Audit Manager Audit Manager v3.4 Solution Brief
Audit Management The Management of Audits
iBPMS Business Process Applications (BPAs) are the innovative, new class of Service Oriented Business Applications (SOBAs) that help businesses automate and simplify the management of missioncritical, complex enterprise business processes. Using iBPMS Audit Manager, customers have optimized operational efficiency, achieved lower operational costs, and improved compliance increasing agility in implementing a complete and integrated solution for managing and directing external and internal requests. The primary oal of iBPMS Process Enabled Applications is to support and enhance the already powerful, rapid application development capabilities available with Metastorm BPM.
Audit management oversees the internal audit staff, establishes internal audit programs and manages auditors and implementation of audits with plans, reporting and findings registration and routing. The staff should have the necessary skills and expertise to identify inherent risks of the business and assess the overall effectiveness of controls in place relating to the company's operations. iBPMS Audit Manager is ready to answer internal and external audits requirements. It is prepared to help companies attain and maintain compliance by automating, streamlining, and effectively managing the audit process.
Modularity, not just modules The concept of modularity is often misunderstood. Just because the software claims that the various parts of its applications are modules, that does not mean that they are actually modular. iBPMS modularity involves clearly specified interfaces so the development on existing and new process applications take place within each one without affecting the others. This truly modular architecture allows designers to focus on building solutions to local problems without disturbing the global system.
The process of managing audits In a manual system, tracking audit findings, related corrective/preventive actions (CAPAs), and re-audits is an overwhelming task. The more frequent audits are conducted, the more difficult it is to track correlated audit documentation. iBPMS Audit Manager provides a centralized web-based repository for all audit documentation that makes search and retrieval easy. It provides advanced tracking capability every step of the way, from scheduling and planning to execution to completion. It offers best-practice audit forms for tracking basic audit information (scope, checklists, audit team, audit status, etc.) and information for each finding. It can be integrated with the Task Manager to track related CAPA. It can also be integrated with Questionnaire Manager to get common support for audits, making them faster to stage and allowing sequential and progressive audits, independently from auditors and auditees.
Š Copyright 2009 VP Consulting, Lda. All rights reserved. iBPMS and Process Enabled Applications are either trademarks or registered trademarks of VP Consulting Lda. Other product, service and company names mentioned herein are for identification purposes only and may be trademarks of their respective owners. Š iBPMS 2009 Copyright
1|7
Audit Manager Audit Manager v3.4 Solution Brief
iBPMS Audit Manager is built on Metastorm BPM, a state-of-the-art Business Process Management software platform for developing and deploying agile solutions connecting users, applications and systems within and outside an organization to close critical gaps and streamline mission-critical business processes. It supports and integrates multiple enterprises simultaneously while ensuring solution interoperability and scalability when the enterprise environment grows.
Efficient Scheduling Audit is a recurring process. The types of audit conducted (internal, customer, compliance, etc) and their frequency depends on company size and nature of business. Manual scheduling can be a major stumbling block especially for companies with numerous audits. iBPMS Audit Manager automates scheduling of all recurring audit-related activities so they won't be overlooked. It allows planning and scheduling of tasks well in advance.
Efficient Follow-up Assigning team members and following up tasks via email or phone is a time-consuming process that could easily fall through the cracks. iBPMS Audit Manager automates audit task assignment and follow-up via automatic e-mail notification and Auditors and Auditees participation. It incorporates workflows and escalation capability for any task not completed by deadline.
Multi-Company, Multi-Site Companies with multiple facilities and employees in different locations with iBPMS Audit Manager are able to manage different audit types acting in the same system depending on the user logged-in.
Rapid User Adoption iBPMS offers audit management using familiar interfaces to get rapid user adoption built on a repository with strong relationship and reporting capabilities. The software uses a guided procedure model to let the user follow the necessary steps. Because it is based on a powerful workflow the user is guided based on To Do Lists with priority defined by configured rules.
Connected process iBPMS Audit Manager connects the audit process to the rest of the system, providing links to corrective actions, improvement opportunities, processes, organizations, risks, etc. Because it is a systematic and workflow driven audit process across the enterprise, with standardized data collection, it contributes to eliminate audit errors and inconsistencies with closed-loop audit cycle for recording findings, developing recommendations and implementing action plans. It implements a complete visibility into the audit process and metrics for better
Š Copyright 2009 VP Consulting, Lda. All rights reserved. iBPMS and Process Enabled Applications are either trademarks or registered trademarks of VP Consulting Lda. Other product, service and company names mentioned herein are for identification purposes only and may be trademarks of their respective owners. Š iBPMS 2009 Copyright
2|7
Audit Manager Audit Manager v3.4 Solution Brief
The Metastorm BPM Platform is secure and easily deployed either at the customer site or hosted off-site.
Its Web-centric, serviceoriented architecture enables the secure online exchange of audit transactions with a strong capability for classification, routing, tracking and strong relationship with other process applications and other software packages.
risk management and assured compliance and higher efficiency of the audit staff enabling them to be focused on value-oriented functions such as analyzing and recognizing trends in the audit data.
