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RelianSys®

Transforming Governance

User Manual Audit Module

V4.11.2

RelianSys® User Manual - Compliance Module

V4.10 Issue 1 © RelianSys Pty. Ltd. Commercial in Confidence of 27

CONTENTS

Glossary ........................................................................................................................................... 3

Getting Started With RelianSys® ....................................................................................................... 4

ADMINISTRATOR FUNCTIONS: SETTING UP ............................................................................... 5

User Accounts .................................................................................................................................. 5

Positions Management ..................................................................................................................... 7

Register Management ...................................................................................................................... 7

User Register Access ..................................................................................................................... 10

How to Archive Registers ............................................................................................................... 11

How to Assign Responsibility in Bulk .............................................................................................. 11

How to Assign Due Date in Bulk ..................................................................................................... 11

User Department ............................................................................................................................ 12

User Login Tracking ........................................................................................................................ 12

Tasks Origin ................................................................................................................................... 12

Tag Management............................................................................................................................ 12

Administrator’s Dashboard ............................................................................................................. 13

FOR ALL USERS: .......................................................................................................................... 14

How to use RelianSys® to manage Audits. .................................................................................... 14

Log into RelianSys® ........................................................................................................................ 14

Changing your Password ................................................................................................................ 15

The Audit List .................................................................................................................................. 15

Managing Audits ............................................................................................................................. 15

Updating an Audit ........................................................................................................................... 16

Signing Off an Audit ........................................................................................................................ 16

Tag an Audit ................................................................................................................................... 17

Using Search .................................................................................................................................. 17

Deleting Audit ................................................................................................................................. 17

Archiving Audits .............................................................................................................................. 18

Audit Trails ...................................................................................................................................... 18

Who is my Administrator? ............................................................................................................... 18

Integrating Audits with Attachments,............................................................................................... 19

Tasks .............................................................................................................................................. 21

GENERATING REPORTS .............................................................................................................. 23



Glossary

Throughout this manual, we use various words that have specific meanings. This Glossary will help you become familiar with these words.

“Auditor” means the User to whom a Position has been linked for responsibility and action.

“First Due Date” is the review date that is set in the Audit Registration screen. This is the date on which the first review of the Audit is planned to occur (for a periodic review using the Assessment Cycle setting). If no periodic review is set, the next review is planned on the date. This date is the one that activates the reminder email system.

“Position” is the organisational role that a User fulfils. It is how Audits are grouped to be assigned for responsibility to a User (Auditor).

“Register” means the collection of Audits that are brought together under one subject heading. You can locate the full list that is available to you from the “Register for" drop down menu on the Audit List page.



Getting Started With RelianSys® RelianSys

® offers exceptional benefits as a tool to automate your Audit management process. However, like any

software deployment project that will involve multiple users, it is very important that before you begin, you know what you want to accomplish, why you want to accomplish it, and then develop a project planning approach.

Set up Users

Set up Positions

Set up Registers

Add Audits

Generate Reports



ADMINISTRATOR FUNCTIONS: SETTING UP

User Accounts

Log in using the password given to you. The first time you log in, you will be prompted to change your password. Note that RelianSys® will require a strong password. This has been instituted for you and your company’s protection. The following is required:

Minimum 8 digits

Must contain a number and preferably a symbol (for example, #, $, !)

Must contain both capitals and lower case letters

CREATING USER ACCOUNTS

1. Select ‘Settings’ from menu at the top of the screen

2. Select ‘User Accounts’

3. When entering new users, do not select from the’ Lookup User’ drop down list. Enter the new User’s name, email address, and profile in the mandatory fields marked with a red asterisk.

4. Click ‘Save’ to save the details for each User once entered.

Notice that the ‘Password (new)’ and ‘Password Hint’ fields are initially greyed out and inactive. Immediately a User is first set up in RelianSys

®, and you save them, they will receive an email with a randomly generated password. The email also

shows them who their Administrators are.

The first time a user logs in they will be prompted to create their own password. A rule is enforced that they can't re-use the password they were sent on creation. Once the new user details are entered, the ‘Password’ and ‘Password Hint’ fields become active.

