Process

Risk

Control Objective

Control Name

PCAOB Assertions C EO V RO PD

Financial Statement

COBiT Assertions C A V R

Key Control?

Frequency

Preventative / Detective

Manual / Automated / Spreadsheet

Ownership

Linked Resources

Test Plan

Customer Installation Process Repeatable process for installing the docuPAD system at dealerships.

This process does not have any associated risks.

Process

Risk

Control Objective

Control Name

PCAOB Assertions C EO V RO PD

Financial Statement

COBiT Assertions C A V R

Key Control?

Frequency

Preventative / Detective

Manual / Automated / Spreadsheet

Ownership

Linked Resources

Test Plan

Information Gathering The first step in installing a new dealership is the Information Gathering process.  A detailed checklist guides the collection of key information needed for a successful deployment including, but not limited to:  - Sample deal data (loan, cash, and lease deals)  - Copies of all dealer forms and sales materials  - Menuing requirements  - Custom hardware requirements  - DMS interface information  - Any other special or non-standard requirements

This process does not have any associated risks.

Process

Risk

Control Objective

Control Name

PCAOB Assertions C EO V RO PD

Financial Statement

COBiT Assertions C A V R

Key Control?

Frequency

Preventative / Detective

Manual / Automated / Spreadsheet

Ownership

Linked Resources

Test Plan

Pre-Install Process Prior to configuring and installing the system, all hardware and software requirements are reviewed by the implementation team to ensure that the system can be successfully implemented in the agreed upon timeframe.

This process does not have any associated risks.

Process

Risk

Control Objective

Control Name

PCAOB Assertions C EO V RO PD

Financial Statement

COBiT Assertions C A V R

Key Control?

Frequency

Preventative / Detective

Manual / Automated / Spreadsheet

Ownership

Linked Resources

Test Plan

System Configuration Once the Installation Plan has been reviewd and approved by the Installation Coordinator, system configuration begins.  During the System Configuration process, all of the required hardward is scheduled for delivery to the dealership.  Concurrently, all of the docuPAD software, including all dealer-specific forms and sales tools, are loaded into the Support Repository prior to deployment.  After all of the software has been successfully deployed to each docuPAD system, the systems are packed and shipped to the dealership for on-site installation.

This process does not have any associated risks.

Process

Risk

Control Objective

Control Name

PCAOB Assertions C EO V RO PD

Financial Statement

COBiT Assertions C A V R

Key Control?

Frequency

Preventative / Detective

Manual / Automated / Spreadsheet

Ownership

Linked Resources

Test Plan

Installation and Training After the docuPAD systems are delivered to the dealership, all of the hardware is setup and the software is tested.  An 'Acceptance Testing Checklist' is used to ensure that the system has been correctly configured prior to end user training and system "go-live".  Once all of the systems have been successfully tested, the dealership employees are trained on the use of the system and any non-critical open issues are documented and communicated to the customer support team prior to 'go-live'.

This process does not have any associated risks.

Process

Risk

Control Objective

Control Name

PCAOB Assertions C EO V RO PD

Financial Statement

COBiT Assertions C A V R

Key Control?

Frequency

Preventative / Detective

Manual / Automated / Spreadsheet

Ownership

Linked Resources

Test Plan

Deploy New Code and/or Forms This process flow describes how software updates and upgrades are tested and deployed to live docuPAD systems.

This process does not have any associated risks.