document Activate in profile Tailor Per Engagement only. Examples of IT systems were added. Activated in all profiles. 420 Prior period 2 now is implemented. Not activated in any profiles. AO General options/materiality AO General options/materiality AO General options/risks AO General Options/FSA AO General Options/FSA (New setting) Trivial Misstatements added to the Materiality options. Use abbreviations for Preliminary and Final materiality Firm can add up to 90 pervasive (Entity Level) risk categories (previous limit 10) Inherent risk warning: FSA Inherent Risk warning will display if a setting in the Inherent Risk column of the FSA worksheet is specified. Materiality warnings Pre-set options are 1-5%. Abbreviations used are: Preliminary Materiality - P Final Materiality F The template provides for 2 risk categories, namely Fraud and Business. Not activated. Activated in all profiles, except Minimal. The default views and settings of all the work programs have been updated to the following: Completion responses in the template were changed from 4 responses to 7 responses. Firm templates will not be updated with these changes as firms could have decided on their own default views and settings. We recommend that firm authors review the new and revised AO settings as well as features and decide how they want to adopt it in their firm template. 8
9 Master documents The new mater documents were included in the template as follows: Form # Form Description Profile DIAGN Diagnostics Report Added copy of document to Completion/Evaluate Audit evidence PROGRP T SAP SAMP Work Program/checklist progress report Worksheet - Substantive analytical procedures Worksheet - Substantive analytical procedures and sampling sizes Added copy of document to Completion/Evaluate Audit evidence The updated master document is included in the template. Due to the nature of the changes (minor) the copies of the worksheets in the template were not updated. The updated master document is included in the template. Due to the nature of the changes (minor) the copies of the worksheets in the template were not updated. One Form Plus, Core, Tailor per Engagement One Form Plus, Core, Tailor per Engagement Amendments to the grouping and mapping structure Changes to the grouping and mapping structures affected the following documents: Form # Form Description FSA Financial statement areas worksheet Analytical review Balances - Preliminary The changes to the grouping and mapping structures inter alia include changes relating to the following two revised financial statement templates to be released later this year: Revised IFRS for SME template. These changes relates to the revised IFRS for SME standard effective for years commencing on or after 1 January Revised Body Corporate template (South African market). These changes relates to the change in legislation effective for years ending 31 October 2017 and thereafter. A new FSA item Municipal deposits was created in the FSA relating to the aforementioned legislation. Audit International 19.1 will enable you to integrate with the revised Financial Statement templates. Audit International 18.2 or earlier versions will not enable you to integrate with the revised Financial Statement template. To integrate to the revised Financial Statements you need to upgrade to Audit International Other The AI Integration dialog was updated to improve the user experience The button on the toolbar was changed to and the wording of the dialog was updated for the instance where the user previously integrated the financial statements. 9
10 The now also provide an option to refresh the groupings in the following instances The Financial Statements Area includes New lines. The financial statements of the entity was updated to the latest template, with revised groupings. Copy components or import of a trial balance with groupings were performed. 10
11 Contact Us Main Contact Details Adapt IT Reception Help Desk Direct Extension CaseWare Working Papers CaseWare Time TaxWare SecWare CQS Support Other Important Details Register at for easy access to frequently asked questions, upgrades, downloads and technical documentation. us at regarding: Feedback Ideas on service or products Product information Account or license information Any other queries Follow us CaseWare Africa South Africa CaseWare Africa South Africa CaseWare Africa South Africa CaseWare Africa South Africa 11
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