user manual for onlineeaudit.uk.gov.in/images/user_manual_uams.pdf9.9 weekly report 9.10 change...

USER MANUAL FOR ONLINE Audit Management System

FOR

Government of Uttarakhand

National Informatics Centre Uttarakhand State Unit (Dehradun)

Department of Information Technology Ministry of Communications and Information Technology

Government of India

TABLE OF CONTENTS

Chapter No. Topics Pages

Chapter 1 Introduction

1.1 Overview

1.2 Vision

1.3 Purpose

1.4 Definitions, acronyms, and abbreviations

1.5 Salient Features

1.6 References

Chapter 2 Overall Description

2.1 Product Perspective

2.2 Product Features

2.3 Operating environment

Chapter 3

External Interface Requirements

3.1 User Interface

3.2 Hardware Interface

3.3 Software Interface

3.4 Communication Interface

Chapter 4 Non Functional Requirements

4.1 Normalization

4.2 Safety Requirements

4.3 Security Requirements

4.4 Software Quality Attributes

Chapter 5

Work Flow

Chapter 6

Getting Started

5.1 How to Open the Website

5.2 About home page of Website

5.3 How to Login

5.4 How to Logout

Chapter 7

Auditor Role

7.1Entry conference

7.2 Exit Meeting

7.3 New Half Margin

7.4 Send Half Margin To Auditee

7.5 Create Sub Half Margin (By existing Half margin)

7.6 View Half Margin Reports

7.7 Edit Half Margin

7.8 Send HM to TL

7.9 Create draft Para from half margin

7.10 Edit draft Para

7.11 Approve draft Para

7.12 Upload draft Para report

7.13 Dashboard for audit team

7.14 Change Password

7.15 Return from TL

Chapter 8

Auditee Role

8.1 New Information sheet

8.2 Print Information sheet

8.3 Update information sheet

8.4 Information sheet status

8.5 View Document

8.6 Approve Information sheet

8.7 View Half Margin


8.9 Change Password

Chapter 9

Team Leader Role

9.1 Dashboard

9.2 Returned from DDO

9.3 Drop Half Margin

9.4 Approve Half Margin

9.6 Annexure four details

9.7 Annexure five details

9.8 Quarterly Report

9.9 Weekly Report


Introduction

1.1 Purpose

“UAMS” its web based software. This can be run in any browser and its used to

create entry conference, work distribution, exit meeting, New Half Margin etc.

online for different departments according to audit plan year and respected quarters

this project concept note document is prepared to give an insight to the salient

features and requirements of proposed system.

1.2 Scope

The Government of Uttarakhand has decided to implement Online System of

Audit Monitoring for auditing all Government Offices / Institutes to the directorate

of Audit / Government Departments.

1.3 Overview

UAMS (Uttarakhand Audit Management System) software module is a

comprehensive audit system, which provides end-to-end functionality and security

to manage audit-related activities, data and process audit management systems.

1.4 Definitions, acronyms, and abbreviations

Term Definition

User Someone who interacts with the Web-application.

Admin/Administrator System administrator who is given specific permission for managing and

controlling the system.

Web-Application A web application which present special facilities for Audit Department

and admin.

UAMS Uttarakhand Audit Management System.

MIS Management Information System.

HM Half Margin

TL Team Leader

1.5 Salient Features

Basic Feature

Separate Dashboard for user and administrator.

Graphical data representation.

System Generates Reports in Pre-Defined formats.

MIS

MIS available in

Quarterly Program.

Weekly Diary.

Security

Accessible to authorized users only.

Highly secured database.

1.6 References

Directorate of Audit Department Uttarakhand.

Operating Environment

2.1 Product Perspective

A distributed audit management system stores the following information.

Entry Conference

It includes details of HOD, audit time period, audit start/end date, Auditee

name, mobile number etc. where audit is going.

Work Distribution

It includes audit date, liability of audit and office name where audit is going.

Exit Meeting

It includes from date and to date of audit and Auditee Name.

Half Margin

Draft Para from Half Margin

Upload Draft Para

2.2 Product Features

The major features of audit management system as shown in below

2.3 Operating Environment

Operating environment for the Audit management system is as listed below.

<<Include the details as per your application >>

Distributed database.

