The Risk & Compliance System allows for File Audit Question Sets to be reported on. The data will provide an analysis of the individual questions, so responses can be measured and frequent failures in process can be identified. This report will also provide managers with valuable data on the areas of the business require the most attention and will allow for remedial actions such as staff training and internal policy creation to be prioritised.
Navigate to the Reporting menu on the System Home Page and click File Audit from the drop-down list.
From the reporting dashboard, scroll down to the File Audit Questions Report.
Use the filters to select the reporting period, any specific departments or colleagues of interest, as well as any specific question set to analyse.
Leaving the fields in their default state will show results for the previous month for all question sets across all areas of the business.
Once the filters have been set, click Download Questions Report (XLSX) to download the Excel spreadsheet.
The spreadsheet breaks down the data into two formats.
The table on the left shows the questions in the question set and the number of responses for each available answer.
The chart on the right then plots these results to represent the data visually.
Each bar on the Stacked Bar Graph represents a question in the question set.
The bar itself is then segmented into 3 sections to represent the available answers for each question. These are ‘Yes’, ‘No’ and ‘N/A’ or ‘Unanswered’ if left blank during the audit.
As each question can be reported on in this way, it’s a useful way to identify areas of process failure. If we look at question 3 in the chart below, it is noticeable that there are a high number of ‘No’ responses for that question, suggesting that a process hasn’t been followed.
To identify the wording for question 3, navigate to the table to the right of the bar chart.
Question 3 in this example relates to the client’s address and identity not being requested.
This could suggest that there is a training gap and a need for a policy to be put in place.
Should you have any questions or need any support please contact the team at email@example.com or telephone 01206 322 575.