Audit Management Overview

8/10/2019 Audit Management Overview

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Audit Management Overview

You can process audit components (for example, Audit Plan, Audit, Question List, Corrective/preventive Actions) in this application.

What do you want to do?

Process an audit component (open existing audit component, create new audit component,cut selected audit component, copy selected audit component, include audit componentthat is in the clipboard, delete selected audit component, search for existing auditcomponent)

Process an audit

Process a question list for an audit

Execute an audit

Perform audit planning

Process an audit plan

Process a question list (master data)

Perform an audit evaluation Process corrective/preventive actions

Confirm and trace actions

Assign documents to an audit component

Process your worklist and your template list for audit components

Solutions for Problems

Problem Proposed Solution

One of the following problems occurred whenyou were calling up the print preview for anaudit component:

A screen appears where you have toenter a printer

The error message "Error reading datafor XY" is output

The error message "Error formattingdata for XY" is output

A blank page is displayed in the printpreview

Check that a printer has been specified

in the user master record. Check that Adobe Acrobat is installed

on your PC.

You cannot switch from the audit plan tographical time scheduling (Microsoft Project)

Check that Microsoft Project ’98 orMicrosoft Project 2000 is installedlocally on your PC.

Check that the SAPGUI ComponentCRM-ADDON is installed on your PC.

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You cannot start up Microsoft Excel to performevaluations

Check that Microsoft Excel is installed locally onyour PC.

Descriptions/notes that were loaded as localfiles, contain special indicators that are not partof the text

You have loaded text files that contain controlindicators (for example, Microsoft Word files).These control indicators are interpreted as textby the system and output. You should,therefore, only load pure text files (ASCII files).

Texts/descriptions that are downloaded fromthe system are not formatted

Texts/descriptions can only be downloadedfrom the system in pure text format.

An object cannot be moved to the desired placein the navigation structure

Switch to change mode, since it is onlypossible to move objects that areloaded in change mode in thenavigation structure.

Check whether or not you have theauthorization to change the object.

Check whether or not the status of theobject allows changes to be made.

Insert the object that you want to movedirectly below the superior node.

Processing Audit Components

Use

To execute an audit, you need various audit components (audit plan [optional], question list [optional], audit, corrective/preventive actions). Using audit management, you can execute variousprocessing functions from one interface.

Procedure

1. Choose SAP Menu Service Audit Management Audit Management .

The Audit Management initial screen appears.

2. Proceed as follows:

If you want to... ChooseChoose...

Additional information

Create a new auditcomponent,

Select the category of audit component that youwish to create. You can simplify the process ofcreating a new audit component by using atemplate.













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Depending on the hierarchy level you arecurrently working in (for example, auditplan, audit), you can create different audit

components. If you create new auditcomponents, these are assigned (at thenext level) to the selected audit component(hierarchy level).

You can also create a new auditcomponent by clicking the right mousebutton in the navigation area and thenselecting the required audit componentcategory.

Cut a selected auditcomponent,

If you choose this function, the selected auditcomponent will be cut and copied to the clipboard.

Using , you can then reinsert this auditcomponent at any desired point in the navigationstructure.

It is also possible to delete a selected auditcomponent by clicking the right mouse button andchoosing Delete.

Copy a selected auditcomponent,

If you choose this function, the selected audit

component is copied to the clipboard. Using ,

you can then reinsert this audit component at anydesired point in the navigation structure.

Include the auditcomponent that is stored inthe clipboard,

If you choose this function, the audit componentthat is in the clipboard will be included in thenavigation structure at the point where the cursor iscurrently positioned.

Include a selected auditcomponent in the worklist,

Delete a selected auditcomponent,

If you choose this function, the selectedcomponent will be deleted.

Search for an existing auditcomponent,

or In the dialog box that appears, you can enter asearch term for the audit component.

Select Identification, if the system is to search forthe search term in the Identification field. Ifnecessary, use the input help.



Select Description, if the system is to search forthe search term in the Description field. Ifnecessary, use the input help.

Choose Continue to start the search.

