Audit Management System Creates Electronic Surveys, Automates Processes, and Tracks Audits and Results
The client provides audit service including but not limited to: HIPAA/HITECH, OSHA, DOJ, and CC-OIG. As part of its annual consulting services contract, customers receive a periodic follow-up audit.
Comprehensive compliance services requires a lot of paperwork and tedious manual tracking from both the auditor and client sides. To address this, the client wanted to implement an audit management system that allowed auditors to create electronic audit surveys, automate audit processes, track all audits and the results. This would help auditors and clients streamline the audit process, make recommendations tracking more efficient, and enable easy information retrieval from previous audits.
In addition to audit process, clients would have access to a repository of compliance related documentation, interactive manuals, and useful reference materials.
The Regulatory Compliance Management System (RCMS) platform consisted of two key sub-systems with a shared backend:
- RCMS – web-based application allows auditors and clients to carry out all tasks related to audit preparation, audit execution, audit outcomes review, and management as well as supplemental functionality such as content.
- Audit app – native iOS app provides functionality limited to audit execution, audit outcomes review, and the creation of remediation – risk management – plan for the customer. This will work in both online and offline modes.
The solution consists of key components that have respective responsibilities including:
->Survey Builder; ->Content Management; ->Client Management; ->User Management;
->Audit Workflow and Execution; ->Audit Results Management (Risks Management);
->Reporting; ->Notifications management; ->Persistence layer: Database, Document Storage.
Also, the RCMS should support a unidirectional interface with the Salesforce CRM to import client database information into the RCMS.
For auditors and clients who need to be able to perform audit and manage audit outcomes, RCMS provide the framework to perform audits in an efficient and timely manner, track and fulfill audit results, retain and retrieve information about any audit component, and provide clients with easy access to audit related data and documentation.
Upon successful implementation of the RCMS system, the client achieved the following goals:
- Created a reusable electronic audit survey, implemented a generic automated audit process and managed it within one tool in order to prevent data loss
- Tracked and stored audit results making all information collected during pre-audit, audit and post-audit activities (corrective actions) easily retrievable and trackable
- Reduced time spent on each audit process cycle and communication with the client and third parties
- Client became a competitive player in the market by providing convenient and useful web and mobile solutions