What is an Audit Program? Audit programs manage the audit schedule by attaching auditees and criteria. There are four (4) components that make up an audit program:
Program Component |
Description |
Auditee |
Auditee is the entity to be audited. An auditee is a combination of one or more organization units, plant areas, processes or products. A primary contact must be available for each auditee. An auditee must be attached to the audit program in order to initiate an audit schedule.
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Criteria |
Criteria are records made up of the questions against which an auditee is audited. Criteria are organized into sections. Criteria must be attached to the audit program in order to initiate an audit schedule.
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Audit Type |
Audit Type used to categorize audits in a program. (e.g., Internal, Regulatory, Supplier, etc.).
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Audit Threshold |
The Audit Threshold is the time buffer before and after the next scheduled audit date.
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The time buffer default is defined in the audit program record. Audit programs must be created before initiating an audit, except in the case of an Ad hoc audit, and can have a status of either INWORKS before activation or CURRENT after activation.
Specific criteria and auditees define an audit program and can be attached at any time. After an auditee has been enrolled in an audit program, the auditee can be scheduled for an audit using the criteria defined in the audit program.
The following rights must be assigned to a user to manage or view audit programs:
Rights |
Description |
APG_CREATE |
Allows users to Create an Audit Program record.
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APG_DELETE |
Allows users to Delete an Audit Program record.
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APG_MANAGE |
Allows users to modify and manage existing Audit Programs that they own.
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APG_SUPERVISOR |
Allows user to Manage Audit Program record that any user Owns.
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APG_VIEW |
Allows user to View Audit Programs.
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SCH_MANAGE |
Allows users to Manage the Schedule in an Audit Program record.
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SCH_VIEW |
Allows users to View the Schedule in an Audit Program record.
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Please see the Admin Guide to assign Rights Groups to users.
· Global Programs will only be viewed and used within the global organization.
· Local Programs will only be viewed and used within that local organization.
SmartAuditTM Field |
Configuration Sample |
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Program Title |
Product Realization Process Audits.
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Auditees |
Auditee: Quality Control, Product Management, Project Management, & Engineering Departments.
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Criteria |
Product Realization Criteria.
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Frequency and Duration |
Frequency = 6 months. Duration = 1 day.
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Finding Approvers |
Level |
Role/Actor |
You must configure in… |
1 |
Lead Auditor |
No setup required. (Audit owner automatically added as approver in every audit record created).
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2 |
Auditee Contact |
Setup under Program Detail.
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3 |
Auditee Contact’s MGR |
Setup under Approval folder or auditee specific approval folder.
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4 |
Audit Team |
Setup under Audit Team Member folder.
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Response Approvers |
Level |
Role/Actor |
You must configure in… |
1 |
Lead Auditor |
No setup required.
(Audit owner automatically added as approver in every audit record created).
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2 |
Auditee Contact’s MGR |
Setup under Approval folder or auditee specific approval folder.
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1. From the Smart Solutions tab on the Portal Page, select SmartAudit > Create Audit Program.
2. Enter information in the Audit Program fields:
Field |
Description |
Program No. |
Enter the Program No.
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NOTE: It may be important to standardize how you number audit programs.
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Title |
Enter the Title.
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Audit Type |
Select the audit type from the drop down list.
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Advance Notice Time |
Select the Advance Notice Time. Advance Notice Time will put the audit on the schedule prior to the next audit date.
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Include Auditee as Finding Approver |
Check off the Include Auditee as Finding Approver checkbox if applicable.
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Finding Level |
Identify a finding level, if applicable.
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Include Auditee as Response Approver |
Check off the Include Auditee as Response Approver check box, if applicable.
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NOTE: The Auditee Primary Contact will be listed as a finding and or response approver in the audit at the level you identify in the program.
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Respondent Level |
Identify a respondent level, if applicable.
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Required Response Time |
Enter a Required Response Time, if applicable.
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Comment |
Enter a Comment.
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Add Another |
Click this check box to add another audit program.
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3. Click the Save button.
The Audit Program record has been saved to the database and can now be accessed by the user who created the program (Program Owner) under the Things To Do List – Items Under My Ownership – Audit Program.
The following options are available within the Audit Program and can be managed accordingly by the program owner:
· Owner role and owner actor can be changed at anytime in the Audit Program.