Expand the displayednavigation structure,

Collapse the displayednavigation structure,

Show or hide the navigationarea,

Open an existing auditcomponent,

In the dialog box that appears, you can enter thedescription of the audit component to be opened.You can use the input help to make a selection.

Choose if you only want to open the auditcomponent.

Choose if you only want to include the auditcomponent in your worklist.

Choose And Open, if you want to include theaudit component in your worklist and also open it.

Now you can make the required changes to theaudit component.

Close an existing auditcomponent,

The system closes the associated auditcomponent, that is, the one on the very left in thehierarchy.

Call up the auditcomponent last processed,

Call up the next auditcomponent,

This function is only active if you have previously

used the function .

Change from change todisplay mode or vice versa,

When you attempt to change the mode anauthorization check is run. If you do not have the

authorization to change an audit component, anerror message appears.

Call up graphical timescheduling (MicrosoftProject),

You can only call up graphical time scheduling ifyou are currently displaying or processing an auditplan.

A connection to Microsoft Project has beenimplemented for graphical time scheduling. To be



able to use this connection, you must haveMicrosoft Project installed on your PC.

Search for auditcomponents in the system,

AuditComponents

You can also use this function if you want to exportaudit components to Microsoft Excel, for example,to perform evaluations.

Display the hidden worklist,

Change the user-specificsettings,

Call up the help text for aselected audit component,

3. In the header area on the right, enter a unique key and a description for the auditcomponent.

In the header area, you will find generic services allowing you to add ahyperlink as an attachment, to enter a personal note, to send the auditcomponent with a note, or to display the usage of the audit component.

4. Enter the required data on the tab pages.5. On the Texts tab page, you can create notes and/or a description. All of the usual editor

functions are available. In addition, you can load local files or save texts you have enteredas local files.

If you load files that contain control indicators (for example, Microsoft Wordfiles), then these control indicators are interpreted as texts by the systemand are displayed as such. You should, therefore, only load pure text files(ASCII files).

Texts that have been entered can only be saved locally as pure text files.

6. In the navigation structure, choose one of the functions described above if you wantto:Create an additional, new audit componentCreate an additional audit component basedon an audit component that is already available in the systemOpen another auditcomponentCut, copy, or delete a selected audit componentInclude the audit component

that is in the clipboard at the current cursor position in the navigation structure7. Click the right mouse button and choose Create Create Document ... or Create Import

Document ... to assign documents to a selected audit component.8. Save your data.







Process Audit

Use

The audit contains all of the data required for the execution and valuation of an audit. An audit can

be created and executed in relation to an audit plan or it can be created an executed directly in thesystem (unplanned).

Procedure



2. To create a new audit, click the right mouse button in the navigation area and choose New

Audit. If you want to create a new audit on the basis of an audit that already exists in the

system, click the right mouse button in the navigation area and choose New Audit Using

Template.

If you create your audit in this way, you can later assign it to an audit plan using Drag&Drop.

It is also possible to create an audit directly from an audit plan. To do this,you need to select the desired audit plan in the navigation area, click the

right mouse button, and choose Create Audit or Create Audit UsingTemplate. You can also select the desired audit plan in the navigation area

and choose Audit or Audit Using Template.

If an audit is assigned to an audit plan, changes (for example, date shifts)that you make in the audit overview in the audit plan are also changed inthe audit data record and in the Microsoft Project data related to the audit.

3. In the header area on the right, enter a unique key, a description, and the requiredlanguage for the audit.

4. Enter the required data on the tab pages.5. On the Texts tab page, you can create notes and/or a description and/or the audit location.

All of the usual editor functions are available. In addition, you can load local files or savetexts you have entered as local files.









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6. If you want to assign documents to the current audit, select the audit in the navigation area,click the right mouse button, and choose:

o Create Create Document…, if you want to create a new document for the audit.

o Create Import Document…, if you want to assign an existing document to theaudit.

On one screen, you can enter the title of the document and the documentattributes.

7. In the navigation area, choose:

o Assign Question List , if you want to assign a released question list to the audit.

The system copies the question list that was selected as the template intothe current audit. In this question list, you can change questions, createnew questions, or delete existing questions.

