audimexEE: audit software - the enterprise edition

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Features

audimexEE already provides in the default version all the functions that are typically required by internal audit departments.

Structuring of the audit objects

  • process or organisation oriented
  • matrix from organization and process
  • mixed forms with the inclusion of additional types of audit objects
  • multilevel hierarchy (superorder/suborder, dependencies, groupings)
  • categorisation by planable, structuring and informative audit universe elements
  • responsibilities (management, auditees, auditors)

Risk assessment

  • risk questionnaires covering different risk aspects
  • facility to provide several domain-specific risk catalogues
  • easy to complex formulae for computing risk values
  • traffic-light representation of risks
  • weighting
  • automatic integration of audit and master data, e.g. date of last audit
  • import of risk values out of other systems
  • automatic access to risk relevant KPI
  • history of risk assessments
  • XML-interface for exporting and importing risk catalogues

Annual planning

  • multi-stage planning process (long term planning, annual planning, audit scheduling)
  • planning perspective: audit objects / year
  • planning possibilities: risk-oriented, fixed schedule (mandatory audits), capacity-oriented
  • automatic planning suggestion
  • overview of audit object coverage
  • comparison of planned and free capacities
  • adjustment of proposed efforts
  • deferral of audits to the next year
  • department view possible
  • access restriction by audit universe area possible
  • capacity determination of auditors and audit units including uniform activities/deductions out of work time recording and resource planning
  • partnership audits for allocating efforts to other departments - configurable approval process available
  • configurable workflow including approval mechanism
  • documentation of the coordinated plan
  • versioning of long term plannung and annual planning
  • detailed planning of audits in a clear calendar view
  • calendar view and update
  • ad-hoc creation of special audits

Resource scheduling

  • arrange audit teams
  • daily based scheduling
  • time budget based (the auditor works x days during the audit period)
  • workload view for individual auditors
  • calendar showing staff availability
  • consideration of vacation, holidays and other absences (e.g. training)
  • filter by auditors skills
  • display of planning conflicts

Audit preparation

  • plan of procedures and determination of milestones
  • determination of audit content
  • determination of audit procedures and structuring as audit manual
  • definition of a concrete area of application for a standard audit manual (In this case a standard audit manual will apply only for a specific audit type and/or for a specific Audit Universe element.)
  • interface (Excel or XML) for import of checklists
  • responsibility assignment within audit team
  • usage of knowledge base
  • audit announcement according to customized MS Word© document template
  • bundled download of all documents related to an audit
  • future notes / audit ideas
  • follow-up audits of implemented measures

Performing of audits and reporting

  • documentation of audit procedures
  • classified audit procedures (e.g. numerical results)
  • evaluation and documentation of the results
  • evaluation and computation of numerical results
  • registration of findings and corrective measures (recommendations)
  • categorisation of the findings and allocation to its process in audit universe
  • standard findings
  • allocation of vital documentary evidence
  • referencing to other findings, audit procedures or documents for easy traceability of audit results
  • reviews - approval mechanism and coaching notes for audit manuals, audit procedures, findings and work papers
  • import of findings and recommendations created in a MS Word© document
  • determination of the responsibilities for respective recommendations
  • determination of individual resubmission dates and deadlines per recommendation
  • categorisation of the recommendations
  • recommendation allocation to affected organizational unit
  • generation of audit reports according to individual MS Word© document templates
  • generation of a quality check report in MS Word©
  • automatic insertion of text blocks (e.g legal basis, audit data, findings and recommendations)
  • insertion of pictures from the database and MS Word formatted text fragments
  • multilingual reporting texts
  • audit campaigns (e.g.: mystery shopping in retail, mass self audits or risk surveys)
  • involvement of the audited party in the audit field work

Documentation and filing system

  • consistent structuring of the filing system
  • configurable release process
  • A standard document mailing list can be defined for each document usage (document type, audit type, audit universe)
  • referencing of documents for easy traceable source of information; the document is opened via link
  • easy finding of documents
  • full text search
  • versioning for all types of attached documents
  • archiving with write protection

Time & expense capture

  • time recording per auditor per audit
  • time recording per auditor per audit phase (e.g. Planning, Field Work, Reporting, Follow Up)
  • vacation and absence management
  • recording and assessment of audit-related costs
  • freely definable currencies
  • freely definable payment types: Credit card, cash payment, etc.

Compliance

  • documentation of compliance – queries
  • documentation of compliance - cases
  • documentation of compliance – measures

Implementation documentation (optional integration of auditees)

  • online access for implementation-responsible audited units
  • freely configurable interaction process between auditor and auditee:
    • easy to use buttons for auditees to document status updates, apply for due date shifts or document implementation of corrective measures
    • easy to use buttons for auditors to accept or decline request, remind the auditee or reopen a corrective measure
  • hierarchical responsibility according to organizational unit
  • document access for auditees (approved documents only)
  • authorised auditees can upload evidence documents
  • delegation of measure responsibilities

Implementation tracking

  • overview of recommendation implementation
  • trackability of statements and postponement of deadlines
  • resubmission of due recommendations
  • monitoring of deadlines
  • history of deadline shifts
  • active status notification via email
  • active reminder notification via email
  • escalation: customizable traffic light for measures

Reporting and monitoring

  • in planning not considered audit objects
  • audit map (what was audited when?)
  • audit state, findings and recommendations by area
  • cross-audit completion status of recommendations
  • automatic generation of cross audit reports according to individual MS Word© document templates
  • comprehensive reporting
  • access to all data according athorisation
  • excel export
  • predefined default reports
  • geographic maps to show e.g. the accumulation of risks
  • integrated report generator
  • saving and publishing of predefined analyses
  • interface to common report tools (Crystal Reports and Jasper Reports)

KPI

  • free definition of KPI through the interface
  • calculation of KPI

Archiving

  • logical deletions of out-dated audit objects, resigned users and other master data
  • archiving process for audit plan not required anymore, old audits and other dynamic data
  • well-organized and especially secured archiving

Networked and independent work

  • high performance web architecture
  • offline work

Generic interfaces

  • several communication methods: web service, script access, interface
  • several data formats: XLSX, CSV, binary
  • monitored communication
  • predefined interfaces

Click here for a detailed comparison of both solutions: audimexEE - audimexSD