Audit & Assessment Manager

During the course of a year, the enterprise may be subject to multiple audits or assessments. For example, the organization may be audited by the internal audit group, external auditors, regulatory assessors, and SAS 70 auditors. Each assessment may focus on different sets of controls, but there will also be considerable overlap in assessment targets. Each assessment will involve significant information gathering, documentation review, and testing for the audit team as well as substantial manpower support from the audited organization, and every hour spent will be a direct cost to the audited organization.

ProcessUnity Audit & Assessment Manager provides tools to make audits and assessments quicker, less-painful, and cheaper. Four styles of assessment are supported: controls assessments, process assessments, IT systems assessments, and assessments directly against the provisions of a regulation or standard. Assessment support functions include:

• Customized definition of each assessment type in terms of phases and target dates
• Definition of assessment scope though check-off of target controls, processes, systems, or regulations
• Giving assessors a view into detailed information for in-scope items, and only for in-scope items
• Generation, tracking, and fulfillment of auditor document requests
• Definition, scheduling, and execution of tests within the assessment context
• Audit life-cycle management—including phase review and approval
• Management reports to show progress and results of individual assessments and to provide a perspective across all assessments