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Use caseUC0053

Check an engagement team's independence attestations for who to chase

Every cycle someone works down an engagement's attestation register to find who needs chasing, and people who owe nothing crowd the list. This app reads the register, gives each person a status with its reason, and proposes a worklist.

For the independence teamCross-domain · Professional Services

Why it matters

Today's manual process, and the same job with the app

A risk and independence team at a professional services firm, checking each engagement's register before sign-off.

✕Today's manual process

1Open the register and work down the roster, one person at a time.
2Work out each due date from when the cycle opened and the role's cycle length. No register states one.
3Compare each return with its due date, the window it covers and every other filing on the register.
4One slip chases people who owed nothing, or clears someone whose two returns disagree.
Every person checked manually, every cycle

✓With the app

1The whole roster is read from the register, one line per person.
2Every due date is worked out and shown beside the date the return was filed.
3Each person gets a status: satisfied, missing, stale, contradicted, not required or cannot tell, with the reason.
4A worklist is proposed, and a person decides who to chase. Nothing is sent or cleared.
People act only on the worklist

See it work

One real case, read by the app, step by step

Engagement ENG-1642-PV has seven people on its register: three fine, one missing, one stale, one contradicted and one unreadable.

Check an engagement team's independence attestations for who to chaseReference appBuilt to be shaped to your process
  1. 1Missing P-3190 has nothing on file, and the due date has passed.
  2. 2Stale filed in time, but it covers the last window, not this one.
  3. 3Left alone filed in time for the right window, so nobody chases them.
  4. 4Contradicted two returns disagree, and a third filing would not settle it.
  5. 5The worklist three people to act on, and a file that needs an owner, not a reminder.

For engineers

How it is built, and how we measured it

All fourteen steps of the build are written up, from the business case to running it in your own environment.

Kit overview →
273 of 280people given the right statusmeasured in 06 Evals →
0 of 101worklist names who owed nothingmeasured in 01 Business case →
273 of 273due dates worked out correctlymeasured in 01 Business case →
1.8¢to check one registermeasured in 07 Unit cost →

The build, step by step

14 steps

Make it yours

What you see is a reference app. We shape it to how you work.

Every part of it is built to change, and none of it means starting over.

Your rulesYour own independence policy, cycle lengths by role and grace window.
Your recordsThe attestation registers, returns and declared relationships you already keep.
Your systemsReads from where your registers live and hands the worklist to your tracker.
Your screensThe statuses, fields and wording your independence team already uses.

Want this for your team?

Talk to us

We can run this on your own registers, with your own independence rules, inside your environment.

Talk to us →
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