It is also possible to create or assign a question list directly from the audit.To do this, select the required audit in the navigation area, click the right

mouse button, and choose Create Assign Question List, or Create

Audit Question List/Question, or Create Audit Question List/QuestionUsing Template.

o Audit Question List/Question, if you want to create a new audit question list oraudit question for the audit.

o Audit Question List/Question Using Template…, if you want to create a newaudit question list or audit question on the basis of an audit question list or audit

question that already exists in the system.

8. In the right screen area, enter the required data for the audit question list on the tab pages.9. If you want to assign documents to the current audit question list, select the audit question

list in the navigation area, click the right mouse button, and choose:

o Create Create Document…, if you want to create a new document for the auditquestion list.

o Create Import Document…, if you want to assign an existing document to theaudit question list.

On one screen, you can enter the title of the document and the document

attributes.

10. Save the audit.

Result

You have created an audit that can contain one or more audit question lists. In the navigation bar,

audits are indicated by the icon , audit question lists by the icon , subordinate hierarchy levels

















in an audit question list (for example, element or question) by the icon , and assigned documents

by the icon .

If you choose the pushbutton Print Preview in the right screen area, thesystem displays the data of the current audit as a print preview. You can

print this preview ( Form for Audit pushbutton), you can assign it to the

current audit as a PDF document ( PDF Attachment pushbutton), or youcan send it in the form of a PDF document in a mail to all business partners

( PDF Attachment pushbutton. You can also use your own forms.

If you choose the pushbutton Overview in the right screen area, thesystem displays all corrective/preventive actions related to the currentaudit.

If you choose the pushbutton Overview in the right screen area, thesystem displays all questions for the current audit.

It is always possible to change an existing audit. To do this, double-click onthe audit in the navigation area and then make the required changes.

To delete an audit, select the required audit in the navigation area, click theright mouse button, and then choose Delete.

Process Audit Question List

Use

An audit question list is required for the execution of an audit. The lead auditor , who is responsiblefor the execution of the audit, uses a template (for example, standardized catalog of questions,company-specific catalog of questions, predefined list of questions) to create an audit question listfor the audit. Alternatively, he/she can create a new audit question list or new questions for anexisting audit question list.

Prerequisites

The audit has been created.

If you want to assign a question list, it must be available in the system and released.

Procedure












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2. In the navigation area or the worklist, select the audit for which you want to create an auditquestion list.

3. In the navigation area, choose:

o Audit Question List/Question, if you want to create a new audit question list forthe existing audit.

o Audit Question List/Question Using Template…, if you want to create a newaudit question list on the basis of a question list that already exists in the system.

o Assign Question List , if you want to assign an existing question list.

The system copies the question list that was selected as the template intothe current audit. In this question list, you can change questions, createnew questions, or delete existing questions.

It is also possible to create or assign a question list directly from the audit.To do this, select the required audit in the navigation area, click the right

mouse button, and choose Create Assign Question List, or Create Audit Question List/Question, or Create Audit Question List/QuestionUsing Template.

4. In the header area on the right, enter a unique key, a description, and the requiredlanguage for the audit question list.

5. Enter the required data on the tab pages.6. On the Texts tab page, you can create notes and/or a description. All of the usual editor




7. If you want to assign documents to the current audit question list, select the audit questionlist in the navigation area, click the right mouse button, and choose:

o Create Create Document…, if you want to create a new document for the audit

question list.o Create Import Document…, if you want to assign an existing document to the

audit question list.

On one screen, you can enter the title of the document and the document attributes.

8. In the navigation area, choose Element , if you want to create a new element, or choose

Element Using Template... if you want to create an element on the basis of an elementthat already exists in the system.







Choose Question, if you want to create a new question, or choose QuestionUsing Template..., if you want to create a question on the basis of a question thatalready exists in the system.

Depending on the specifications made in Customizing, the description ofthe subordinate hierarchy levels (in the case described above "element" or"question") in the question list can vary.

9. In the right screen area, enter the required data for the subordinate hierarchy levels on thetab pages.

The field description for the identification is the dependent on thespecifications made in Customizing (for example, element or question). In

addition, the field (required field) for the hierarchy profile is only availablefor input at the highest hierarchy level (question list).

