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9594CS21Q0053
Attachment J-1
Solicitation 9594CS21Q0053
ATTACHMENT J-2: COMPLIANCE WITH AUDIT SOFTWARE SOLUTION REQUIREMENTS
The Contractor shall complete this Attachment J-2 and submit the completed attachment with its quote.
Contractor’s Name:
Identification of the Audit Software Solution Quoted:
| Solicitation Reference |
| Description |
| Compliance with SOW Requirement |
| C.3.1.1.1 |
| Is an on premise solution (at CSOSA) shall run on the Microsoft platform with a SQL back end. |
| ____ Yes ____ No |
| C.3.1.1.2 |
| Has an all at once print function of an entire Audit (planning, work papers, draft and final reports etc.). |
| ____ Yes ____ No |
| C.3.1.1.3 |
| Performs regulatory and procedural updates to the audit software specific to industry Audit and Risk management (11) Multiple roles and security access/privacy permission levels based on these roles. |
| ____ Yes ____ No |
| C.3.1.1.1.4 |
| Has multidimensional risk assessment capability to evaluate organizational risks and provide and capture solutions. |
| ____ Yes ____ No |
| C.3.1.1.5 |
| Performs risk and issue trend analysis. |
| ____ Yes ____ No |
| C.3.1.1.6 |
| Provides tools to integrate and present data drawn from one audit or every audit using audience-friendly formats and visualizations. |
| ____ Yes ____ No |
| C.3.1.1.7 |
| Capability to do statistical sampling, compilation and reporting. |
| ____ Yes ____ No |
| C.3.1.1.8 |
| Capability to update status, query the audit universe by audit cycles, location, entities, regional offices, and risk exposure which aids in audit planning. |
| ____ Yes ____ No |
| C.3. 1.1.9 |
| Provides audit status (in-process, complete vs. archived). |
| ____ Yes ____ No |
| C.3.1.1.10 |
| Audit scheduling -capability to enter dates and queries to obtain the upcoming and overdue milestones (overdue audits). |
| ____ Yes ____ No |
| Solicitation Reference |
| Description |
| Compliance with SOW Requirement |
| C.3.1.1.11 |
| Capable of enhancing audit communication & work product collaboration (notification capability of pending documents requiring review and/or approval). |
| ____ Yes ____ No |
| C.3.1.1.12 |
| Aids in audit task and project scheduling, and management of budget & staff resources. |
| ____ Yes ____ No |
| C.3.1.1.13 |
| Easily create/share/delete electronic work papers. |
| ____ Yes ____ No |
| C.3.1.1.14 |
| Allows for work product quality reviews at various approval levels. |
| ____ Yes ____ No |
| C.3.1.1.15 |
| Provides convenient access to past audit data. |
| ____ Yes ____ No |
| C.3.1.2.1 |
| Has tracking capabilities that incorporate data across business units and audit periods, to assist with managing internal controls and risk prevention. |
| ____ Yes ____ No |
| C.3.1.2.2 |
| Audit plan management that manages the audit processes and communications through a single dashboard with appropriate access granted to relevant stakeholders. |
| ____ Yes ____ No |
| C.3.1.3.1 |
| Audit management program that includes a library of audit templates designed for the finance industry, i.e., an application that comes with pre-made, financial-industry specific reports and tools that enable the agency to customize presentations to suit different audiences. |
| ____ Yes ____ No |
| C.3.1.3.2 |
| Provides audit checklists and templates, i.e., software that not only provides a selection of pre-crafted templates but also allows customization of those templates or the ability to create new ones to meet the agency’s specific requirements. |
| ____ Yes ____ No |
| C.3.1.3.3 |
| Is an application that automatically pushes out a specific identified report per schedule, ensuring current communication of actionable data across departments and to Senior Leadership. |
| ____ Yes ____ No |
| C.3.1.3.4 |
| Yellow Book Content accessibility. |
| ____ Yes ____ No |
| C.3.1.4.1 |
| Has the capability to convert previously manual tasks, such as development of report templates, scheduling and audit wordsmithing, to automated ones. |
| ____ Yes ____ No |
| C.3.1.4.2 |
| Distributes data across data sets and reports. |
| ____ Yes ____ No |
| C.3.1.4.3 |
| Audit management system that can identify trends, build reports, and responds to auditors, and other authorized stakeholders. |
| ____ Yes ____ No |
| C.3.1.4.4 |
| Has a reliable system of reminders and alerts for follow-up that helps managers and auditors/team members. |
| ____ Yes ____ No |
| C.3.1.4.5 |
| Audit management software that will provide the agency with tools to integrate and present data drawn from one audit or every audit using audience-friendly formats and visualizations. |
| ____ Yes ____ No |
| C.3.1.4.6 |
| When prompted, can automatically print a copy of the last audit report; generates tickler reports on each entity or examinee for corrective action updates. |
| ____ Yes ____ No |
| C.3.1.4.7 |
| Generates reports on resolved and unresolved findings. |
| ____ Yes ____ No |
| C.3.1.4.8 |
| Capability to track report status; draft issuance dates, response deadlines; final reports issuance. |
| ____ Yes ____ No |
| C.3.1.4.9 |
| Capability to automatically make final audit reports read-only. |
| ____ Yes ____ No |
| C.3.1.4.10 |
| Generates Questionnaires & Checklists: Audit programs can be easily updated, corrected, modified, etc. |
| ____ Yes ____ No |
| C.3.1.4.11 |
| Records the names of the team members, time spent (time reporting) on the audit and the travel costs and expenses where applicable. |
| ____ Yes ____ No |
| C.3.1.5.1 |
| Has the ability to allow users to securely access the data they need when they need it. |
| ____ Yes ____ No |
| C.3.1.5.2 |
| Has the ability to allow CSOSA management to get a “big-picture” view of what is happening across audits and teams quickly and easily, and from any location. |
| ____ Yes ____ No |
| C.3.1.5.3 |
| Has efficient and quick access for stakeholders to check status or locate individual pieces of information. |
| ____ Yes ____ No |
| C.3.1.5.4 |
| Is highly secure to prevent unauthorized access; firewall. |
| ____ Yes ____ No |
| C.3.1.5.5 | |
| Has archival and library functionality (ie. Document management and historical data) | . |
| ____ Yes ____ No | |
| C.3.1.5.6 |
| Capability to automatically make final audit reports read-only. |
| ____ Yes ____ No |
| C.3.2 |
| The Contractor will provide software/license maintenance to include patching, updates, regulatory changes, etc. |
| ____ Yes ____ No |
| C.3.3.1 |
| HelpDesk Support - The Contractor will provide technical helpdesk support remotely via phone, internet portal, or email. Responses to requests for support shall be initially provided within two hours of receipt of the request. |
| ____ Yes ____ No |
| C.3.3.2 |
| Availability of helpdesk support shall be at a minimum five days a week, Mon-Fri; within an 8 hour window each day (during normal business hours). |
| ____ Yes ____ No |
| C.3.4.1 |
| The Contractor will provide technical installation and configuration support as per Section C.3.4. |
| ____ Yes ____ No |
| C.3.4.3 |
| The Contractor understands and will comply with the testing requirements identified in Section C.3.4.3. |
| ____ Yes ____ No |
| C.3.5 |
| The Contractor will provide all training as required in Section C.3.5 (optional training only to be provided, if exercised). |
| ____ Yes ____ No |
| C.3.6 |
| The Contractor will provide optional configuration/customization support if exercised, and understands terms identified in Section C.3.6. |
| ____ Yes ____ No |