Client/Server system.

Operating system: Windows.

Database: SQL Server

Platform: ASP .Net

2.4 Design and Implementation Constraints

The global schema, fragmentation schema, and allocation schema.

SQL commands for above queries/applications

Implement the database at least using a centralized database management

system.

2.5 Client/Server System

The term client/server refers primarily to an architecture or logical division of

responsibilities, the client is the application (also known as the front-end), and the

server is the DBMS (also known as the back-end).

A client/server system is a distributed system in which,

Some sites are client sites and others are server sites.

All the data resides at the server sites.

All applications execute at the client sites.

External Interface

3.1 User Interface

Front-end software: Vb.net version

Back-end software: SQL+

3.2 Hardware Interface

Windows.

A browser which supports HTML & JavaScript.

3.3 Software Interface

Following are the software used for the audit management online application.

<<Include the software details as per your project >>

Software used Description

Operating system We have chosen Windows operating system for its

best support and user-friendliness.

Database To save the all audit records we have chosen SQL

Server 2017 database.

C#.Net To implement the project we have chosen C#.Net

language for its more interactive support.

3.4 Communication Interface

This project supports all types of web browsers. We are using simple web forms

for the Entry Conference, New Half Margin etc.

Non Functional Requirements

4.1 Normalization

The basic objective of normalization is to reduce redundancy which means that

information is to be stored only once. Storing information several times leads to

wastage of storage space and increase in the total size of the data stored.

If a database is not properly designed it can give rise to modification anomalies.

Modification anomalies arise when data is added to, changed or deleted from a

database table. Similarly, in traditional databases as well as improperly designed

relational databases, data redundancy can be a problem. These can be eliminated

by normalizing a database.

Normalization is the process of breaking down a table into smaller tables. So that

each table deals with a single theme. There are three different kinds of

modifications of anomalies and formulated the first, second and third normal forms

(3NF) is considered sufficient for most practical purposes. It should be considered

only after a thorough analysis and complete understanding of its implications.

4.2 Safety Requirements

If there is extensive damage to a wide portion of the database due to catastrophic

failure, such as a disk crash, the recovery method restores a past copy of the

database that was backed up to archival storage (typically tape) and reconstructs a

more current state by reapplying or redoing the operations of committed

transactions from the backed up log, up to the time of failure.

4.3 Security Requirements

Security systems need database storage just like many other applications.

However, the special requirements of the security market mean that vendors must

choose their database partner carefully.

4.4 Software Quality Attributes

Availability: The flight should be available on the specified date and

specified time as many customers are doing advance reservations.

Correctness: The flight should reach start from correct start terminal and

should reach the correct destination.

Maintain Ability: The administrators and flight in chargers should maintain

correct schedules of flights.

Usability: The flight schedules should satisfy a maximum number of

customers needs.

Work Flow of UAMS

Disapproved (1 time) Approve

If TM Sends to TL

Send to TL If TL

Note:-Category ‘A’ Departments will be given 3 days to answer

Category ‘B’ Departments will be given 2 days to answer. After this time Auditor can convert to

Para. However the department will be given 28 days to answer.

Annual Audit Plan prepared

Audit Team Created

Audit Team Quarterly Prepared

Issue of audit notice and team

order.

Auditee Submits Information

Sheet

Creates or Edit Half

Margin

Send To Auditee

If Answer satisfied

Replies to HM

Yes

Audit Team (TL) Drops HM

No

Unanswered

Converts to

Para

Prepares

Draft Report

Audit team Fills Entry

Conference and Work

Distribution

Verified By

Directorate

Verified by Expert

Committee.

Approved Final

Report

Not Approved

Send For Compliance

TL

Exit Meeting

Getting Started

6.1 How to Open the Website To open the Web Portal Home Page Click on internet explorer/Google

Chrome/Mozilla Firefox etc.

Type “http://eaudit.uk.gov.in” at the address bar and press “ENTER”

and the home page of Uttarakhand Audit Management System portal

will appear as shown below.

Pic 1

Login

Contact Us

6.2 About home page of website

Home Page contains following Items

Login at right top corner.

Contact us at right top corner.

About us.

Download Lightshot Software.

Download TeamViewer.

Download Indic Tools.