If a user tries to login with the wrong password 5 times, the account will be automatically locked. To unlock an account simply untick the box ‘Is Locked Out’ at the bottom of the page and click ‘Save’.

This removes the need to individually email each User with their login details when you set them up as new Users in RelianSys

®, saving you time and inconvenience.

DO NOT ATTEMPT TO REALLOCATE RESPONSIBILITY BY CHANGING / REPLACING USER DETAILS IN THIS SCREEN. DOING SO WILL DESTROY ALL USER HISTORY RECORDS OF THE FORMER USER.



ALLOCATING USER PROFILES You can define if a user has access to the module by ticking the check box next to the profile dropdown menu and what profile the user should have. The user profiles are as follows:

Administrator: Full access and over-ride of all set-up and functions

Super User: No Access or over-ride of setup functions, but otherwise have full Audit Registration and management access to allocated registers

Basic User: Sign off and responsible for Audits, but no Audit registration and management access.

Standard User: Can raise Tasks

Limited User: Read Only

Function Limited User Standard User Basic User Super User Administrator

Search Yes Yes x Yes Yes

Sign Off Audits x x Yes Yes Yes

Add Attachments x x Yes Yes Yes

Raise Tasks x Yes Yes Yes Yes

Add/Manage Audit registration x x x Yes Yes

Access Report Menu x x x Yes Yes

Maintenance Setup functions

User Accounts

Register allocation

x x x x Yes

Add Admin Notes x x x x Yes

Archive Audits x x x Yes Yes

Archive Registers x x x x Yes

Create Tags x x x x Yes

Apply Tags x x Yes Yes Yes

TO EDIT AN EXISTING USER ACCOUNT

First select the existing user that you want to amend from the’ Lookup User’ drop down list. Make the changes, and Save.

DO NOT ATTEMPT TO REALLOCATE RESPONSIBILITY BY CHANGING / REPLACING USER DETAILS IN THIS SCREEN. DOING SO WILL DESTROY ALL USER HISTORY RECORDS OF THE FORMER USER.

TRANSFERRING USER RESPONSIBILITIES In the situation where a person leaves, and is replaced, do not attempt to reallocate their Responsibilities by changing the User details. Reallocate User responsibilities using the Position settings or using the Search page.

The Task Report shows the Tasks that are allocated to each user. Then each Task can be individually reallocated to another user by clicking through to the record.

Deletion of Users is not possible, because it would result in lost history records or compromise data relationships. Users that no longer need to be in the system can then be made inactive in the Settings > User Accounts page.



You can see the list of Inactive Users by checking the Show List of Inactive Users box at the top of the screen, and then selecting the Lookup User drop down. You can restore an Inactive User to Active User by simply checking the box at the bottom of the screen.

OTHER USEFUL INFORMATION

Export of the list of Users is done from the Export button at the top of this screen. This is useful for a quick overview of who is connected to RelianSys

®, and what permissions are allocated.

When you are logged in to RelianSys®, there is an automatic timeout that will log you out after a set time has expired and

no activity has occurred. Our policy is that the control of timeout security should be enforced at the user organisation. The timeout is set at 10 hours, so you only have to log in once in your working day, and can have a screen open for an extended time, yet still be confident that RelianSys

® will be closed for you at the end of the day.

Positions Management In RelianSys® all Audits are allocated to Positions, to which individual Users are linked. This enables quick and easy transfer of Audits to new people as they come and go in various Positions.

ENTERING POSITIONS

Before creating a Position, the assigned User must be already created. All Positions must be linked to a User. All Users that are linked to a position must be a Basic User, Super User or Administrator because the role of a Position is to be responsible for Audits. (If Limited or Standard users are assigned a Position they will be upgraded to Basic User automatically)

1. Select ‘Settings’ from the menu bar at the top.

2. Select ‘Positions’

3. When entering new positions, do not select from the Lookup User drop down list. Enter the new Position

name, Position description, Position Number (if applicable), the User to be associated with that Position, and

Manager Position for escalation if required.