10. Assign a possible valuation for each question.

When the data is released, the system checks the valuation and outputs an errormessage if a value is not allowed.

11. If you want to assign documents to the one of the hierarchy levels (for example, element,question), select the required hierarchy level in the navigation area, click the right mousebutton, and choose:

o Create Create Document…, if you want to create a new document.

o Create Import Document…, if you want to assign an existing document.


12. Save the audit question list.

Result

You have created an audit question list that consists of one or more hierarchy levels. In the

navigation bar, the audit question list is indicated with the icon , the subordinate hierarchy levels

with the icon , and the assigned documents with the icon .

If you choose the pushbutton Valuate in the right screen area, you can record and confirm auditresults for audits that have been released.

You can change an existing audit question list or a subordinate hierarchy level at any time. To dothis, double-click on the object in the navigation area and then make the required changes.

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To delete an existing audit question list or a subordinate hierarchy level, select the object in thenavigation area, click the right mouse button, and choose Delete.

Audit Management

Purpose

Used to process and manage audit components used during audit processing. You can:

Create, process, and manage audit plans

Create, process, and manage question lists

Create, process, and manage audits

Create, process, and manage corrective and preventive actions

Print audit plans, audits, corrective/preventive actions, and question lists, and reply toquestions in an audit.

Features

The solution includes the following areas of audit processing:

Audit planning

Audit execution

Corrective and preventive actions for the audit

Audit documentation (audit report)

Audit evaluation

Audit Planning

Use

The person responsible for audit planning uses the audit planning function to create an annual auditplan (valid for more than one year) for his/her area or copies the audit plan from the previous year.There is always only one current version of an audit plan, where all date shifts and the degree ofcompletion can be found.

Integration

The following roles are involved in audit planning: Person responsible, approver, and leadauditor. These roles are applied to business partners that exist in the system.

Graphical time scheduling (Microsoft Project) is integrated in audit planning.

Changes made to audit plans are documented in change documents.

Prerequisites






















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The business partners and roles involved in the audit planning process must be created in thesystem.

Activities

1. To create a new annual audit plan (for more than one year), the audit planner copies the

audit plan from the previous year or creates a new annual audit plan. In the same step, theaudit planner can structure the audit plan into subplans.

Documents can be assigned to each audit plan.

2. For each audit the audit planner determines the planned duration of the audit, the location,the audited area, the lead auditor, and the participants.

3. The approver (for example, the managing director) approves the annual audit plan.4. The audit planner releases the annual audit plan. When the audit planner releases the

annual audit plan, this version of the audit plan is ‘frozen’ and no subsequent changes can

be made.5. The lead auditor uses the audit plan to create his/her audits

Audits that were created after the audit plan has been released (unplanned audits) areindicated as such.

Documents can be assigned to each audit.

6. If dates are shifted, it is the responsibility of the lead auditor to inform the audit plannerabout the delay of the planned audit.

7. The audit planner stores these date shifts in the current audit plan.

Date shifts for planned audits that were carried out in Microsoft Project are automaticallyupdated in the audit plan.

8. The lead auditor or audit planner creates a question list for the audit or assigns an existingquestion list to the audit. In the latter case, he/she may change the questions and assign apossible valuation to new questions, and then save the current question list.

9. The lead auditor informs all people involved in the audit (participants).

Optional Activities

The audit planner creates a checklist for the auditors to help with the audit execution.

The audit planner creates a current questionnaire for the audit execution.

See also:





































Audit Plan

Process Audit Plan

Audit Plan

Definition

The audit plan consists of all audits planned for a particular period of time. For example, all auditsthat are to be executed in the space of one year are defined in an annual audit plan. There isalways only one current version of an audit plan, where all date shifts and the degree of completionfor the individual audits can be found.

Use

The audit plan is the planning instrument for the administration of audits. It can, for example, becreated as an audit plan for one year, for three years, or for 18 months.

Structure

The audit plan is structured hierarchically. This means that other audit plans, as well as the auditsthemselves, can be assigned to an audit plan. Note that an audit is the lowest level of the hierarchy.This means that no additional audits or audit plans can be assigned to an audit.

