Getting started with UpLink

Learn how to use UpLink's PBC portal to easily create a document request list and pre-define AI queries for the uploaded documents. Efficiently review, summarize and approve documents in a secure, centralized environment.

What is UpLink?

UpLink is an AI-powered ‘Prepared by client’ (PBC) portal designed to empower auditors by transforming client document requests into real-time insights. Leveraging the secure portal, auditors can easily create, track, and manage PBC requests in a centralized workspace, and eliminate communication loops in audit engagements.

Pre-Requisite:

• UpLink Add-on Module

Terminology

Engagement: A collection of requests, usually organized by client.

Request: A request for file(s) or document(s) from your clients. Assigned to an individual at the client organization by email address.

Query/Expectation: A question you have for AI about a particular request.

Custom Attribute: An additional “column” within your engagement used for filtering, etc.

Step-by-step Guide

In this step-by-step guide, you will learn how to:

• Create an engagement using the Excel template capability

• Use AI Query Engine to review and annotate documents

• Download annotated reports and export findings to Excel

How-to Video

Creating an Engagement Using Excel Template

1. Download the provided Excel template for creating an engagement.
2. Fill out the template, including:
   • Engagement title (e.g., Innotech SoC 2 for 2023).
   • Default client email for document requests (can be overridden for individual requests).
   • List of client requests, including title, description, due date, and status.
3. Manage request visibility:
   • Requests marked as inactive are hidden from the client until you toggle the status to open.
4. Customize request details:
   • Specify expectations (queries) for AI to answer based on the client’s uploaded documents.
   • Multiple queries can be added by separating them with new lines in the same cell.
5. Define custom attributes:
   • Add priority, category, or reference numbers to better organize requests.
   • Update attributes in bulk using Excel if needed.
6. Drag and drop the completed Excel template into UpLink.
7. Preview the engagement before sending it to the client. Once approved, publish it, and emails will be sent out.

Using AI Capabilities for Document Review

1. After clients upload their documents, they automatically move to "in review" status.

2. The AI then scans the uploaded documents based on the predefined queries set during the engagement setup. For example, in a password policy document, the AI will check criteria such as:

   • Are users required to change their passwords every 90 days?
   • Does the password contain at least one uppercase letter, number, or special character?
   • Is the minimum password length set to 12 characters?

3. Review the AI-generated answers:

   • You can preview the document directly within UpLink without the need to download it.
   • AI will provide answers based on the document content, helping you assess compliance or discrepancies quickly.

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Download Annotated Reports and Export Findings

1. Annotating and marking up:
   • The AI marks up the PDF with the answers to your queries, automatically annotating the file with relevant findings.
2. The marked-up PDF is available for further review and download.
3. Once you’re satisfied with the AI analysis, you can export the annotated workpaper to Excel.
4. The exported file will contain all the queries and their respective answers for each document uploaded, allowing you to continue the analysis seamlessly in Excel.