Audit & Compliance

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Process Audit and Process Compliance

Process Audit & Process Compliance software solution

Organizations of nearly every shape and size will eventually have to undergo a series of audits. As failure to achieving or maintaining compliance with expected standards can lead to considerable penalties and distress, it is crucial to be prepared and to have a well-informed team shouldering the process. Enterprise Process Center is geared to streamline process audit through its ability to create plans and schedules, archive results for reporting purposes, and document corrective and preventive action plans. Moreover, high-level policies can be subdivided into pragmatic business rules to be associated with the affected parts of the business architecture. By using EPC when taking on compliance initiatives, organizations are that much more likely to succeed, as they apply a structured, timely, and comprehensive approach in adhering to regulatory standards.

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Enterprise Process Center® recognized by Gartner® as a global leader in Business Operation System, Operational Intelligence & Enterprise Business Process Analysis (EBPA) including Enterprise Architecture, Business Process Analysis, Strategy-to-Execution & Workflow Automation.

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Audit planning & Scheduling

Set audit plans:

Users can plan audits and can add descriptions which include details such as audit sample sizes, prerequisites & procedures, and much more. This way, process audits can be streamlined and can be executed consistently with confidence.

Assign resources to audits:

Management can assign individuals to a specific audit, which ensures a high level of accountability on their part. These individuals become compliance champions and consequently encourage their peers to abide to guidelines set to remain compliant.

Create an audit schedule:

The EPC can also be used to create a schedule of recurrent audits, where details such as the audit date and important remarks can be included. This way, the organization never misses an opportunity to validate their compliance, which can create significant repercussions if not maintained.

Audit Results & Reporting

Capture audit results:

The EPC contains a repository that is designed to hold audit history and results. Auditors can insert comments, a pass/fail grade, specifics for each evaluated sample, and indicate how accurate and complete individual controls are at mitigating risks.

Completion, review and approval trail:

Users can see the stakeholders involved in audit results approval cycle. This ensures a high degree of accountability and creates a way to clarify inconsistencies, should any be encountered later on.

Complete audit trails:

Every object within the EPC is equipped with version control and audit trails describing every modification made on it ever since its inception (who, what, when). These can also be exported into Excel for distribution purposes, and can also be reported on through the EPC’s BI platform. The EPC also keeps an archive of previous versions to compare one with another and to use as a baseline for improvement tracking.

CAPA & Action Item Management

Problem management:

Users can indicate the issues found during a given audit, their root cause, and the action items that must be performed to patch them.

Corrective and Preventive Action plans:

Based on failed audits, the EPC documents the CAPAs that need to be undertaken to achieve or maintain compliance. These are very common to ISO and other compliance standards.

Assign action items:

Corrective or preventive action items can be assigned to specific resources with a certain priority level and a deadline for completion. Employees can, in turn, indicate their progress throughout these endeavors.

Regulatory Compliance

Identification and Prevention:

Perhaps the most important key success factor to follow in any compliance-based undertaking is to adequately document the required procedures to follow as well as to ensure that these procedures are followed consistently. The EPC is fully capable of providing users with a way to manage and document these endeavors through its rule, control and measure modules.

Monitoring and detection:

The EPC can monitor compliance programs through a variety of reports. These leverage corresponding measurements, procedures and controls to evaluate progress as well as current alignment with the required level of compliance.

Compliance through Ownership:

One of the biggest issues faced during process compliance initiatives is a lack of commitment from the different levels of management. The EPC encourages buy-in on every organizational level through assigning ownership on processes and rules.

Maintenance notifications:

As many compliance initiatives tend to lose traction when information isn’t kept actual, the EPC prompts responsible employees on a timely basis to review content to ensure that currency is maintained.

Corporate adoption:

When business rules are connected to tasks and processes, employees can better understand why certain activities must be performed in a certain fashion. They are therefore much more likely to follow procedure as required.

Laws and Business Rules

Convert laws and policies into rules:

As a single compliance requirement can require several rules to be enforced across an organization, users can integrate them into their processes by creating a set of rules to be followed and applying them to specific tasks.

Organizational and process-based rules:

Rules can apply to both organizations (e.g. “All newly hired employees must have at least two years of experience”) or to processes (e.g. Inventory must be reordered when the Kanban bin is empty).The EPC can assign rules to both.

Document rule implications:

Employees can indicate a rule’s source, history, type, and description, can assign employees to them, and can even include examples to help clarify the rule’s implications.

Visualize affected parts of the business architecture

Management can see which processes and organizational units can be affected by a change in regulations, as well as see which risks can arise when attempting to comply with them.

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