Audit Management

Centralise and streamline the management of your audit and assurance activities with iSystain’s Audit Management software. Build your own audit instruments or modify the example templates we’ve created to get you started. Create audit schedules and/or deploy audits individually using your predefined audit instruments. Complete audits online or offline with our iSystain App. Easily monitor the completion of audits and the management of non-compliances and corrective actions. Aggregate and analyse data across your audit activities to identify strengths, weaknesses and opportunities.

 
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Online Desktop, Laptop or Tablet Audit Data Entry   Audit instruments can be simple checklist-style or detailed with colour coded multiple scoring models applied to each requirement. Auditor notes can be added to support scores, add evidence sighted, and record observation notes.Documents and photos can be attached to the relevant sections of the Audit.

Online Desktop, Laptop or Tablet Audit Data Entry

Audit instruments can be simple checklist-style or detailed with colour coded multiple scoring models applied to each requirement. Auditor notes can be added to support scores, add evidence sighted, and record observation notes.Documents and photos can be attached to the relevant sections of the Audit.

 

Completing Audits and Entering Results

Auditing is an important activity involving the evaluation and collection of both qualitative and quantitative information to support each requirement’s compliance assessment. We’ve designed the audit data capture pages with this in mind.

Both the online version and the iSystain App pages are designed for navigation flexibility so the auditor can enter their notes, upload files and photos and select scores in whatever sequence required to support their audit process. If working offline on the app, information will be uploaded to the iSystain online version once the Auditor is back online.

Monitor and Manage Audit Status and Outcomes

For organisations that complete a lot of audits across multiple sites, our Audit Maintenance view is invaluable. This view provides a centralised listing of all audits created, filtered to your scope and access privileges. If you have lots of audits you can filter by audit instrument, status, date, organisation focus, entity and title.

The Audit listing shows the status, audit title, entity and start and due dates. Depending on your access privileges, you can click to view and manage the Audit’s actions, raise a non-compliance incident, view the audit’s results graph and data table, edit and progress or reopen the audit, view files and attachments and maintain the audit’s access privileges.

Some of our clients use this page to attach their Audit Reports from external audits (audits not conducted using an iSystain audit instrument) so they can centralise and leverage off iSystain’s great non-compliance and corrective action management functions for all their companies audit activities.

 
Scorecard   Our Scorecard provides a centralised, quantitative assessment of the overall performance against a selected Audit Instrument. It aggregates questionnaire-style self-assessments to capture qualitative and quantitative performance across your entire organisation. An advanced weighting algorithm is used to analyse and simplify performance outcomes and present the results in an easy to understand graphical scorecard.

Scorecard

Our Scorecard provides a centralised, quantitative assessment of the overall performance against a selected Audit Instrument. It aggregates questionnaire-style self-assessments to capture qualitative and quantitative performance across your entire organisation. An advanced weighting algorithm is used to analyse and simplify performance outcomes and present the results in an easy to understand graphical scorecard.

 

Manage and Improve Audit Results with Views, Dashboards and Audit Reports

iSystain’s Audit Results reporting options cover the following:

  • Single Entity: The purpose of this report is to export all the scores, notes and actions the assessor has entered for the audit.

  • Multiple Entities (non-aggregated results): This report generates a heat map based on the colours predefined in the associated scoring models. This report is great for highlighting the entities and the areas requiring improvement.

  • Multiple Entities (aggregated results): This aggregated result report option calculates the overall percentage performance across the organisation and highlights system-wide strengths and weaknesses

 
Scorecard   Our Scorecard provides a centralised, quantitative assessment of the overall performance against a selected Audit Instrument. It aggregates questionnaire-style self-assessments to capture qualitative and quantitative performance across your entire organisation. An advanced weighting algorithm is used to analyse and simplify performance outcomes and present the results in an easy to understand graphical scorecard.

Scorecard

Our Scorecard provides a centralised, quantitative assessment of the overall performance against a selected Audit Instrument. It aggregates questionnaire-style self-assessments to capture qualitative and quantitative performance across your entire organisation. An advanced weighting algorithm is used to analyse and simplify performance outcomes and present the results in an easy to understand graphical scorecard.

 

Benefits

  • Designed by Auditors and Assurance Managers - Our audit management module was one of the first modules created for iSystain starting over a decade ago. It has been designed by and for auditors and assurance Managers, covering both simple and complex requirements based on real world experience.

  • Centralised and standardised audit instruments - The centralised library of audit instruments provides opportunities to share, reuse, and copy existing audit instruments. This reduces duplication of effort, helps compare apples with apples, stores auditor knowledge, and improves integrity.

  • Shared knowledge and greater consistency - The Audit Instrument builder includes fields to add guidance notes, instructions, and tips for auditors. This promotes consistency across the audit programme, reduces arbitrary evaluation approaches, and builds auditor knowledge and confidence.

  • Visibility of audit completion status - View the status of all audits across the company, drill down into bottlenecks and issues.