4. Click Save

UPDATING POSITIONS If you need to change the Position Name, Position Description, or Position Number, select it from the list. Amend the text and save. If you need to change the User who is attached to the Position, select the Position from the Lookup Position dropdown list. Then change the User selection from the User Name dropdown list, and save. All Audits will be now transferred to that User.

Register Management

Audit Registers

1. From the Maintenance drop down menu at the top of the screen, select Audit Register Management. (The ‘Lookup Register’ drop down list is for selecting existing Audit Registers, if you need to make a change after you have entered your registers.)

2. Enter your first main register in the box next to Register Name. You may enter a description next to Register Description if needed

3. Click Save (You will see the register appear in the table down the bottom) To change the Register order



When you have completed your register setup, you may change the order to one you would prefer.

1. Select the register you want to change

2. Select the up or down key to move it to your preferred place

3. When you have them in the order you prefer - Click the ‘Save Order’ button

Remember after creating the new Registers to give access to the appropriate users, including you. To give access to the Registers go to Settings > User Audit Register Access. This is explained later in the manual (refer to Content/User Register Access)

Audit Criteria To add Audit Criteria go to Maintenance > Audit Criteria.

1. Click on the ‘+Add Criteria’ button

2. Type in the Audit Criteria name and description

3. Click Save Add Audit Once the Registers have been created and access provided, Audits can be added. To add an Audit, go to the Dashboard and click on the ‘Add new Audit’ link, located on the right hand side of the screen. Register and Audit Title fields are mandatory. Once the Audit has been created, you can add more details later by clicking on the Audit ID number.

Notes Notes is a free text field for notes about an audit that is not essential. The information intended to be saved in this space is to give context in which an audit is carried out.



User Register Access Register access enables Administrators to give access to the specific Registers to users. These Registers are the only ones that will appear in their register list and in the drop down menu when they log on.

1. From the Settings from the menu bar at the top, select User Audit Register Access

2. Select the user you wish to allocate register(s) to, or you can select any number of Users to allocate Registers to concurrently. Do this by clicking the ‘Select all’ checkbox to deselect all Users, and then select the ones you wish to include. Then click the ‘Select Users’ button.

(Three columns will appear below showing the Users you have selected, the Registers Available and Registers Accessed to.)

3. Select the registers you wish to allocate

4. Click on the arrow key to move them from Registers Available to Registers Accessed to.

You can move multiple registers at one time

1. Highlight the first register, hold down the shift key and highlight the remainder

2. You can then move them as a group across to the access area by clicking the > button

You can also revoke access to a Register

1. Select only one user (Revoke access to registers must be done one user at a time.)

2. Select the register in the Registers Accessed box and move it to the Registers Available box

3. Always select Save/Update Changes to save once complete



How to Archive Registers In the Maintenance menu at the top, select Archive Audit Registers.

Next to each Register is a check box. By checking the box, that Register will then be archived / hidden from availability in the Register List page, the Register Access screen, the Search function and all reporting.

Save, by clicking the ‘Update’ button at the bottom of the screen.

The Register can be restored by simply un-checking the box next to the Register and clicking the ‘Update’ button at the end of the page.

When a Register is archived, a trail is created of who archived the Register and when. This can be viewed by clicking View History.

How to Assign Responsibility in Bulk In the Search page you can allocate the returned Audits of a search to a particular Auditor. Once you have conducted the search, and the result of the search appears on the screen, click the drop down menu for the field: ‘Assign responsibility of returned Audits to:’ then select the appropriate Position, and confirm your selection by clicking ‘Update’, all Audits on the screen are then allocated to that Position with the responsible person. This feature enables initial allocation of Responsibility to be done very quickly. For example, you can do a bulk allocation of a whole Register, then Search that Register again and review the results. By simply clicking through to the individual Audits, you can refine the Responsibility and reallocate to others on a case-by-case basis. Alternatively, by selecting that Register, and a keyword, you can bring up Audits that really should belong to another Position, and reallocate them away from the original Position to that person. Before the bulk allocation takes place an alert box will appear with this information: “You are assigning many Audits to just one user. If you proceed, this change cannot be reversed.” Consider: 1. Checking the report on this page to be sure all Audits apply to the selected user. 2. Export and save the report so you can reassign Audits manually if required. Responsibility can also be allocated individually, for each Audit. Note that Tasks are handled differently; you have to click through to reallocate Responsibility individually.

