All upcoming and completed audits are listed within the "Manage Audits" sub-module
Here is the life cycle of a self-audit on Simplifya, from scheduling a self-audit to delegating items of non-compliance ("Action Items") to team members:
Step 1: Create the audit
To create a self-audit, visit the "Manage Audits" sub-module and click the "Create Self-Audit" button. Clicking that will take you to the "Create Audit" form where you will need to complete the following information:
- Select the Audit Type (What's the difference between a FULL Audit and a CATEGORY Audit?)
- Select the Location to be audited
- Select the Law Type(s) to audit
- Select the License(s) to be audited
- Select the Auditor
- Select a Due date (when you'd like the audit to be completed)
- Enter Notes (this is optional, but gives you the chance to relay any important messages to the assigned Auditor).
Upon completing the form and clicking the "Create Audit" button, the auditor will receive a notification that they've been assigned an audit.
Step 2: Conduct the audit
The assigned auditor can conduct the audit on a computer or using Simplifya's iOS app. The auditor can also conduct the audit in a browser on any brand of tablet, but will need to be connected to wi-fi.
If you're trying to decide whether to do an audit on a computer or using the iOS app, check out What are the benefits of using the Simplifya iOS app?
Conducting a self audit within the Simplifya iOS app
As they go throughout the audit, they'll answer the questions in one of three ways: "Yes", "No", or "Pending". In some states, a fourth option is available to indicate if the audited company has a waiver.
Note: "Yes" doesn't necessarily mean compliant and "No" doesn't automatically mean non-compliant. Our questions are written as needed to best represent the regulations they pertain to.
During the audit, the auditor can add notes and pictures to any question. Think of these as references for review later, or a way to provide proof of why a question was answered a certain way.
Once all questions have been answered, the auditor can click (or tap if using the iOS app) the "Complete Audit" button to move to the next step.
Step 3: Sync the audit (iOS app users)
For users conducting the audit using the iOS app, syncing the audit is how the audit data (questions, answers, photos, notes) is transferred from the iPhone/iPad to Simplifya's database.
Note: In order to sync your audit, you must be connected to the internet.
Once the audit has been synced, the next step is for the auditor to review the audit on a computer before finalizing it and generating an audit report.
Step 4: Review the audit
After clicking the "Complete Audit" button (and subsequently syncing the audit if using the iOS app), the audit will be in the "In Review" stage. This gives the auditor the chance to review (and change) their answers, add to their notes, and add more pictures. It's also a good opportunity to revisit any questions marked as "Pending."
To review the audit, the auditor must log into Simplifya on a computer and navigate to the "Manage Audits" sub-module. The audit will appear in the list of audits with a blue label.
|Tip: If you're having trouble identifying which audit is yours (and you don't remember the audit number), look at the "Due Date" for the audits in the list.|
During the "In Review" stage, we don't provide the compliance status of the question. That's on purpose, and to help maintain the most accurate answer (not the most compliant).
Note: Any user with access to an audit can review it. Also, there is no limit to the amount of time an audit can be "In Review".
Step 5: Finalize the audit
Once the auditor has finished reviewing the audit, the next step is to finalize the audit and generate the audit report. To do this, the auditor will click the blue "Finalize" button at the top of the audit. The auditor will then be prompted to select one of the Managers at the audited location to which all of the Action Items on the finalized audit will be assigned. The reason for this step is to make sure that someone is immediately responsible for fixing the areas of non-compliance that have been identified on this self-audit.
After selecting a Manager, click the "Finalize Audit" button. This will change the status of the audit to "Finalized" and generate the audit report, complete with compliance statuses ("Non-compliant" or "Compliant") and Action Items. The Manager is notified they've been assigned all of the Action Items, and they can re-assign each Action Item to other team members as needed and track remediation until all Action Items are resolved.
Note: Finalizing an audit is irreversible, so make absolutely sure you're ready to finalize it.
To dive deeper into what Action Items are and how to use them, read What are Action Items?
|Tip: We recommend someone from your business conduct a self audit once a month (for each location).|