In the navigation area, audit plans are indicated by the icon , and audits are

indicated by the icon .

Integration

You can assign as many audits as required to an audit plan.

You can assign as many additional audit plans as required to an audit plan.

The integration of Microsoft Project in audit management means that you can performgraphical time scheduling using Microsoft Project.

The integration of Microsoft Excel in audit management means that you can evaluate auditplans (with the planned audits).

Various roles (for example, person responsible, approver, lead auditor) can be involved in

the processing of an audit plan. These roles are taken on by business partners that havebeen created in the system.

See also:


Audit Execution








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Use

The audit execution consists mainly of the assessment and valuation of the questions on the basisof the replies in the audit, the determination of the audit result and the degree of fulfillment, and therating of the audit. The lead auditor prepares the execution of an audit.

Integration

The following roles are involved in audit execution: Person responsible, lead auditor, personresponsible for area, person responsible for actions, participant, and interested party.These roles are applied to business partners that exist in the system.

Changes made to audits are documented in change documents.

Prerequisites

The business partners and roles involved in the audit execution must be created in thesystem.

Possible valuation procedures have been defined in Customizing.

The audit has been created in the system (by the audit planner or lead auditor).

Question lists (for example, a standardized question list, company-specific question list)have been created in the system.

Activities

1. The audit planner or the lead auditor creates the audit in the system.2. When the date for a planned audit approaches, the audit planner call up his/her annual

audit plan, navigates to the audit, and then changes the status to released. He attaches theaudit checklist to the actual audit and contacts the lead auditor.

3. The lead auditor calls up the audit, searches for the last audit that was performed in theaudited area, reads the last audit report, and looks at the actions that are still outstanding.

4. The lead auditor assigns a question list to the audit (if the audit planner has not done soalready). If necessary, the lead auditor can change this question list. To check thedeviations recorded for the last audit he/she can formulate new questions and predefine apossible valuation for these. Then the lead auditor saves the audit question list.

5. The lead auditor or the auditors print out the audit question list.6. During the audit, the auditors record replies to the questions and note any deviations and

problems. They can also indicate individual questions as not relevant.7. The lead auditor valuates the questions and determines whether or not any

corrective/preventive actions are required.8. The lead auditor valuates the audit on the basis of the valuations of the individual questions

and, if necessary, changes the valuation proposed by the system.

9. The lead auditor prints out the questions with replies, discusses the question list with allaudit participants, and, in conjunction with the audited area, determinescorrective/preventive actions for the audit, if these are required.

10. A person responsible and a planned date are entered for these actions.11. The lead auditor tracks the actions and, if necessary, completes them.12. The lead auditor rates the audit and sets the indicator Subsequent Audit Required if the

overall assessment is Not Passed.























































Everybody can call up the audit result.

13. The lead auditor completes the audit (changes the status of the audit).14. The lead auditor prints out the audit report and this report is then signed by all participants.

The audit report cannot be accessed by all users in the system(confidentiality).

The audit result can be called up by all users.

See also:


Corrective Actions/Preventive Actions

Definition

Corrective Actions

These are actions that are deemed necessary to eliminate the cause of errors that were determinedduring the audit and to prevent the recursion of these errors. The corrective actions to be executedmust be appropriate to the effects that the particular error has on the product.

Preventive Actions

These are actions that are deemed necessary to eliminate the causes of possible errors before theyoccur. The preventive actions to be executed must be appropriate to the effects that the possibleerror could have on the product.

In the navigation area, corrective/preventive actions are indicated by the

icon .

Integration

Corrective and preventive actions can be assigned to any hierarchy level of an audit-relatedquestion list.

See also:


















Audit Report

Definition

The audit report contains all important administrative data related to the audit, including comments,

results, and the corrective/preventive actions that have been determined. The audit report is anofficial document that is signed by the lead auditor and the head of the audited area. Parts of theaudit report are usually confidential and can, therefore, not be viewed by all users.

Structure

The audit report consists of:

A summary of the audit

The final result

A list of the deviations

Questions and their valuations

A list of the corrective/preventive actions A list of the persons involved

Integration

The audit report can be called up from the audit.