How to Assign Due Date in Bulk Although the context for doing this is covered later in the manual, it is important that you are aware of this special Administrator function.

In the Search page you are able to set Due Date to the Audits returned by a search. Once you have conducted the search, and the result of the search appears on the screen, click the date picker for the field: ‘Set due date of returned audits:’ and then select a date in the future, and confirm your selection by clicking ‘Update’.

Audits that don’t have a Responsible person allocated will not be assigned a Due Date.

Assigning Due Date in Bulk is only for one off Due Date. The bulk action does not set or modify Assessment Cycles. If an Audit has an Assessment Cycle Set the Next Due Date will be updated, and the cycle will stay the same.



User Department This is an optional setting to enable Departments to be pre-entered and populate the drop down list in the User Accounts screen.

1. From the Settings menu at the top, select User Department (Don’t be concerned with the Lookup Department field at this stage.)

2. Click on the ‘+Add Department’ button

3. Enter the name of the department in the Department field

4. Click Save

Repeat to enter more departments. To change a Department name select it from the department list, then make your changes and save.

User Login Tracking This function enables you to see who has logged in and when. When you open this screen you will see all logins.

1. From the Settings menu at the top, select User Login Tracking

2. To track by person - Select the user from the ‘Search by User’ drop down list.

3. The screen will refresh with the selected user’s login records.

Tasks Origin This page enables you to setup Origin for Tasks. Don’t be concerned with the ‘Lookup Origin’ drop down list, as the origins will appear in there once the name and description have been entered.

1. From the Maintenance menu at the top, select Corrective Action Origin.

2. Click on the ‘+Add Orgin’ button

3. Record the origin in the ‘Origin Name’ area e.g. Internal Audit, Customer complaint.

4. Record a description of the origin in the ‘Origin Description’ area.

5. Click Save

The Origin will now appear in the drop down list and in the table below. The screen will automatically refresh so that you can enter the remaining origins. You can now enter the remaining origins by repeating the steps above.

Tag Management The Tags function allows custom labels to be affixed to classify Audits. This enables you to use additional criteria to tailor your reports in special ways. For example, you may want to attach a risk ranking to Audits, or you may want to attach a cost of the Audit. The possibilities are endless.

To create a Tags system, select ‘Tag Management’ from the Maintenance drop down menu.

A popup screen with space to list tags and their descriptions will appear. You can delete these, change them or add new ones in this view.

To add a Tag

1. Click the ‘+Add’ button



2. Type the tag name and the optional description. (Tag name must be unique.)

3. Click Save

The entered tag will now be available for selection from the tag button by Super Users. To Change a Tag

4. Click on the name of the tag in the list

5. Make the necessary changes

6. Click Save

To Delete a Tag

7. In the tag list, the Audits column shows the number of Audits related to a tag. Tick the check box next to the Tag you want to remove from RelianSys

®, and then click the ‘Delete’ button at the top of the screen. By removing the

Tag you want to eliminate, it will remove it from all Audits.

Administrator’s Dashboard The Administrator Users have a Dashboard for that role, which is in addition to the standard Dashboard for their assigned role.

The Administrator Dashboard shows an overview of the system:

Administrator's Overview:

Audits

Audits To Be Scheduled

Audits To Be Allocated

Tasks

Open Tasks

Tasks Awaiting Review



FOR ALL USERS:

How to use RelianSys® to manage Audits.

Log into RelianSys® When your Administrator connects you to RelianSys

® you will receive an email with your username and a randomly

generated password.

The URL address of RelianSys® is: www.adventmanager.com.au. Click on this link.

Your username is your email address.

After the first login you will be requested to change the random password before continuing to RelianSys®.

The new password must comply with the following:

Minimum 8 digits


Must contain both capitals and lower case

Dashboard

Dashboard page displays the Audits and Tasks that are assigned to the logged in user.

You can click on the numbers shown in Dashboard to see a list of Audits grouped by action required.

http://www.adventmanager.com.au/



Changing your Password Log on using the password sent to you by email.

