Internal audits planned, run and closed with a record
Audit Management is a ready-made product for internal audits in SharePoint Online. You create an audit program, approvers sign it off, auditors schedule and complete checklists, and observations move through corrective and preventive action until they are closed.
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What it does
Six things it does for your audits
It covers the audit from program to closure.
Audit program
Set the scope, objectives and schedule, and attach documents.
Approval workflow
Multi-level approval before audits go ahead.
Scheduling
Assign auditors and set the audit date.
Checklists
Record evidence and observations against each clause.
Corrective and preventive action
Auditees and assignees respond to each observation until it is closed.
Tracking dashboard
See what is pending with approvers, auditors, auditees and assignees.
Audit program
Plan what will be audited
The program records the year, location, division, audit number and type of management system, then a table of areas or processes with the auditor, auditee, dates and clauses. Add remarks and submit.
- Year, location and division
- Type of management system
- Area, auditor and auditee
- Dates and clauses
- Remarks and attachments
Approval
Sign off the program
The approver reviews the program, which is shown read-only, along with the approver route and communication box. Approve or reject with a comment.
- Program shown read-only
- Approver route and decisions
- Approve or reject
Schedule and check
Assign auditors, then work the checklist
Choose the auditors and the audit date, then fill in the internal audit checklist: for each clause, the check point, the evidence or observation and any remarks.
- Choose auditors
- Audit date
- Clause, check point and evidence
- Remarks for each line
Observations
From observation to corrective action
Auditors record each observation with its clause, evidence type, root cause, and corrective and preventive action. Auditees and assignees respond and update their status until it is closed.
- Observation number and evidence type
- Root cause
- Corrective and preventive action
- Auditee and assignee status
- Completion dates
Dashboard
See who each audit is waiting on
The dashboard groups audits into pending with approver, pending with auditor, auditee or assignee, and completed. Each row shows the request number, year, location, division and status.
- Pending with approver
- Pending with auditor, auditee or assignee
- My completed audits
- Add New Request button
Who it is for
Built for
Quality and compliance teams. Internal auditors. Auditees and action owners. Heads who approve audit programs.
- Audits planned in advanceAudit schedules, auditors and scope are set before each audit.
- Findings with ownersEach finding has an owner, a due date and a corrective action.
- Escalation when lateOverdue actions are escalated to the people who can act on them.
- History for the next auditPast findings and closures are kept for comparison.
How it works
How an audit moves
These are the steps an audit moves through, from planning to close. Your audit plan and reviewers are set during installation.
Plan
The initiator creates the audit programme.
Approve and schedule
Approvers sign off, then auditors are assigned and dates set.
Collect and review
Assignees add information and auditors review it.
Close
The auditor closes the audit, or escalates unresolved items to a line manager.
Audit Management: questions we hear often
What kinds of audit does it cover?
Internal audits, planned as a program and run against checklists for your management systems.
How is an audit approved?
The program goes through multi-level approval, and approvers can approve or reject it.
Can we assign auditors and dates?
Yes. Choose one or more auditors and set the audit date.
How are issues followed up?
Each observation gets a root cause, and corrective and preventive action. Auditees and assignees update their status until it is closed.
Can we see the history of an audit?
Yes. The audit trail records who did what and when.
Do people get notified?
Yes. Emails go out for approvals and when action is needed.
Where does our data stay?
In your own SharePoint Online, inside your Microsoft 365 tenant. The product is installed there, and AscenWork has no access to your data.
How do people sign in, and what licence is needed?
People sign in with their Microsoft 365 account. The product is built on SharePoint Online, so you need an active SharePoint Online licence. It uses the Microsoft 365 licences and infrastructure you already have.
Can it be changed to fit our process?
Yes. Every installation is configured to your process: your forms, steps, roles and approvers. If you need something beyond the standard product, our technical team checks the scope and what is feasible, and we quote those changes separately so you can decide.
What does an installation include?
Setting up the environment, loading your master data, and setting user permissions and menu permissions to follow your company policy.
Do you train our team?
Yes. We provide training and documentation for the product we deploy, a train-the-trainer programme for your own team, and video training for the modules.
How secure is it?
It runs on Microsoft 365, so it uses the security features of your licence, such as role-based access, multi-factor authentication, conditional access, audit logs and external sharing controls. Which of these you have depends on your Microsoft 365 licence, and Microsoft governs them.
Who supports it after go-live?
You can run it with your own team, or add optional managed support from AscenWork for fixes, small changes and reviews. To report an issue, write to support@ascenwork.com and a support executive will pick it up.
Can it run on SharePoint Server instead of SharePoint Online?
It is built for SharePoint Online. For SharePoint Server 2016 or 2019 we can try it, and a few changes may be needed. Tell us what you run and we will confirm.
How do we get a price?
Talk to us. We listen to how your process works today, then send a written quote that covers the product set-up for your tenant and any custom changes as separate lines.
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