Audit & Compliance Management System :
Audit Management objective is to Audit as per the global compliance standards to ensure that practices are in compliance as per the set standards.
Functional Objective of the Application : Audit management system provides end to end process for performing the audit. In order to operate audit management system :
First admin (privileged user ) creates master data. – Privileged user is the user who got full rights of accesses rights assigned.
Client mapping to Location
• Audit Team (Group) – Create by using Groups.
• Audit Template (Scope)
Groups: In this section, users will be grouped under specific service support team. During the Audit planning section, a control can be assigned to a specific user or to a group of team. Either of them can submit artefacts with respect to the audit.
Audit planning: Identifying the Scope of work for Auditor Teams (Group) by selecting Auditor Teams & mapping them to Location , Client & Audit Scope.
in this stage, for Auditor team, we will assign location, client and scope and audit. After creating the master data, we should map them using “Audit planning” Section. So that as soon as we select Audit team all the master data details will appear which was mapped to it.
Audit Scheduler: Once the Audit scope is mapped to Audit Teams & clients and locations, Then, Auditee Teams will be mapped against each Control of the Audit Scope. Once all done, Audit will be scheduled by giving the date range : start date & end date. Now the user selects the “Frequency” to calculate the audit occurrences of dates between the given range. User can edit / add / delete the dates proposed by system. Once dates are finalized, user saves the dates against Audit. Which means the set audit will trigger as per the scheduled dates.
Audit process : In this stage it tells how the Audit should be performed, When the scheduled date reached the process will automatically triggers. Notifications informs respective Auditor & Auditee teams. Once triggered, respective mapped users gets a new open item pops out in the list in the dashboard. Once he clicks transactions page loads to enable him to respond with reference to each control & artefacts.
Tabular Grid (New / WIP / Close )
Audit process triggers : A table shows the tracker of each audit process.
OPEN: whenever the status is open it says that the stage process is not yet started and it is not completed
CLOSE: whenever the status is close it says that the stage process is completed.
WIP: whenever the status is in work in progress, it tells that the stage process is started and that user is working on his task
HOLD: whenever the status is on hold, it means that particular stage owner has kept that process in hold
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