· Audit Programs can be edited and deleted from the system if needed.
· Audit schedules are initiated after at least one auditee and one criteria record is attached to the Audit Program.
· Audit team members and approvers can be attached to scheduled audits using the Audit Program.
An audit program owner can be changed to allow another actor/role to own the audit program until the audit program is closed. Only the actor with the audit program supervisor right can change the audit program owner and role.
1. From the SmartSolve Legacy Portal dashboard on the Portal Page, select Items Under My Ownership > Audit Program.
2. To change the owner, select the Program No. link of the audit program to change.
3. Select Action > Change Owner from the main menu.
4. In the Owner field, zoom to select a new Actor to own the audit program.
5. Click the Save button.
The new owner has now been added to the audit program.
The audit program owner role can be changed by an actor with the Audit Program Supervisor right until the audit program is in CLOSED status. The owner selected must be assigned the role in the actor record or an error message displays.
1. From the SmartSolve Legacy Portal dashboard on the Portal Page, select Items Under My Ownership > Audit Program.
2. To change the role, select the Program No. link of the audit program to change.
3. Select Action > Change Role from the main menu.
4. From the Owner Role field, zoom to select a new role for the audit program.
5. Click the Save button.
The new role has now been added to the Audit Program.
1. From the SmartSolve Legacy Portal dashboard on the Portal Page, select Items Under My Ownership > Audit Program.
2. Select the Program No. link of the audit program to change.
3. Select Action > Edit from the main menu.
4. Make appropriate changes to the program record.
5. Click the Save button.
The changes have now been added to the Audit Program.
1. From the SmartSolve Legacy Portal dashboard on the Portal Page, select Items Under My Ownership > Audit Program.
2. Select the Program No. link of the audit program.
3. Select the Attachments folder from the Audit Program tree
4. Select Action > Add from the main menu.
5. Enter the Description of the attachment.
6. Click the Browse button and locate and select the file to attach to the program.
7. Click the Save button.
The file is now attached to the program.
1. From the SmartSolve Legacy Portal dashboard on the Portal Page, select Items Under My Ownership > Audit Program.
2. Select the Program No. link of the audit program.
3. Select Action > Delete from the main menu.
4. Select Ok to confirm deletion.
5. Click the Save button.
The Audit Program has now been deleted.
It is important to remember that audit schedule is initiated when at least one auditee and one criteria record is attached to the Audit Program.
1. From the Audit Program, select the Auditees folder.
2. Select Action > Add from the main menu.
3. Zoom from the Auditee field and select all auditees to be tied to this Program.
4. Click the Save button.
5. Click the Refresh link from the Audit Program tree.
You will see all auditees attached to this program.
1. From the Audit Program, select the Criteria folder.
2. Select Action > Add from the main menu.
3. Zoom from the Criteria No. field and select the Criteria to be tied to this Program.
4. Click the Save button.
5. Click the Refresh link from the Audit Program tree.
You see all criteria attached to this program. Also, a new schedule has been created and can be viewed by selecting the Schedules folder.
Audit Programs are also managed by program status. The following Program Statuses are used in the system:
Program Status |
Description |
INWORKS |
An Audit Program with an INWORKS status is also considered to be "turned off" and no scheduled audits listed in the program need to be performed at this time. Audit Programs that have since been activated can also be inactivated at anytime. Please see How to Deactivate a Program.
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CURRENT |
When an Audit Program is activated, it becomes CURRENT, also, all audits listed under the schedules folder are now SCHEDULED. Please see How to Activate a Program.
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CLOSED |
Audit Programs can only be closed if they are still INWORKS, or if they are CURRENT and all schedules have been CLOSED in the program. Please see How to Close a Program.
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An Audit Program is activated to generate audit schedules necessary for creating and performing the audit(s). When at least one auditee and one criteria record are added to the Audit Program then the audit program can be activated.
1. From the SmartSolve Legacy Portal dashboard on the Portal Page, select Items Under My Ownership > Audit Program.
2. Select the Program No. link of the audit program to activate.
3. Select Action > Activate from the main menu.
4. Click the Ok button to confirm activation.
The program status now displays as CURRENT.