The first time you log on, you will be prompted to change your password. Subsequently, the first main page that will appear is the Home Page, with a list of the various RelianSys

® modules.

1. Click on Audit

2. Select the Settings drop down menu from the menu list at the top of the screen

3. Select Change Password from the drop down menu

4. In the box labelled old password, enter the original password

5. Then enter your new password in the next box and re-enter to confirm

6. Enter new password hint (this is optional, because you can retrieve your password from the login screen)

7. Click Save

Note that RelianSys® will require a strong password. This has been instituted for you and your company’s protection. The following is required:

Minimum 8 digits


Must contain both capitals and lower case letters

You will now need to use your new ID login and Password to access the system.

The Audit List The Audit List is the library structure for managing Audits. Everything in relation to a particular Audit emanates from this point.

To get to the Audit List

1. Click on ‘Dashboard’ on the top screen menu

2. Click on the ‘See Audit schedule’ link on the right side of the ‘Audit Dashboard’ screen

From the Audit List you can add new Audits, view existing Audits and make changes to existing Audits.

The ‘Filter by Register’ drop down list will show you the registers you can access. To add an Audit

1. Click the ‘Add New Audit’ button

2. Fill the required fields

3. Click the ‘Save’, to complete the creation

Managing Audits To enter a new Audit

1. Click on the ‘Add New Audit’ button.

2. Select the required Register from the ‘Register’ drop down list.



3. Fill in the form. Register and Audit Title fields are mandatory. Once the Audit has been created, you can add more details by clicking on the Audit ID number, then editing it.

To set up a new Audit

4. Enter ‘Audit Cycle’, and ‘Completion Date (First)’. This is optional.

We recommend that you consider carefully before setting completion date, and ensure that you have communicated with all concerned about what is expected of them when they receive the email reminders. This way people do not receive email reminders unexpectedly.

Decide the First Completion Date. This is the date on which the Audit should be actioned, and which will trigger the reminder email alerts commencing one month earlier.

Email notifications are sent out on Monday mornings, 1 month before the due date, 2 weeks before the due date, 1 week before the due date and on the day of the due date. If the escalation function has been set up in the Positions menu, emails are sent weekly to the designated manager once the Audit is 14 days or more overdue.

If you don’t want to have reminders notified, you can change this so that there is no date indicated. Use the "Clean Date" button.

If the Audit occurs periodically, an assessment cycle can be set. Select a regular period from the ‘Audit Cycle’ drop down list (Weekly, Fortnightly, Monthly, Quarterly, 6 Months, Annually, 2 Years, 3 Years, 4 Years or 5 Years), and a Next Due Date will be automatically generated after the Sign Off for the next period defined in the Audit Cycle”.

Another option is to manually reset the ‘Due Date after each Sign Off.

The ‘Early Reminder’ sends just one email on the set date. This reminder doesn’t escalate to managers.

The ‘Early Reminder’ is used for when you want to be reminded outside of the default notification schedule. For example if you want to be reminded say, 6 weeks prior a due date so that audit planning can be started

5. Allocate the Auditor for the particular Audit from the drop down list of Positions/Users.

6. Once complete click on the Save button to ensure that the information is saved.

Updating an Audit To make a change to an Audit, simply click on the ID number of the Audit you wish to change. Make the required changes. Record in the “Reason for Change” field why the change has been made. You will not be able to save any changes without completing this section. Once completed - Click Save.

Signing Off an Audit To sign off an Audit as complete, locate the relevant Audit by any of the following actions:

Going to the Dashboard

Use the Search function

Running a report from the reports menu

Locating it from the Register

Clicking through from a reminder email

1. Go to the Sign Off screen. You can do this by;

Clicking on the Audit ID number, and then clicking on ‘Sign Off’ button

2. Make a comment regarding the review you have done.

3. If you want to, you can attach Evidence

4. Click the Sign Off button to save your entry



To see previous sign offs you can click on the Status History button in the Audit Registration page next to the Sign Off button. In the Status History page a Sign Off button is also available to sign off from there.