Audit Planning iBPMS Audit Manager allows creating an audit program with a well-defined objective and scope tied to quality, compliance, risk management or other processes. Auditors can organize an audit in a logical structure and hierarchy. Evaluation and pass/fail criteria, checklists, and tasks that need to be performed for executing the audit can also be defined. Audits can be schedule periodically or triggered on an ad-hoc basis for suppliers, internal departments, or for specific products and processes. Based on the master audit calendar auditor or a team of auditors can be selected and assigned the audit responsibility with a due date. Automatic notifications are sent to the auditor as well as the entity to be audited. The audit plan can also be sent as a MSWord™ attachment automatically generated in approved templates, allowing the communication with external entities.
Audit Execution The application enables auditors to record qualitative or quantitative findings along with detailed observations, requirements and recommendations in predefined formats alongside the checklist of evaluation criteria and questions. A unique offline capability, as an ad-on, allows auditors to enter audit findings in notebook computers or handheld devices at remote field sites without access to the corporate network and import the data with the central repository when they can access the network. Audit managers can track the status of the audit and measure the progress against milestones to ensure timely execution. Time tracking capability captures the time spent in auditing for optimal resource utilization.
Audit Review The system routes audit findings, observation reports and auditors recommendations for review and subsequent actions. Findings are sent to the audited entity to seek responses on findings or issues observed with a straight integration with iBPMS Non-Conformance Manager and iBPMS Improvement Opportunity Manager. It is also possible to include findings that already exist in the system, allowing the complete tracking of information and the control of re-occurrences. Š Copyright 2009 VP Consulting, Lda. All rights reserved. iBPMS and Process Enabled Applications are either trademarks or registered trademarks of VP Consulting Lda. Other product, service and company names mentioned herein are for identification purposes only and may be trademarks of their respective owners. Š iBPMS 2009 Copyright
3|7
Audit Manager Audit Manager v3.4 Solution Brief
The vast array of client interface options and flexible, open architecture make it the ideal solution for automating, managing, and controlling the unique, human-based – and often complex processes that drive organizational success. iBPMS is a serious complement as process applications templates (executable processes, rules, user forms, integration services and user interface services) becoming a standard bestpractices to implement your next-practice with or without customization.
The application has built-in workflows for reviewing responses for approval or rejection with the options to initiate remedial actions for undesirable variations and trends as well as to schedule follow-up audits. iBPMS Audit Manager provides seamless integration with CAPA/Remediation Management process applications for observations and findings that require a remedial corrective action plan.
Oversight The system provides comprehensive capabilities for compiling audit reports and work-papers. It provides complete visibility into the audit process with easy status tracking. The system allows access to all audit data and histories as well as analysis of auditor performance and audit results. Graphical executive dashboards and flexible reports with drill-down capability provide statistics by a variety of parameters such as by audited entities, audit schedule and calendar, finding reports, and corrective and remediation actions triggered.
Distribution Audits and findings are sensitive and security is vital. iBPMS Audit Manager supports those types of requirements using an Overseer Role, Chief Auditor Role, Auditor Role, Technical Auditor Role, Audited Role, an Observer Role and Participant Roles. It supports roles and rights management that allows an administrator to give access based on Business Unit, Organizational Unit and Location. Because it is a process enabled application access is controlled by roles as the system “understands” the user and what he can do. Notifications, findings and alerts are sent by email using an SMTP connection to the users email system, and to external entities. It is also possible to add notes, which will be sent along with the message. iBPMS allows the automatic creation of an audit report in word, using approved templates that are filled by the system with the audit information and results. These templates are controlled using integration with iBPMS Document Manager.
Workflow Workflow is a complex problem for most of Audit Programs and Audits because they usually are not only sequential flows. For iBPMS Audit Manager this is a builtin capability because the BPM Engine from the Platform uses a powerful workflow engine and parallel flows are also possible speeding the implementation. © Copyright 2009 VP Consulting, Lda. All rights reserved. iBPMS and Process Enabled Applications are either trademarks or registered trademarks of VP Consulting Lda. Other product, service and company names mentioned herein are for identification purposes only and may be trademarks of their respective owners. © iBPMS 2009 Copyright
4|7
Audit Manager Audit Manager v3.4 Solution Brief
It supports also manual workflow and at same time rulesbased workflow based on classification and responsibility matrixes. With static but also dynamic rules it allow for branches to be created in a workflow process in a user-friendly environment.
Audit Trail The system tracks all routing information and data entered into the electronic form, allowing the Audits and Findings to be tracked during processing.
Process closure The iBPMS Audit Manager controls the closure based on the source of it and the action taken. It can close the cycle based on the implementation type, the completion of actions and based on manual intervention depending on the configuration, based on new validation audits, etc. All those closure options are configurable as the SLA adopted to do that.
Alerts As all of the other modules, Audit Manager has full integration with the Alerts module. This means the users get notified, by customizable e-mail messages, of their audits.
