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1920 Yonge Street, Suite 200
Toronto, ON, M4S 3E2, Canada
http://www.infowisesolutions.com
Phone: +1.416.572.7755
Fax: +1.416.572.7501
E-mail: info@infowisesolutions.com
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.](https://image.slidesharecdn.com/infowiseauditmanagementsystemsolutionuserguide-130725105704-phpapp01/85/Infowise-audit-management-system-solution-user-guide-5-320.jpg)
Infowise audit management system solution user guide
- 1. 7/23/2013 | Page 1 out of 6 1920 Yonge Street, Suite 200 Toronto, ON, M4S 3E2, Canada http://www.infowisesolutions.com Phone: +1.416.572.7755 Fax: +1.416.572.7501 E-mail: info@infowisesolutions.com Infowise Audit Management System SharePoint Site Template User Guide
- 2. 7/23/2013 | Page 2 out of 6 1920 Yonge Street, Suite 200 Toronto, ON, M4S 3E2, Canada http://www.infowisesolutions.com Phone: +1.416.572.7755 Fax: +1.416.572.7501 E-mail: info@infowisesolutions.com Contents Introduction ..................................................................................................................................................3 Disclaimer......................................................................................................................................................3 Installation and Configuration ......................................................................................................................3 Trial and Registration....................................................................................................................................4 Using the Site ................................................................................................................................................4 Managing Auditors, Sites and Audits........................................................................................................4 Managing Findings and Tasks ...................................................................................................................5 Data Structure and Flow ...........................................................................................................................6
- 3. 7/23/2013 | Page 3 out of 6 1920 Yonge Street, Suite 200 Toronto, ON, M4S 3E2, Canada http://www.infowisesolutions.com Phone: +1.416.572.7755 Fax: +1.416.572.7501 E-mail: info@infowisesolutions.com 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 The site template requires WSS 3.0 (free edition of SharePoint 2007) or SharePoint Foundation 4.0/5.0 (free edition of SharePoint 2010/2013). The SharePoint Server 2007/2010/2013 is fully supported, but not required. The site template only supports US English language pack. Disclaimer The site template is provided “as-is”, without any warranties, explicit or implied. You may use it free of charge, provided that you own valid software licenses for the Infowise components used within the site. You may modify the site or sites created from the template in any way to better suit your specific needs. You may transfer or sell the modified template to any 3rd party after receiving a written authorization from Infowise. The 3rd party must be informed that the included Infowise products must be properly licensed for the template to operate. In no case shall Infowise be liable from any loss or damage resulting from using the site template. Installation and Configuration The site template is downloaded as a self-installing, self-configuring package. It will automatically install or upgrade all the required Infowise components. All Infowise components are farm solutions. Log on to one of the servers in the farm. Because the timer jobs will be set to run from the server where the installation took place, it is advisable to install from the application server. You should log on with farm administrator account that also has read/write access to the configuration and content databases. Run the installer. If User Access Control is enabled on the server, right-click the installation package and select Run as Administrator. Follow the wizard’s instructions. You will be prompted to select a site under which the new site is to be created. Optionally change the title and the URL of the new site
- 4. 7/23/2013 | Page 4 out of 6 1920 Yonge Street, Suite 200 Toronto, ON, M4S 3E2, Canada http://www.infowisesolutions.com Phone: +1.416.572.7755 Fax: +1.416.572.7501 E-mail: info@infowisesolutions.com Allow the wizard to finish and click the site link on the last page of the wizard. That will open the site in your default browser. If required, you can set unique permissions for the site, create SharePoint groups and grant specific permissions to those groups. For instance, you might want to only allow certain users access to create/modify projects. Trial and Registration Installing the site template in a fresh farm starts a 30-day trial period for the utilized Infowise components beginning from the installation date. If you already have Infowise components installed in the farm, each individual component might be either in trial, registered or expired, depending on your installation and purchase history. Installing the site template does not revoke existing licenses nor restart the trial period for any of the products. Contact Infowise if one of the products is expired and a trial extension key will be issued. 10 days after installing the site template you will start seeing a reminder regarding your trial expiration (unless all the products have already been registered). Do not attempt to remove the web part from the page - that will not prevent the trial period from ending and will make it more difficult for you to register the products once you purchase a license. When you are ready to purchase, there are two main options you can choose from: 1. Website license – allows you to use the components only within the site created from the site template. Although the most affordable, this option does not allow you to use any of the components in other sites, site collections or web applications. The products will appear to be expired when attempting to use them outside the site. Only one license is required per farm, regardless of the number of servers. 2. Server license (with or without Annual Support) – allows you to use the components throughout the farm, in sites based on our site template or any other sites, created by you. Each web frontend server requires a license; a free license might be required for application servers as well. To register, follow the instruction receive together with your license key. 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.
- 5. 7/23/2013 | Page 5 out of 6 1920 Yonge Street, Suite 200 Toronto, ON, M4S 3E2, Canada http://www.infowisesolutions.com Phone: +1.416.572.7755 Fax: +1.416.572.7501 E-mail: info@infowisesolutions.com 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.
- 6. 7/23/2013 | Page 6 out of 6 1920 Yonge Street, Suite 200 Toronto, ON, M4S 3E2, Canada http://www.infowisesolutions.com Phone: +1.416.572.7755 Fax: +1.416.572.7501 E-mail: info@infowisesolutions.com 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.