Tag an Audit The ‘Tag’ function enables you to classify an Audit according to one or more criteria. For example, you may allocate a risk ranking to an Audit by setting up a set of Tags.

To Tag an Audit

1. Click on the Audit ID number you want to add Tags to

2. Click on the Edit button

3. Select the Tags you want to add to the Audit from the ‘Tags’ field

4. Click ‘Save’ to save the Tags to the Audit

Note that Tags must first be created in advance by an Administrator user.

Using Search Search is located on the top menu bar. You are able to search:

Across a selection or all Registers that you have access to using the drop down list By Responsibility using the drop down list For Keywords that you are seeking in an Audit by entering free format text

You can also Search for specific Audit IDs or Tasks IDs. The Search results can be exported to Microsoft Word and Excel. Note that Administrators can also allocate Responsibility and Reminder Dates in bulk using the Search Function.

Deleting an Audit Audits can be individually removed from the system, by using the Delete function in the Audit’s page. This action cannot be undone.



Archiving Audits As an alternative to permanently deleting Audits, they can be archived in order to preserve your audit management history. This may be important if you need to be able to show evidence of a history of effective audit management for legal reasons. It also enables you to arrange your view of current and future audits.

To archive an Audit click on the ID number of the Audit. The Audit Registration page will open, and on the bottom of the page click on the Archive button.

Audit Trails All Audits have an audit trail.

This can be seen by clicking on the “View Audit Trail” button at the bottom of each screen.

The ‘View Audit Trail’ enables changes to all aspects relating to a particular Audit to be viewed. It shows who made the change and when, as well as identifying what the change was. This can be very useful when auditing your audit system.

Who is my Administrator? This option enables you to locate the RelianSys

® Administrators within your organisation. They are the first point of

contact if you have questions or need help.

This feature is accessible from ‘Setting’ on the top menu screen.



Integrating Audits with Attachments You can upload and attach documents to an Audit

This feature enables you to set up links and upload documents. Using these tools you are able to:

Build and preserve organisational knowledge about the Audit.

Store reports and results relating to the Audit.

Store proposals and cost records for outsourced audit work.

You will see the attachment number and its hyperlink in the table and you can now access it.

To upload a document to the RelianSys®:

1. Click on the ‘Add Attachment’ button

2. Add a description

3. If the file is in another server you can add the hyperlink (optional)

4. Choose you the file to upload and click on Save.



5. The attached file will appear on the table now.

.

6. To archive an attachment, check the attachment and click on the Archive red button.

Note: The file limit is 20MB per file.

To set up a link or URL:

1. Fill the name of the website or page in the Description field.

2. In the “Hyperlink” field fill the actual URL (ww.example.com)

3. Click on Save.



Tasks The Task feature enables you to raise actions related to a particular Audit. Tasks are used to ensure actions are taken to address issues of concern. They can also be raised in response to such things as audit findings, complaints, process issues, product problems, OHS, improvement initiatives, if you choose to use the Audit Module in this way as well as for audits, etc. The structure of the process ensures change management is conducted in a controlled manner.

The process is carried out in a number of stages. The way to do this is described below.

1. Create New Task

1. Click on the highlighted number in the Task column in the Audit List. From here you are able to view any existing Tasks raised against the particular Audit or raise a new Task by clicking ‘Create New Task’. When you create a new Task, the details including ‘Raised By’ and the ‘Raised Date’ will default automatically to the person who has logged on and today’s date will be applied.

2. Select the Origin of the Task from the drop down list.

3. Complete the ‘Description of Issue’ field, allocate the ‘Responsibility’ from the drop down list, and select the Task’s ‘Due Date’. This is the date by which it should be completed, and is normally decided on in consultation with the Responsible person.

4. Click 'Save'.

5. Send the Task to the Responsible person by clicking on the 'Send Email' button at the bottom of the page (optional). The recipient will receive the notification of the Task in an email with a hyperlink that takes them into that Task in RelianSys

® where they can view the details. If not logged on, this hyperlink will take them

to the log in screen. Once logged on the particular Task will automatically open.

Note that reminder emails are automatically sent to the Responsible person based on the Due Date.