Download User Manual.

6.3 How to Login

Click on Login tab situated at right corner on home page then Login page

will appears.

In login page please enter the valid “Login Id”, “Password” and

“Captcha” then click on the “Login” button.

Pic 2

Note: Different users would have different username and password.

User Name and Password

Each user of the application is assigned a unique username and password.

Assigning of username and password to authorized users protects the

application against unauthorized access.

Authentication of User Name and Password

During authentication, the username and password entered by the user are

verified to ensure that the user logging in is a valid user.

After successful Login into the system then role selection page will be

appeared as shown below. In this page user can select Audit year, Quarter

and respected office then click ok button.

Pic 3

6.4 How to Logout

Click on Logout Button then its redirect to login page.

Auditor Role

Pic 4

After role selection particular user home page will appears it contains following

menus which are listed below:-

Entry conference

Exit Meeting

Half Margins

a) New Half Margins

b) Send Half Margins to Auditee

c) Create Sub-Half Margins(By Existing Half Margins)

d) View Half Margins Reports

e) Edit Half Margin

f) Send HM to TL

Draft Para

a) Create Draft Para from Half Margin

b) Edit Draft Para

c) Approve Draft Para

d) Print Individual Draft Report

e) Preview Draft Para final Report

f) Upload Draft Para report Panchayat

Board

Change Password

Returned from TL

7.1 Entry Conference

In entry conference tab audit team fill all necessary details regarding audit like

details of HOD where audit will be start, time period of audit, last audit time period

, audit start date, audit last date, audit’s month, Auditee name, mobile number etc.

Pic-5 of entry conference shows below:

Pic 5

After sucessful submission of all details audit team can print entry meeting reports

by click on print button given below at left corner. Pic 6 is the report of entry

meeting shown below :

Pic 6

7.2 Exit Meeting

In exit meeting select start date and last date then enter name or designation of

audit team member then audit team will enter all queries/accusation.Pic-7

shows exit meeting:

Pic-7

Pic-8 shows report of exit meeting.

Pic-8

7.3 New Half Margin

In new half margin department’s ddo name and continous memo no

automatically shows, select year from and year to then select memo type which

are three types objection, information and both after this enter amount involved

then enter details of memo if all information are in tabular form then its

directly upload by click on attach table then upload image and filled memo

details after comlpeting all details then finally save data by clicking on save

button Pic-9 shows new half margin

Pic-9

If data already in image form then click on attach table then Pic-10 will appaers

Pic-10

7.4 Send Half Margin to Auditee

7.5 Create SubHalf Margin (By existing New Half Margin)

In subhalf margin select existing memo no, department’s ddo name shows

automatically,select memo date, select memo type which are three types

objection, information and both after this existing new half margin amount

shows automatically then select year from and year to then enter details of

memo if all information are in image form then its directly upload by click on

attach table then upload table and filled memo details after comlpeting all

details then finally save data by clicking on save button Pic-11 shows sub half

margin.

Pic-11

If data already in image form then click on attach table then Pic-12 will appaers

then choose file and insert memo details then finally save sub half margin.

Pic-12

7.6 View Half Margin Report

In half margin report all data will shows in table according to memo and

sub memo no. by clicking on “view half margin report” then particular report

will open according to their memo number. Pic-13 shows tabular data and Pic-

14 show reports of particular memo no.

Pic-13

Pic-14


If any correction in half margin or sub half margin then click on edit half

margin tab the pic-15 will shows. In edit half margin we can correct all details

like memo type,amount, memo date and memo details etc.

Pic-15

After complete half margin then its send to TL for approve.

7.8 Create Draft Para from half margin

If Auditee answer is satisfied then half margin is drop otherwise TM/TL

creates draft Para from half margin below pic-16 shows HMM reports and Pic-

17 shows convert HMM to Para.

Pic-16

Pic-17

7.9 Edit Draft Para

In edit draft Para all queries can be editing according to draft Para no. pic-

18 shows edit draft Para.

Pic-18

7.10 Approve draft Para

If auditor is not satisfied with Auditee answer then draft Para is created

and Para to be completed within 14 days after exit meeting is done. If all

satisfied with draft Para then it’s approve at different stage shown below

TM TL Supervisor EC

Approve by TM

Pic-19

Approve by TL

Pic-20

Approve by Supervisor

Pic-21

Approve by EC

Pic-22

7.11 Print Draft Para

On click on print Para button then it can print individual report pic-24

show the report.

