Auditing App
Situation:
A company required an efficient solution to manage its auditing processes, including extensive approval workflows and document submissions for review. The goal was to streamline internal procedures and provide external auditors with easy access to proof documents, ensuring compliance and facilitating audits.
Action
- Power Apps Interface Development:
- A Power Apps application was designed to serve as the central platform for the auditing process. The interface included features for uploading documents, submitting them for approval, and tracking their review status. Custom forms were created for users to input detailed information about each document, ensuring clarity and completeness.
- SharePoint Setup for Document Management:
- A SharePoint site was established as the backend document repository. Libraries were organized by document type and audit category, with metadata columns to capture specific information related to each document, such as submission date, review status, and approver comments.
- Automated Workflows with Power Automate:
- Power Automate was utilized to create automated workflows for the document approval process. These workflows included notifications to approvers when a new document was submitted, reminders for pending approvals, and alerts to submitters upon approval or request for additional information.
- A workflow was also developed to compile approved documents into a format easily accessible by external auditors, ensuring they had all necessary proof documents for their review.
- Role-Based Access Control:
- The app implemented role-based access controls to ensure that users only had access to the features and data relevant to their role in the audit process. This included separate views for submitters, approvers, and auditors, each tailored to their specific needs.
- Testing and User Training:
- The system underwent rigorous testing to ensure all features functioned correctly and the workflows operated smoothly. End-users, including those responsible for submitting documents and approvers, received training on how to use the app effectively.
- Deployment and External Auditor Access:
- Upon successful testing and training, the app was deployed for company-wide use. External auditors were provided with secure, read-only access to the SharePoint site containing the approved, audit-ready documents.
Results:
The deployment of the auditing app transformed the company’s audit preparation and compliance processes. Internal teams were able to submit documents efficiently, track their approval status in real-time, and receive timely feedback from approvers. The streamlined workflow significantly reduced the time and effort required to prepare for audits. External auditors praised the system for its organization and ease of access to proof documents, which facilitated their review process and improved the overall efficiency of the audit. The company benefited from a more organized, transparent, and effective auditing process, enhancing compliance and reducing the risk of audit findings.
Category
Sharepoint
Clients
SMBC
Location
Newyork
Completed