Facts iBPMS Performance Manager Process Application has been successfully implemented and validated in different environments since its introduction in 2007. Now in version 3.4, it includes many features and requirements which came from the large utilization in companies from different sizes and dimensions, including the possibility to have web OLAP visualization automatically and data warehouse and cube generation. Dramatically increases the improvement management capabilities and the control and reduces the time by speeding up the process for managing and controlling performance with tight integration with other process applications. As a Process Enabled Application it is easy to use and easy to configure designed for rapid installation and implementation.
Core Capabilities • •
Metadata: identification of all necessary metadata; Workflow: Combines powerful electronic routing because it uses the BPM Engine strong capabilities or step-by-step routing. It includes the possibility to forward and
© Copyright 2009 VP Consulting, Lda. All rights reserved. iBPMS and Process Enabled Applications are either trademarks or registered trademarks of VP Consulting Lda. Other product, service and company names mentioned herein are for identification purposes only and may be trademarks of their respective owners. © iBPMS 2009 Copyright
5|7
Audit Manager Audit Manager v3.4 Solution Brief
• • • • •
•
• •
• •
• •
•
• •
• • • •
• •
route any improvement opportunity based on rules. Automatic workflow according to standard to implementation actions, corrective actions and preventive actions; Standards: Supports industry-standard databases and is compliant with BSCOL and other management best-practices; Solid Audit Trail: Provides a secure, time-stamped audit trail Security: Information is stored in the database for access by authorized users only. Advanced Tracking: It tracks by status or history; Electronic Sign-offs: Decisions can be signed and approved electronically. Signature manifestation name, date, time, and meaning of electronic signature can be appended automatically as an add-on depending on environment; Easy Access: iBPMS is Web-based so it can connect all employees involved in control from virtually anywhere. Provides a centralized repository for easy access, search, and retrieval by all authorized users. Automates Routing, Escalation, and Notifications: Reduces cycle time by automating routing and incorporating escalation and notifications. Dependent Routing: Completion of a task can be made dependent on another task to give managers more control and reduce cycle time by prompting users immediately to their next task; Streamlines Collaboration: Registration, analysis and implementation are easier because it provides a collaboration workspace; Integrates with Other Applications: iBPMS can integrate with other process enable applications directly without any extra work, or applications like Microsof Analysis Services, Business Objects, ERP, LIMS, etc to accommodate departmental needs; Pre-Defined Workflow: There is the possibility of using pre-defined workflows, from one department to the next; Automation of Forms-Based Processes: Form processes unique to a company or department can be integrated with the task management processes under one secure repository; Easy to Search: A standardized search window is available throughout the application, which means all authorized users throughout the organization can search using a familiar search interface; Easy to Find: iBPMS Performance Manager Navigator, similar to Windows Explorer, is an easy-to-use tool that helps users finds and access tasks quickly. Shared Repository: Allows for other iBPMS Applications to use the Performance Manager as a repository for managing and controlling performance objectives and KPI and action plans in order to get the correct information when needed; Notifications Lists: Provides the capability to create notifications list based on workflows; Email integration: All messages and actions are sent to email system in order to provide access to the users; Library Management: Provides a complete library management with features to manage KPI; To Do Lists and Watch Lists: Because it is based on a process framework it produces To Do Lists and Watch Lists as necessary for all users with alarm signals and alert messages; Audit Trail: Full audit trail and reporting; Open: Scalable, open systems architecture;
© Copyright 2009 VP Consulting, Lda. All rights reserved. iBPMS and Process Enabled Applications are either trademarks or registered trademarks of VP Consulting Lda. Other product, service and company names mentioned herein are for identification purposes only and may be trademarks of their respective owners. © iBPMS 2009 Copyright
6|7
Audit Manager Audit Manager v3.4 Solution Brief
About VP Consulting VP Consulting is a leading Business Process Management consulting company working on Europe region, and with operations to Brazil, with deep experience in Business Process Analysis & Modelling (BPA), Business Process Management (BPM) and Governance, Risk and Compliance and designing and implementing BPM solutions at companies in every industry. VP Consulting is implementing in its region, a partner network offering market-leading solutions and has developed iBPMS Process Enabled Applications to help customers accelerate their BPM initiatives and reap the rewards as rapidly as possible. The primary goal of iBPMS Process Enabled Applications is to support and enhance the already powerful, rapid application development capabilities available and provide a rich set of solution frameworks that serve as „implementation accelerators‟ for process initiatives in different areas of knowledge. For more information please consult www.vpconsulting.pt and www.ibpms.com
Metastorm BPM and Enterprise Process Advantage are either trademarks or registered trademarks of Metastorm, Inc. Other product, service and company names mentioned herein are for identification purposes only and may be trademarks of their respective owners.
© Copyright 2009 VP Consulting, Lda. All rights reserved. iBPMS and Process Enabled Applications are either trademarks or registered trademarks of VP Consulting Lda. Other product, service and company names mentioned herein are for identification purposes only and may be trademarks of their respective owners. © iBPMS 2009 Copyright
7|7