An Audit Program is deactivated to prevent any audits scheduled in the Audit Program from being performed.
1. From the SmartSolve Legacy Portal dashboard on the Portal Page, select Items Under My Ownership > Audit Program.
2. Select the Program No. link of the audit program to deactivate.
3. Select Action > Deactivate from the main menu.
4. Click the Ok button to confirm deactivation.
The program status now displays as INWORKS.
Audit Programs can be closed once all scheduled audits have been performed and are closed or if the audit program is INWORKS.
NOTE: Once an Audit Program is closed, it cannot be reopened to perform any scheduled audits. |
1. From the SmartSolve Legacy Portal dashboard on the Portal Page, select Items Under My Ownership > Audit Program.
2. Select the Program No. link of the audit program to close.
3. Select Action > Close from the main menu.
4. Click the Ok button to confirm closure.
The program status now displays as CLOSED.
Audit schedules are auto-generated in an audit program when at least one criteria and one Auditee exist in an audit program. The Schedule folder displays the following information:
· Criteria being used to audit the auditee
· The auditee,
· The last date an audit occurred
· The next scheduled date for an audit
Schedules are managed by changing schedule status. The following schedule statuses are used in the system:
Schedule Status |
Description |
INACTIVE |
A schedule with an INACTIVE status is also considered to be "turned off" and does not need to be performed at this time. When an audit program is activated and becomes CURRENT, the schedule status will change to SCHEDULED. Schedules that have been activated can also be inactivated individually. Please see How to Inactivate an Audit Schedule.
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SCHEDULED |
Once the audit program is activated and displays a CURRENT status, then any schedules are also activated and the Schedule Status field displays SCHEDULED. These scheduled audits can then be created.
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CONFIRMED |
If the Schedule Status field indicates CONFIRMED, then the audit team and schedule have been confirmed and audit can now be created and performed. Please see How to Confirm an Audit Schedule.
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INPROCESS |
If the Schedule Status field indicates INPROCESS, then an audit is currently underway.
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CLOSED |
Once the audit has been performed and CLOSED, the audit program Schedule Status field displays CLOSED. This happens only if no audit frequency is configured (one-time Audit).
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Modifying the Schedule
The following information can be edited within the schedule:
· Lead auditor information
· Contact information
· Next user date
· Audit frequency
· Duration
· Advance notice time
· Comments
The audit frequency option allows the user to schedule recurring audits within the system. By defining the advance notice time, the lead auditor will receive prior notice, through an e-mail notification and through the Things To Do list, that the audit needs to be scheduled.
1. From the Audit Program, select the Schedules folder.
2. Select the check box of the Schedule to edit, then select Action > Edit from the main menu.
3. Edit any information for your Schedule.
4. Click the Save button.
All changes are reflected in the schedule.
If needed, the same Auditee can be added to the Schedule using same Criteria, but different Schedules with different Auditors, etc.
1. From the Audit Program, select the Schedules folder.
2. Select Action > Plan from the main menu.
All Schedules open up within the program.
3. Add or Edit any information for your Schedule. You can add the same Auditee, or same Criteria more than once over and over again.
4. Click the Save button.
All changes are reflected in the schedule.
An individual audit schedule can be activated in an Audit Program which has a CURRENT program status. This transaction usually takes place when a new schedule is attached to a program that already exists.
1. From the Audit Program, select the Schedules folder.
2. Click the check box of the Schedule to edit, then select Action > Activate from the main menu.
3. Click the Ok button to confirm activation.
The schedule status now displays as SCHEDULED.
An individual audit schedule can be deactivated in an Audit Program which has a CURRENT program status. This transaction usually takes place when a schedule is attached that no longer needs to be performed.
1. From the Audit Program, select the Schedules folder.
2. Select the check box of the Schedule to edit, then select Action > Deactivate from the main menu.
3. Click the Ok button to confirm Deactivation.
The schedule status now displays as INACTIVE.
When a schedule is verified, the auditee's policy is evaluated to verify if all team members identified can take part in this audit. If conflicts exist, then a list of schedules for the auditee(s) and auditors displays. Only SCHEDULED audits can be verified.
1. From the Audit Program, select the Schedule folder.
2. Select the check box of the Schedule to edit, then select Action > Verify Schedule from the main menu.
All, if any, conflicting schedules for the auditee and auditor display.