2. Task Recipient - Investigation and Solution Stage

1. When the Responsible person receives the Task notification, they are able to start work on the Task issue. The progress and information is captured in the ‘Investigation & Improvement Plan’ field. This can be added to and amended over time. (Note there is a 500 character limit for this field.)

2. When the investigation is completed and the proposed solution is identified, the Responsible person passes the Task on to the person who will authorise the implementation. The person is selected from the 'Implementation Reviewed By' drop down list.

3. Click the ‘Task Complete and ready for review’ check box

4. Click Save

3. Change Authorisation Stage

1. Send the Task to the Authoriser by clicking on the 'Send Email' button at the bottom of the screen. The Authoriser will determine if follow up action is appropriate, and if so the date for follow up. You should decide how these roles will operate in your own circumstances, and write it into your internal procedures.

2. Responsibility for Implementation can stay with the original person, or be reallocated to a new person.

4. Implementation Stage

1. The Authoriser (who will be an Administrator or Super User) will then complete and save details of the follow up regarding the effectiveness of the corrective action taken, in the 'Implementation Record & Confirmation of Effectiveness' field.

2. Record the name of the Authorising person.

3. When follow up is complete click the ‘Close’ button. RelianSys® will then recognise that the Task has

been completed. The Task is now highlighted in yellow in the Task Report page. Once all Tasks that are raised for an Audit are closed, they are marked as ‘Completed’ in the top left corner of the Task Report screen.



Comments

Comments can be added to the Task at any time; for example to record the progress. They are included in reports.

Email reminders

Notifications are sent out on Monday mornings 2 weeks before the due date, 1 week before the due date and on the due date. Escalations are sent weekly once the Task is overdue by 14 days or more, and escalated if that option is set up.

Managers will receive an additional consolidated escalation email once per week showing any Tasks or Audits that their staff is a minimum of one week overdue in taking action on.

The only time other emails are received by staff is if a Task is raised for the first time and sent to a recipient.



GENERATING REPORTS The Reports menu contains all reports of the Audit status for your organisation. The table below provides an overview of the available reports, and their purpose.

Note - all reports will provide reliable information limited to the Registers to which the user retrieving the report has access. This is clearly shown in the Register selection drop down; non-accessible Registers are greyed out and not selectable.

AUDIT REPORTS SUMMARY TABLE

Report Name What you use it for

1. Audit Status Report (Overall)

A summary/overview report that allows you to see:

Number of Audits assigned/not assigned to Users

Audit Sign-off Status

Review Current Status

Selections can be based on Auditors (allocated or not allocated), single or multiple registers, and Audit Criteria.

2. Auditors Status Report A summary/overview report that allows you to create an Audit Profile by many Positions/ Users showing:

Number of Audits assigned/not assigned to Users

Audit Sign-off Status

Review Current Status

This is a useful report for a Manager to obtain the Audit profile for their department, or those who report to them. It is very useful for quickly monitoring Users activity in implementing or maintaining their compliance responsibilities.

3. Audit Profile by Register This report allows you to get the Audit profile of just one or many Registers at the same time, including how many Audits haven’t been allocated to an Auditor by Register.

4. Audit Current Report Search for Audits by Sign-off Status (Complies/Pending) and their Current Status (due/current, overdue, missed)

Search Audits not yet allocated a Responsible Auditor and filtering it by Responsible Person, date or Audit criteria.

5. Audit Current Report (history)

Same as Current (above)- but can select a historical date or date period

6. Audit Sign Off Report This report give a summary of all completed and pending audits

7. Audit Sign Off With Comments Report

Search for Audits by their latest “Status”: - Complete or Pending, and the comment when it was Signed Off.

The Audits can be filtered by: Audit Criteria, Auditor, Responsible Position and Tags.

8. Audit With Last Change Comments Report

This report returns the last transactional comment of Audits.

9. Audit With Administrative Notes Report

List all Administrative Notes in just one of one or many Registers.

10. Task Report Search for completed or uncompleted Task. And filtering it by Responsible Person and date



1. Audit Status Report (Overall)

The Audit Status Report (Overall) report enables you to build a total Audit overview.