The audit report is available as a PDF file and it can be sent in this format.

See also:

Audit Evaluation


Audit Evaluation (Audit Monitor)

Use

The audit evaluation provides different search possibilities for all audit components on the basis ofvarious search criteria. In the audit evaluation, you can, for example, determine the number ofoutstanding corrective and/or preventive actions, display all audits or question lists, and determinewhich audit plans exist for a certain time period.

Integration

The audit evaluation accesses all data that was created in the system in the context of auditmanagement.

Activities

1. Choose Service Audit Management Audit Monitor .



































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Question List (Master Record): This question list simply serves as a copying template foraudit question lists. It does not contain any reply fields.

Audit Question List: This question list is used for the audit execution. It is a (modified)copy of the master record question list and contains reply fields.

Structure

A question list can contain as many hierarchy levels as required (for example, element, criterion,subcriterion, question). Each of these hierarchy levels can, in turn, contain additional hierarchylevels. The allowed valuation can be planned for each hierarchy level.

In the navigation area, question lists are indicated by the icon , and subordinate

hierarchy levels are indicated by the icon .

Integration

Question lists (master record) serve copying templates for audit question lists.

An audit can link to as many audit question lists as required.

Question lists do not have to be assigned to an audit.

A corrective/preventive action can refer to an audit question list or to a single node of anaudit question list.

An authorization group is stored in the question list (display, change).

Documents can be assigned to a question list.

See also:


Process Question List (Master Data)

Process Audit Question List

Audit

Definition

An audit, according to DIN EN ISO 9000, is a systematic, independent, and documented processused to obtain audit results and to evaluate these results objectively in order to determine to whatextent the criteria of the audit have been fulfilled.

In the navigation area, audits are indicated by the icon .

































The following terms are used in relation to audits:

Subsequent Audit

A subsequent audit serves to check the execution and efficiency of the corrective/preventive actions that were defined in an audit.

Certification Audit

A certification audit is executed to check the quality management system of a company. Anindependent certification authority executes this type of audit.

External Audit

External audits include what are commonly known as "second party audits" or "third party audits".

Second party audits are executed by parties that have an interest in the organization (for example,customers), or people by acting on behalf of these parties. Third party audits are executed by

independent, external organizations. Such organizations offer certification or registration ofconformity, for example, in accordance with ISO 9001 and ISO 14001.

Examples of external audits are: Certification audits, vendor audits, and customer audits.

Internal Audit

Internal audits, also called "first party audits", are executed by, or on behalf of, the organizationitself for internal purposes. They can form the basis for the organizations own declaration ofconformity. Examples of internal audits are: Area audits and internal product audits. The followingaudit categories exist: System audits, process audits, and product audits.

Follow-Up Audit

A follow-up audit is a planned audit that checks an audit object at regular, predefined intervals.

Structure

An audit contains the following information:

Audit Usage

The audit usage describes according to which guideline/guidelines and audit is to be executed.

Examples for the audit usage are: Quality audit and environmental audit.

Audit Type

The audit type describes the audit usage, the audit categories, and the audit object that is to beaudited. Examples of audit types are: Internal process audits in the development area, externalvendor product audits, and internal QM System audits.

Audit Trigger







The audit trigger describes why an audit is executed (for example, whether the audit is a planned oran unplanned audit).

Integration

An audit can be assigned to either one audit plan or no audit plan.

You can assign as many audit question lists as required to an audit. Due to the integration of Microsoft Project in audit management, audits can also be

processed and displayed using Microsoft Project.

The integration of Microsoft Excel in audit management means that audits can also beevaluated using Microsoft Excel.

The audit report can be called up from the audit.

Documents can be assigned to an audit.

Corrective/preventive actions are usually related to audit questions that are assigned to anaudit.

See also:


Audit Component

Definition

The term audit component is the collective name for business objects in audit processing. In AuditManagement a distinction is made between the following audit components:

Audit Plan

Audit

Question List

Corrective/Preventive Action

Processing Corrective Action/Preventive Action

Use

You use corrective and/or preventive actions to intervene in processes that were found to havepotential for improvement during the audit.

