Achieve audit excellence with our ISO 19011-based Audit Tool

Audits are important for ensuring the accuracy and reliability of financial statements, records, transactions, or operations of an entity.  They provide assurance to investors, creditors, regulators and other stakeholders that the financial and operational information presented by an entity is fair and trustworthy. Audits also help to detect and prevent fraud, errors and misstatements that could affect the entity's performance and reputation.
 

• A systematic and independent examination of an organization's financial statements, records, operations, or performance

• A way to provide assurance that the information presented is fair, accurate, and compliant with applicable standards and regulations

• A source of benefits such as:

  •  Enhancing the credibility and reliability of the information

  •  Improving the internal control and governance of the organization

  •  Identifying areas for improvement and risk mitigation
     

Audit - A tool with functionality built on and in compliance with ISO standards
The Audit tool is based on the ISO 19011 standard and is used as a starting point in terms of concepts, definitions and work methodology.
The audit tool ensures that Users can easily prepare, execute and follow up Audit program, Audit Plan and Audit observations. It can be used for all types of audits: Both internal and external second-party audits like Supplier Audit and other third-party audits like Certification and / or Accreditation Audit.

WBS - Work Breakdown Structure
The Audit tool has a WBS based structure to break down the audit programs into smaller and more manageable tasks: Audit Program, Audit Plan with Audit Criteria, Activities and Actions.  It gives a status of all work tasks in connection with the individual audits including how far one has come with the individual task and to whom the tasks have been assigned. 

Audit Register and Audit Group: A common archive to build content in a logical structure
The audits can be built up and archived in an logical hierarchical tree structure by using Audit Register, Audit Group and Audit Program. An audit program can for example contain all audits during a year and has the possibility to add several Audit Plans under each Program

Audit Program - Compliance with ISO
The ISO 9001  requirements require planning, establishing, implementing and maintaining an Audit program.  The Tool secure support for all needed requirements and is in compliance with ISO for an Audit Program. The Audit Program page is used for detailed overviews regarding References, Linked and Detailed Documentation, Project Participants, Risk and KPI´s 

Risk Assessment
The tool provides excellent support to build up the risk register and conduct vulnerability assessment in connection with the activities and plans to be performed

Critical Success Factors
The Audit Tool is integrated with Strategic Management tool to secure compliance with Strategic Goals and Critical Success Factors

Gantt Overviews
A Gantt overview based on the status and progress of the Audit Program is available on the Audit Program Page and gives an overview of planned and executed audits.

Workflow
The tasks can be distributed to the different responsible performers via workflows and has all steps needed for an audit regarding Performance, Review of Audit Conclusion, Monitor and Follow up and Approval with Closure of Audit to Audit Final Receipt according to ISO. 

Notification in work-queue with e-mail to performer
Each task is sent to the responsible´s work queue for performance.  As a reminder to responsible performer, the tool send E-mails automatically as notifications to secure attention and follow-up on the work to be performed.
 
Audit Plan
The Audit plan describes the activities and agreements for the audit and the planned audit of a subject area, department and similar. It documents what outlines the objectives, scope, and procedures of the audit. It helps to ensure that the audit is conducted efficiently and effectively, and that the Audit Findings are reliable and relevant. The Audit plan also helps to communicate the expectations and responsibilities of the auditors and the auditees, and to avoid misunderstandings or conflicts during the audit process.

Compliance with internal live processes
The tool is integrated with the APOS module and all processes can be a basis for the organization in the audit. For example all processes with roles, best practice, requirement and checklist can be linked to each Audit Criteria to show compliance or not.

Audit Criteria structured as checklist
Audit criteria are the requirements, norms and/or standards against which the audit/audited entity must be assessed.  In the SoluDyne tool the audit criteria can be structured as a checklist with criteria for each item that is carried out during the audit.  The criteria can be policies, processes, procedures, best practices, instructions, management elements, statutory requirements, contractual obligations and more. Audit Criteria is documented on each Audit Plan and can be used as a checklist.  

Audit Conclusion  -  Create actions regarding findings and observations
Audit findings are the basis for expressing an audit opinion and are required to be reported in a schedule of findings and questioned costs.  The tool supports handling of findings regarding audit results and evaluates evidence and compares it against audit criteria. It can show compliance or non-compliance with the criteria, as well as best practices or improvement opportunities. The Audit tool is integrated with the quality improvement functionality, it makes it easy to register observation and deviation on each audit criteria and send out corrective or preventive actions to responsible to handle the findings.
 
Conduct Audit follow up - Overviews of findings, conclusions, and recommendations in a clear and concise manner. 
The outcome of the audit can, depending on the audit objectives, indicate the need for corrections, or for corrective actions, or opportunities for improvement. One can add actions to delegate tasks in connection with processing the discovery, Log to log comments, input, verification to check that the performed measures have an effect on the recommendations.

Support of Root Cause Register
Each audit finding and audit observation can be documented and a date can be set for when to close it, and who is responsible for doing this. It is workflow based and supports execution / analysis to uncover Root cause.

Use of the Compliance Report Tool for being compliant with rules and regulations.
A separate Compliance Report Tool is present to help the responsible to create overviews to see that internal governing elements is linked to external laws and regulations, in which compliance can be shown during the audit.
 
The SoluDyne system includes as a standard functionality for autogenerating Cross-Reference lists showing which Laws and regulations - including ISO requirements - are covered / described in the process descriptions that are entered into the system.
 
The functionality allows to specify, track and have overview of compliance level within the organization / fulfillment with the individual requirements. For each requirement, a color code indicates whether the requirement is: Not fulfilled, Partially fulfilled, Fullfilled.