3. Click the Cancel button to exit this window and return to the Audit Program.
Schedule confirmation checks for conflicts between auditors and auditees identified by the generated schedule. The auditee policy, if it exists, is checked during the confirmation process to assign a primary contact for the auditee. If any conflicts exist, a list of schedules for the auditee(s) and auditors displays.
When a schedule is confirmed the audit program's Schedule Status field displays CONFIRMED to indicate that the schedule has been checked for conflicts on behalf of both the auditor and the auditee.
If a schedule has already been confirmed and needs to be changed, the lead auditor or audit program owner edits the schedule. The information is updated, however, the schedule status remains CONFIRMED. To confirm the audit schedule:
1. From the Audit Program, select the Schedule folder.
2. Select the check box of the Schedule to edit, then select Action > Confirm from the main menu.
3. Zoom from the calendar icon and select the Next User Date (if applicable).
4. Click the Internal Team button to view the audit team members performing the audit.
Please see How to Add Internal Team Members.
4. Click the Save button.
The schedule status now displays as CONFIRMED.
If conflicts exist, the auditor's conflict(s) information displays.
5. Click the Confirm button to accept the conflict and confirm the schedule.
The schedule status now displays as CONFIRMED
6. Click the Cancel button to cancel the schedule confirmation.
When the Schedule Status field displays SCHEDULED, the audit can if needed, be created from the Program Schedule folder.
1. From the Audit Program, select the Schedule folder.
2. Select the check box of the Schedule of the audit to create, then select Action > Create Audit from the main menu.
The creation window displays.
3. Enter information in the Schedule window fields:
Field |
Description |
Title |
The field displays the program title along with the auditee code. (i.e., Product Realization Process Audit - RD – QC).
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Comment |
Enter the audit comment.
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Begin Date |
Enter the begin date for the audit.
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NOTE: this field can later be modified if needed.
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End Date |
Enter the end date for the audit.
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NOTE: this field can later be modified if needed.
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Duration |
Enter a numeric amount for the length of time the audit is to and select an interval from the drop down list to the right (if applicable).
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Required Response Time |
Enter a numeric amount for the length of time allowed for an assignee to respond. Select an interval from the drop down list to the right (if applicable).
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Auditee Code |
Zoom to select an auditee (if applicable).
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Contact Role |
Zoom to select the role of the contact (if applicable).
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Contact |
Zoom to select the auditee primary contact (if applicable).
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NOTE: This actor will later show up as the exception owner for any findings requiring action in this audit.
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Follow-up To Audit No. |
Zoom to select the audit to which this audit is a follow-up (if applicable).
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Criteria No. |
Zoom to select a Criteria (if applicable).
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Audit Type |
Select an audit type from the drop down list (if applicable).
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Result Type |
Select a result type from the drop down list.
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4. Click the Save button.
If the audit is created successfully, the Audit window appears.
The Schedule Status field in the program changes to INPROCESS.
Please see Performing Audits for more information on how to manage the audit record.
1. From the Audit Program, select the Schedule folder.
2. Select the Audit No. link from the schedule to view any INPROCESS audits.
The Audit Program window will display in the background of the audit record you are viewing.
Audit team members can be setup and managed in the Audit Program under the Schedules folder. Audit team members setup in the Audit Program will later transfer into the internal and external audit team folders of scheduled audit records.
Internal Team Members
The internal team members associated with an audit schedule are all of the auditors assigned to perform an audit. Internal team members added to a given schedule can also approve findings and response (Action Plans) for an audit if assigned the appropriate role and rights. The Audit Program must be in INWORKS status to add team members.
1. From the Audit Program, select the Schedule folder.
2. To setup the schedule for the team, select the (...) link for the schedule.
The Schedule Detail window displays.
3. Select the Internal Team tab.
The Lead Auditor (Audit Program Owner) displays in the Member Type list.
4. Select Action > Add from the main menu.
5. Select a Member Type (only one Lead Auditor can be assigned to the Audit).
6. Zoom from the Auditor field and select an auditor.
7. Add other team members as needed.
8. Click the Save button.
The new members have now been added to the internal audit team.