Pic-23

Pic-24

7.12 Upload draft Para Report

In this section user directly upload draft Para report in doc format

Pic-25

7.13 Dashboard for Audit team

In this section audit team can view final report and also see status of report

pic-27 shows status

Pic-26

Pic-27


User can easily change password with at least 8 characters long with one

capital letter, one alphanumeric and one numeric.

Pic-28

7.15 Return from TL

All Para to be submitted to DDO within 14 days after exit meeting.

Auditee Role

8.1 Information Sheet

The information sheet is divided into 1 to 4, 5, 6, 7, 8, 9(A), 9(B), 10, 11,

12, 13, 14, 15 to 17 in different parts all field are mandatory once all fields are

filled then click on save & next button.

Part 1to 4 having department name, structure of department, HOD name and

detailed description of audit, for example DDO name, Head Office / Office etc.

Pic-29

In Part 5 having detailed explanation of final audit (edited by AG and state

audit, detailed explanation of pending Para)

Pic-30

In part 6 having details of Plan/NonPlan expenditure and Budget statement.

Pic-31

Part 7 having details of scheme like central sponsored, flagship schmes like

scheme name State Govt. part, Central Govt. part, receipts etc.

Pic-32

Part 8 having details of css and flagship scheme like scheme name, grant

number, scheme code, budget provision ,actuals etc.

Pic-33

Part 9(A) having Assets details like value of initial assets, increase during the

period etc.

Pic-34

Part 9(B) also having Assets details like consumer charge details,rate and last

revised date.

Pic-35

Part 10 having details of expenditure like grant no., addition to salary and

allowances, revenue expenditure etc.

Pic-36

Part 11 having details of departmental receipts.

Pic-37

Part 12 having details of the purchase order (PO) contracts

Pic-38

Part 13 having details of the granularity of the schemes

Pic-39

Part 14 having details of pending draft.

Pic-40

Part 15-17 having details of unadjusted advances, details of transfer of

multilateral donor / lender agency, details of PPP projects

Pic-41

8.2 Print Information sheet

In this section Auditee can print information sheet using particular

registration no. pic-43 shows the report of information sheet.

Pic-42

Pic-43

8.3 Update Information sheet

User can update information sheet using particular id

8.4 Information sheet status

In this section Auditee select registration and click on know status button

then status will open like in pic-44

Pic-44

8.5 View documents

In this section Auditee can view the information sheet report and also check

the status of information sheet whether it’s approved are not.

Pic-45

8.6 Approve Information sheet

In this section Auditee can view the information sheet report and approve

the document. Auditee has facility to delete the document.

Pic-46

8.7 View Half Margin

In this particular section Auditee can view the half margin and can answer

to audit team on click on “Answer” link then pic-48 will open in this window

Auditee submit their answer and save on click on save button and has facility to

send the answer to audit on click to “Send to audit” link.

Pic-47

Pic-48


In this section Auditee can edit the half margin on click on “Edit” link.

Pic-49

8.9 Change Password



Pic-50

Team Leader

Role

9.1 Dashboard

After login and select quarter wise department then dashboard will appears. In

this section TL can view the draft Para report and also check the status of Para

designation, section and date wise shown in pic-52

Pic-51

Pic-52

9.2 Return from DD

9.3 Drop Half Margin

If TL is satisfied with Auditee answer then TL has authority to drop half

margin otherwise TL can create draft Para

Pic-53

9.4 Approve Half Margin

If TL is satisfied with half margin then TL approve half margin and return it

to TM.

Pic-54

9.5 Annexure four details

There are limitations of audit so TL can edit or delete annexure.

Pic-55

9.5 Annexure five details

This section same as above so TL can edit or delete data.

Pic-56

9.6 Quarterly Program

After select all parameter then quarterly program report will shown as in

pic-58.

Pic-57

Pic-58

9.7 Weekly Diary

After select all parameter then quarterly program report will shown as in

pic-60.

Pic-59

Pic-60

9.8 Change Password



Pic-61

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