The report provides you with three perspectives:

1. Audit Status Breakdown, with categories of Complete / Pending.

2. Due Status Breakdown, with categories of Planned / Overdue / Missed / Audit Cycle Set / No Due Date Set / Due Date Set.

3. Allocated Responsible Auditor Breakdown, with categories of Auditor Allocated / Not Yet Allocated.

The report structure is shown below:

The report can be tailored to provide information in combinations of:

Within a single Register or across multiple Registers

Specific or all Audit Criteria

Specific Auditor Responsible or all Responsible Auditors

Assessment Cycle Period, (ranging from weekly to five-yearly)

Any selected Current Due Date

Reports can also be exported to Word or Excel.

2. Auditors Status Report

This report provides the same information in the Audit Status Report (Overall) report, but grouped by Position. With this report you can generate the position profile of many Users in just one action. Its purpose is to quickly review the Audit performance of your Audit team.

The report includes the following fields:

Status Breakdown : Complete Pending

Due Status Breakdown

o Current

o Overdue

o Missed

o No Due Date Set

o No Assessment Cycle Required



3. Audit Profile by Register

This report uses the same structure as “Auditors Status Report" but the results are separated in rows by Register instead of Auditor. This report allows you to get the Audit profile of just one or many Registers at the same time.

4. Audit Current Report

The Audit Current Report enables you to obtain a summary report of the Sign Off information within a single Register or across multiple Registers; it is also possible to obtain this by Responsible Person and Assessment Cycle.

You can obtain the report for obligations within a single Register or across multiple Registers, by filtering for:

Audit Criteria

Assessment Cycle period (ranging from weekly to five-yearly)

Audit Sign-off Status (Complete / Pending / Not Yet Assessed)

Currency Status (due/current, overdue, missed)

Responsible Person

You can also select to include Audits allocated or not yet allocated to a Responsible Person, or the total of both. This is very useful in the implementation stage, when you may want to know how the deployment process is progressing. The report provides, for each Audit, the following information:

Responsible Person







5. Audit Current Report (history)

The Audit Current Report (history) enables you to obtain a summary report for a historical date of the Sign Off information within a single Register or across multiple Registers; it is also possible to obtain this by Responsible Person and Assessment Cycle.

You can obtain the report by filtering for:

Audit Criteria




Responsible Person

You can also select to include Obligations allocated or not yet allocated a Responsible Person, or the total of both. This is very useful in the implementation stage, when you may want to know how the deployment process is progressing. The report provides, for each Obligation, the following information:

Responsible Person


Last Compliance Sign-off Status



Last Sign Off Date


6. Audit Sign Off Report

This Report enables you to obtain a summary report of the Audit Registration Screen information within a single Register or across multiple Registers.

This enables a broad overview of the Audit information for your organisation.

The report shows the details of each individual obligation, and you can filter for:

Due dates

Responsible Person


7. Audit Sign Off With Comments Report

The Audit Sign Off with Comments Report enables you to obtain a summary report to keep track of the status of selected audits and includes the recorded comments and attached files at the moment it was signed off.

The report can be customised by: Register Audit Criteria Responsible person Responsible position Compliance status Tags.

In this report you have the option to limit the result of the last Sign Offs by a date interval; for example you could get the list of Audits completed during the last 3 months. This is very useful when auditing the audit system.

8. Audit With Last Change Comments Report

This report provides a highly flexible means of reviewing the last change comment for various selections of Audits criteria, including:



Register selections

Tags

Audit Criteria

Assessment cycle

User/Position

9. Audit With Administrative Notes Report

The Audit with Administrative Notes Report enables you to obtain a summary report to keep track of the Admin. Notes in the Audits.

The report can be generated by:

Register

Audit Criteria

Responsible person

Responsible position

Tags.

10. Task Report

The Task Report enables you to obtain a report showing the Task details. You can obtain the report for Audits within a single Register or across multiple Registers, by filtering for:

Responsibility

Completed or Uncompleted (which enables you to monitor progress)

Date range options.

The report provides the following information on Tasks

Reason for the Task

Date raised/date closed and number of days it has been open

Responsible Person


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