Audits
Document and track with confidence.
Findings tracked from the day they are written through response, approval, and lock, with the whole exchange on the record.
One Place for Every Audit
Internal audits, third-party audits, exams, and the account and customer reviews you run on a schedule all use the same record. Audits are organized by group and type, so IT, BSA, and Lending each keep their own list.
Findings assigned to you sit in one list, and every open audit sits in another, with the past due ones and the ones waiting on approval a checkbox away. Each audit type keeps its own searchable list underneath, opened to a date range the type sets as its default.
- Findings assigned to you, in one list
- Past due and pending approvals
- Groups and types you define
- Search by date range and term
- A finding count on every audit
- Start a new audit in one dialog
The Audit Record
An audit holds its findings, its attachments, and the state of every one of them. The counts across the top say how many are past due, how many came back not approved, how many are approved, and how many nobody has answered yet.
Findings can be grouped by type, so an IT audit reads as hardware controls, network controls, and policies rather than as one long list. Documents attach to the audit as a whole or to a single finding. Locking finalizes the audit, and an administrator can unlock it if something has to change.
- Past due and approval counts
- Every count filters the list
- Group findings by type
- Attachments on the audit or finding
- Lock to finalize, unlock to amend
- Print the audit and its findings
Findings Keep Their Own History
A finding names what was found, who has to answer for it, what kind of exception it is, and when the answer is due. Finding types are yours to name. High, Medium, and Low for one audit, Policy, Regulatory, and Other for another, and each type can set its own default due date in business days so the date fills itself in.
Checklists break a finding into the steps it takes to close. Comments run alongside the formal responses for the working conversation that does not belong in the record of approval. Attachments hang off the finding itself, so the screenshot or the policy extract stays with the exception it explains.
Not every finding needs an answer. Leave the response requirement off and the finding is documented without opening a thread.
- Finding types you name yourself
- Default due dates in business days
- One or more users on each finding
- Checklists inside a finding
- Comments beside the responses
- Attachments on the finding
- Findings that need no response
Every finding answered for, and the whole exchange on the record.
- 1 Start Pick the type, the dates, and who approves.
- 2 Document Add findings, assign them, attach the evidence.
- 3 Respond Assigned users answer and send it back.
- 4 Approve Approved, or not approved with a reason.
- 5 Lock Finalize the audit, unlock only if needed.
Responses and Approvals
A finding assigned to someone shows up on their home page with a count beside it, so nobody has to go looking for their own work. They answer it in place, attach whatever backs the answer up, and send it back for approval.
Approvers work the same list. They approve, or mark it not approved with a reason, and it returns to the responder. Every pass is kept with the name and the date on it, so a finding that took four rounds to close still shows all four.
Email goes out ahead of the due date, a set number of business days in advance, and again once a finding is past due. It goes only to the users assigned to it who have audit notifications turned on.
- Pending responses on the home page
- Answer with attachments
- Send back for approval
- Not approved comes with a reason
- Every pass named and dated
- Email before a finding is past due
Audit Types Do the Setup Once
An audit type decides how its audits behave. Set it up once and everything started from it inherits the finding types, the default responsible and approving users, and the options, so a new quarterly audit takes a date and a name rather than a page of choices.
An audit type can tie its audits to an account or a customer. Those audits then appear on the record they belong to in CRM, and they can close themselves when the account closes. A Flex Form can be linked to a type as well, so the form collects the information while the audit tracks the exceptions found in it.
- Groups and types you define
- Default responders and approvers
- Tied to an account or customer
- Auto-close on a closed account
- Open for responses on day one
- Permissions by user or group
The Repeat Work, Already Done
An audit performed the same way every quarter does not need to be typed out again. Copy it and the findings come across to a new audit date, with the attachments too if you want them.
Findings can be reordered so the record reads in the same order as the report it came from. Every change to an audit is logged with who made it. All the attachments on an audit come down as a single ZIP, and when file names would collide, each finding gets its own folder inside it.
- Copy an audit and all its findings
- Carry the attachments over too
- Reorder to match the report
- A change log on every audit
- Every attachment as one ZIP
- A folder per finding, optionally
Reporting
Three audit reports cover the ground. One for audits generally, one for audits tied to an account, and one for audits tied to a customer. All three filter by date range, audit group and type, responsible user, and finding type.
Narrow to active or closed audits, to pending findings only, or to the findings actually completed inside the range. The account and customer reports add branch, market, and officer. Results group by audit or list flat, and everything exports to CSV, PDF, or a Meeting Package.
- Filter by audit group and type
- By responsible user
- By finding type
- Active or closed audits
- Pending findings only
- Completed in the date range
- Branch, market, and officer
Any Review You Run
Internal audits, third-party audits, exams, and the account and customer reviews on your calendar all track the same way in the same place.
Answered and Approved
Findings go out for a response and come back for approval as many times as it takes, with every pass kept, named, and dated.
Ready for the Examiner
Print an audit with its findings, export the reports, or send them straight to a Meeting Package.
Are you ready for a demo?
See BNControl for yourself. We'll show you the modules you're interested in and answer questions along the way.