Audit Management System

 

Introduction

Audit Management System is a SharePoint site template that allows you to enter, track and manage internal and external audits, their finding and subsequent tasks. The site template uses a combination of built-in SharePoint capabilities, extended through the use of a set of Infowise components.

The template allows you:

• Create and manage internal and external audits.
• Manage compliance events.
• Create and manage findings.
• Create, assign and manage corrective and preventive actions.
• Create, assign and manage control tasks.
• Create and manage compliance documents.

 

Using the Site

The site uses regular SharePoint lists to store and manage data. No external data storage or custom interface is implemented. This allows you to easily modify the way the site functions, using just your browser.

Managing Auditors, Sites and Audits

Use Auditors list to manage the contact information of internal and external auditors. The list is also used as the source for the lookup column within Audits list to assign audits to auditors.

Use Sites list to manage sites or areas subject to audits. The values of this list are then used in the lookup column within Audits list.

Use Audits list to enter, track and manage audit information. The Audit list contains the following columns:

• Audit Number – automatically assigned audit ID. You can specify your own ID template, refer to Smart ID Pro user guide for additional details.

• Audit Description – short description (up to 255 characters) of the audit.

• Audit Type – select an audit type from the values managed in Audit Types list.

• Compliance Regulations – lookup to multiple compliance regulations pertaining to the current audit. Manage the regulations in Compliance Regulations list.

• Site – lookup to Sites list to specify audit site.

• Audit Date – date/time of audit

• Auditor – lookup to the list of auditors

• Auditees – user[s] undergoing audit.

• Findings – reference to Findings list specifying multiple findings related to the audit.

• Total Findings – automatically calculated total number of findings.

• Open Findings – automatically calculated number of open findings.

• Comments – general comments.

Managing Findings and Tasks

Use Findings list to create, track and manage findings. Findings are usually associated with a particular audit, but stand-alone findings are possible as well.

Findings list contains the following columns:

• Item Description – short description of the finding (255 characters).

• Audit – optional, lookup to audit.

• Description of Finding/Issue – long description.

• Category – choice of major, minor or observation.

• Date Raised – date/time issue was raised.

• Priority – choice of handling priority.

• Assigned To – user assigned with handling the issue.

• Root Cause – description of the root cause for the issue.

• Related Issues – lookup to multiple related issues.

• Corrective Actions – reference to corrective actions tasks. Add tasks directly from the column.

• Preventive Actions – reference to preventing actions tasks. Add tasks directly from the column.

• Open Corrective Actions – automatically calculated number of open corrective action tasks.

• Open Preventing Actions – automatically calculated number of open preventive action tasks.

• Issue Status – active/closed status of issue

• Final Verification – description of the final verification that the issue has been resolved.

• Final Sign-off – electronic signature closing the issue.

CAPA (corrective/preventive actions) Tasks list is used to create, track and manage corrective and preventive action tasks. The tasks should not be added directly to the list, instead they should be added through the relevant items in Findings list. The list is based on the regular SharePoint Tasks list and contains two content types: Corrective Action and Preventive Action.

As with the usual Tasks list, there are the following columns in the list:

• Title – short description of the task.

• Predecessors – lookup to tasks to be handle prior to the current task.

• Status – choice of status for the task.

• Assigned To – user assigned to handle the task.

• Description – long description of the task.

• Start Date – start date of the task.

• Due Date – due date of the task.

• Priority – choice of priority for the task.

• % Complete – estimated percentage of completion.

• Sign Off – electronic signature marking task as completed.

Data Structure and Flow

Although you might want to use the site in any way you see fit (in fact, you might even want to change the site altogether), the following is the general guideline for using the site.

1. Create audits in Audits list.

2. When the audit takes place, fill in findings for the audit.

3. Create multiple CAPA tasks for each finding

4. Track execution of the tasks

5. Close the finding once all the CAPA tasks are completed.

• Forms
• Associated Items Column
• Connected Lookup Column
• Signature Column
• Item ID
• Color Choice Column