External Team Members
In most cases, the External Team Members associated with an Audit Schedule are assigned to participate in the Audit for notification purposes only. The External Team is comprised of contact(s) for the Auditee's area or Organization (i.e., Supplier, Client or Department). External Team Members can be added, edited or deleted from a given Audit Schedule before the Audit is in an INPROCESS status.
1. From the Audit Program, select the Schedule folder.
2. To setup the schedule for the team, select the (...) link.
The Schedule Detail window displays.
3. Select the External Team tab.
4. Select Action > Add from the main menu.
5. Enter external team member information as needed.
6. Add other team members as needed.
7. Click the Save button.
The new members have now been added to the External Audit Team.
Setting up approvals ahead of time for scheduled audits from the audit program will help audit team members to standardize who is involved in audit approvals from an auditee and auditor’s perspective. The following audit approvals can be configured for scheduled audits from the Audit Program:
Review Type |
Description |
FINDINGS REVIEW |
The Findings Review is similar to the Exit Meeting of the audit. It is used when a group of signatures needs to be captured after all findings have been documented by the auditor during the audit. This review is performed to seal an agreement between the auditor and auditee that these findings have in fact been verified by both parties. Finding Review as it is displayed in audit record tree. This is an optional review. Please see Audit Review Model to remove this review type from your audit workflow if you do not need to use this review. |
RESPONSE REVIEW |
The Response Review (commonly referred to as Action Plan Approval) is a review that only needs to take place in the audit record if findings occur during the audit that may require the auditee to identify action plans. Results cannot be assigned to an audit record by the auditor until after Response Review has been completed if findings require further action. Response Review as displayed in the audit record tree. |
Before configuring approvals in the Audit Program, it is important to identify your approvers by program. Please see the Example Program Matrix.
It is also important to understand the various approval options available within the program and how they work:
Approval Roles |
Where to Configure in Program |
Lead Auditor |
The lead auditor will automatically display in every scheduled or adhoc audit as a Level 1 Approver; therefore, no setup is needed in the program for this actor.
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All Audit Team Members |
Team Approval Model folder Any team members listed under the Internal Team tab of the scheduled audit will be applied as approvers to any audits scheduled to be performed within this program.
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Auditee Primary Contact |
Create Program or Program Edit If you need the Auditee Primary Contact to display as a finding and/or response approver, you must setup this option either when creating new programs or by editing the existing program.
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Any other Approvers needed |
Any actors needed for approvers of findings and/or response approval can be configured in the following folders based on business requirements: Auditee Approval folder These are approvers who will be applied only to audits scheduled to be performed against this specific auditee.
Criteria Approval folder These are approvers who will be applied only to audits scheduled to be performed against this specific criteria.
Approvers folder These are approvers who will be applied to any audits scheduled to be performed within this program. |
1. From the Audit Program, click the Refresh link in the tree if needed to expand the Auditees folder.
2. Select the Approvers folder under the specific Auditee.
3. Select Action > Add from the main menu.
4. Enter information in the following fields:
Field |
Description |
Level |
Enter an approver level.
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Role |
Zoom and select the approver.
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Actor |
Zoom and select the approver.
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Approver Type |
Select the approver type from the drop down list.
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Substitute Option |
Select a substitute option from the drop down list, if applicable.
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Required |
Click this check box to make this approver required in the audit record. The audit owner will not be able to delete this approver.
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Add Another |
Click this check box to add additional approvers.
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5. Click the Save button.
1. From the Audit Program, click the Refresh link in the tree if needed to expand the Criteria folder.
2. Select the Approvers folder under the specific Criteria.
3. Select Action > Add from the main menu.
4. Enter Approver Level.
5. Zoom from the Role and Actor fields and select the Approver.
6. Select Approver Type.
7. Click the Save button. (Add other approvers as needed.)
1. From the Audit Program, select the Approvers folder from the tree.
2. Select Action > Add from the main menu.
3. Enter Approver Level.
4. Zoom from the Role and Actor fields and select the Approver.
5. Select Approver Type.
6. Click the Save button. (Add other approvers as needed.).
1. From the Audit Program, select the Approvers folder from the tree.
2. Select Action > Add from the main menu.
3. Select Member Type.
4. Select Approver Type and enter Level.
5. Click the Save button. (Add other approvers as needed.).