  • Reduced risk through effective corrective action - Audits generate multiple outcomes in the form of non-compliances, corrective actions, improvement opportunities, and results to be managed. Our Audit module links all these outcomes to the audit source while tracking the close out of all actions via our centralised Action Manager.

  • Strengths and issue identification - Because you're using audit instruments, aggregation of results is easy. You'll get great data for analysis of system and organisational strengths and weaknesses. This information can be used to guide improvement planning and justify budget decisions.

  • Greater assurance and sustainability - Integrate audit content, activities, and outcomes into your company's governance and sustainable development performance drivers.

Create a Reusable Audit Instrument Library

Use our flexible audit instrument building tools to create a centralised library to cover all types of auditing activities across your organisation. Once created, these audit instruments can be accessed, shared and improved to increase audit standardisation and build efficiencies and integrity into your assurance activities.

Convert your assessment methods into scoring models and apply across an entire audit instrument or to individual requirements (criteria). Scoring models can be designed for quantitative (e.g. 0-5) or qualitative (e.g. compliant/non-compliant) assessment using linear step or minimum/maximum options. Weighting options are also available to prioritise specific requirements in an audit instrument.

Start by defining your Audit Instrument titles, types (self-assessment, internal, 3rd Party), assign scoring models and then structure your sections and audit criteria based requirements.

Add guidance notes for auditors to improve their consistency in assessing compliance with each audit requirement and what needs to be documented and evidenced.

There’s an option to add an automated action description for non-compliant assessments with suggested responsibilities and completion time frames (to be reviewed and updated by the Reviewer later).

As an added bonus, you can create templates from your audit instruments for audits based on a smaller scope of the full audit.

 

Schedule Audits and Assign Audit Process Responsibilities

iSystain’s Audit creation options cater to both single audit deployment and reoccurring and multiple audit scheduling requirements.

The Audit Scheduler function is for Audit Administrators who want to deploy multiple or reoccurring audits to one or many entities. Alternatively, Audit Administrators and Power Users can schedule a single audit to be be completed by a single entity.

With either option, the audit instance is created based on the template selected, the entities allocated and the due dates. The system identifies the correct person (based on organisation roles) to be assigned the audit completion action, and they are notified via email. The audit completion action is tracked until the audit is submitted as completed. Once the audit has been completed, the Audit Reviewer is notified.

All audit instances are listed in the Audit Maintenance view with their details and status and are included in the scope of the Audit Status and Results reporting.

Smart Phone Online or Offline Audit Completion   Auditors can complete their audits online using their PC or Tablet, and online or offline with their smart phone using the  iSystain App.  Audit completion involves reading audit criteria, assessing compliance, selecting scores, adding supporting notes, and attaching files and photos as relevant.

Smart Phone Online or Offline Audit Completion

Auditors can complete their audits online using their PC or Tablet, and online or offline with their smart phone using the iSystain App. Audit completion involves reading audit criteria, assessing compliance, selecting scores, adding supporting notes, and attaching files and photos as relevant.

 

Report and Manage Non-Compliances

We’ve made it easy to integrate our Audit Module with the iSystain Incident Module to escalate and notify non-compliances. Using this option, when a non-compliance is recorded in the Audit module, the system creates a non-compliance incident and follows the notification, classification, causal analysis, corrective action, sign-off and review process relevant to the risk and materiality of the non-compliance.

Audit-generated non-compliances are linked back to both the Audit and Incident modules for statistical and reporting cross-referencing.

Automatically or Manually Create Corrective Actions

Once an audit is created, an Action Plan is automatically linked to it. Corrective actions can be added to the plan during or after the audit manually, or automatically if the Automated Action option is implemented.

The Automated Action option is a major time saver for organisations with a large audit scope. When a requirement in the audit is assessed as non-compliant, an Action, identified when the Audit instrument was created, is added to the Audit Action Plan for the audit instrument. Once the audit has been completed and submitted, the system will generate a draft Action Plan with all the flagged actions. A nominated Action Plan reviewer is notified and they can edit the individual actions as required before releasing the actions.

From there, each action owner is notified of their actions. Each action is tracked to completion using Action Manager.

 
All corrective actions created either automatically or manually are linked to that Audit’s action plan. The Action Plans are integrated with iSystain’s  Action Manager . This ensures actions are tracked to completion .

All corrective actions created either automatically or manually are linked to that Audit’s action plan. The Action Plans are integrated with iSystain’s Action Manager. This ensures actions are tracked to completion .

Audit Results Analysis   Analyse audit results across audit instruments, parts of the organisation, or time periods to identify strengths and weaknesses and opportunities for shared knowledge.

Audit Results Analysis

Analyse audit results across audit instruments, parts of the organisation, or time periods to identify strengths and weaknesses and opportunities for shared knowledge.

 
Download   a copy or    read online    “The best outcome is we are able to give our Stakeholders more Assurance (complete more audits) with the same resources.” Shane Hubble, Komatsu Oceania

Download a copy or read online

“The best outcome is we are able to give our Stakeholders more Assurance (complete more audits) with the same resources.” Shane Hubble, Komatsu Oceania