Prerequisites

You have executed the audit or have performed the questioning of the audited area and haverecorded various comments, notes concerning deviations, and items where there was potential forimprovement.































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Procedure



2. Select the audit for which you want to enter corrective/preventive actions.

The required audit is displayed.

3. In the navigation area, choose the question list item for which you are enteringcorrective/preventive actions.

The required question list item is displayed.

4. Choose the pushbutton Valuate.

5. Choose the pushbutton Corrective/Preventive Action.6. In the header area on the right, enter a unique key, a description, and the required

language for the corrective/preventive action.7. Enter the required data on the tab pages.8. On the Texts tab page, you can create notes and/or a description. All of the usual editor


If you load files that contain control indicators (for example, Microsoft Word files),then these control indicators are interpreted as texts by the system and aredisplayed as such. You should, therefore, only load pure text files (ASCII files).


9. If you want to assign documents to the current corrective/preventive action, select theaction in the navigation area, click the right mouse button, and choose:

o Create Create Document…, if you want to create a new document.

o Create Import Document…, if you want to assign an existing document.


10. Change the status of the corrective/preventive action to Outstanding .

11. Save the corrective/preventive action.

Result

You have created a corrective/preventive action for a question list item of an audit. In the navigation

bar, corrective/preventive actions are indicated by the icon and assigned documents by the icon

.







If you choose the pushbutton Print Preview in the right screen area, thesystem displays the data of the current corrective/preventive action as a

print preview. You can print this preview ( Form for Corrective Action

pushbutton), you can assign it to the current action as a PDF document (PDF Attachment pushbutton), or you can send it in the form of a PDF

document in a mail to all business partners ( PDF Attachmentpushbutton. You can also use your own forms.

It is always possible to change existing corrective/preventive actions. To dothis, double-click on the required corrective/preventive action in thenavigation area and then make the required changes.

To delete a corrective/preventive action, select the requiredcorrective/preventive action in the navigation area, click the right mousebutton, and then choose Delete.

Confirming and Tracing Audit Actions

Use

The lead auditor , who is responsible for the execution of the audits assigned to him/her, monitorsthese audits and reports all actions that were determined for these audits. The person responsiblefor actions is in charge of the execution and confirmation of actions.

Prerequisites

Corrective and/or preventive actions have been determined during an audit.

Procedure

Confirming Audit Actions (Person Responsible for Actions)

1. Call up the audit monitor.2. Activate the radio button Corrective Action (audit component to be found) and Outstanding

(Status).3. If necessary, restrict the selection by entering other search criteria.

4. Choose , to call up a list of the actions to be processed.5. Double-click on the required corrective/preventive action to call up the confirmation

transaction.

The display mode for corrective/preventive actions is called up.

6. Choose , to switch to change mode.7. Make the required changes on the tab pages.8. Enter a suitable comment.










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9. Save your changes.

Tracing Audit Actions (Lead Auditor)

1. Call up the audit monitor.

You can also trace actions by calling up the action overview for the audit for whichyou wish to trace the actions.

2. Activate the radio button Corrective Action (audit component to be found) and Outstanding (Status).

3. If necessary, restrict the selection by entering other search criteria.

4. Choose , to call up a list of the actions to be processed.5. Double-click on the required corrective/preventive action.

The display mode for corrective/preventive actions is called up.

6. Choose , to switch to change mode.7. Check the confirmation for the outstanding action.8. If necessary, accept the confirmation.9. Complete the action by choosing the status Complete.10. Save your changes.

When all of the actions have been completed, you can complete the audit.

Assigning Documents to an Audit Component

Use

Use this function to assign a document to an audit component or to a question list item.

Prerequisites

You can only assign documents in change mode.

Procedure

1. In the navigation area, select the audit component to which you want to assign a document.2. Click the right mouse button and:




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Choose... To... Additional information

Create

DocumentDirectory…,

Create adocumentdirectory

Create

CreateDocument…,

Create a newdocument

A document management systemscreen appears, where you candefine the properties of the

document. Choose Start Editorto compose the content of thedocument.

Create

ImportDocument…,

Assign anexistingdocument

A screen appears where you canselect the document to beimported. A documentmanagement system screen willthen automatically appear, where

you can change the properties ofthe document that wereautomatically assigned by the

system. Choose to save thedocument assignment.

Result

The document assigned to the selected audit component is displayed in the navigation structure.

Process Worklist for Audit Components

Use

The worklist provides convenient and rapid access to the audit components that you work on. Youcan execute the following functions in the worklist:

Open an audit component that is in the worklist

Include a new audit component in the worklist

Remove an audit component from the worklist

Empty the worklist

Prerequisites

To make use of the worklist function, audit components must already exist in the system.

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Procedure



2. In the lower area of the navigation screen, choose Worklist.3. Proceed as follows:

If you want to... Choose... Additional information

Open an audit component thatis in the worklist,

The right mouse button andthen choose Open

You can only open selectedaudit components.

Include a new audit componentin the worklist,

The right mouse button andthen choose Include inWorklist

In the dialog box that appears,you can enter the description ofthe audit component to be

included. If necessary, use theinput help.

You can include an auditcomponent that is currentlybeing processed in the worklistby selecting it and then

choosing the icon .

Remove an audit componentfrom the worklist,

The right mouse button andthen choose Remove fromWorklist

You can only remove selectedaudit components from theworklist.

Empty the worklist, The right mouse button andthen choose Empty Worklist

This function will remove allaudit components from theworklist.

The audit components you last worked on are listed in the worklist under AuditComponents Last Processed. You can define the number of entries contained in

this list by choosing Extras Settings.

You can hide the worklist using the icon .

If the worklist is hidden, you can display it again by choosing the icon .



Process Template List for Audit Components

Use

The template list allows for convenient and rapid access to audit components that you want to use

as templates. You can execute the following functions in the template list:

Create an audit component as a new template

Create an audit component as a new template based on another template

Include a new audit component in the template list

Remove an audit component from the template list

Empty the template list

Prerequisites

To make use of the template list function, audit components must already exist in the system.

Procedure



2. In the lower area of the navigation screen, choose Templates.3. Proceed as follows:

If you want to... Click... Additional information

Create an auditcomponent as a newtemplate,

The right mouse buttonand then choose Create.

You must select the folder, in which you want to create an auditcomponent.

Create an auditcomponent as a newtemplate based on anothertemplate,

The right mouse buttonand then choose CreateUsing Template

You must select an audit component to use as the template.

Include a new auditcomponent in the templatelist,

The right mouse buttonand then choose Includein Templates

In the dialog box that appears, you can enter the description of audit component to be included.

Remove an auditcomponent from thetemplate list,

The right mouse buttonand then choose Removefrom Templates

You can only remove selected audit components from thetemplate list.

Delete the template list The right mouse buttonand then choose EmptyPersonal Templates

This function will remove all audit components from the templatlist.

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Roles

The following roles are defined in audit management. If required, you can define additional roles inCustomizing.

Person Responsible

In audit management, there is one person responsible for each audit plan, question list, and/orcorrective/preventive action. Different people can be responsible for each of these.

The person responsible for the annual audit plan (for example, for the internalsystem audits) creates a binding annual audit plan in consultation with the leadauditors. In this context, he or she defines the audit type and the audited partnerand releases the audit plan.

The person responsible for the question list (master record), (not necessarily theperson responsible for the annual audit plan), creates a question list, on the basisof which the planned system audits are to be executed.

Approver

The approver is responsible for the approval of an audit component.

Lead Auditor

Lead auditors are responsible for the execution of the audits assigned to them. They confirm theplanned audit dates with the audit planners and inform them of any date changes. Lead auditors do

not execute many audits during the year. They also compile the questions for the audits using thequestion lists.

Auditor

The auditors execute the audit.

Person Responsible for Area

The person responsible for the area is the contact person for the audit in the audited area. All of thequestions, problems, and corrective/preventive actions related to the audit are discussed with, andreconciled by the person responsible for the area.

Person Responsible for Actions

The person responsible for actions ensures the correct and timely execution of an action (correctiveor preventive action).

Participants
























The participants are all the people involved in an audit.

Interested Parties

Interested parties are all the people who have an interest in the audit.