Audit Execution

Use

The audit execution consists mainly of the assessment and valuation of the questions on the basis of the replies in the audit, the determination of the audit result and the degree of fulfillment, and the rating 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, person responsible 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 the system.

  • 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 the audit 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 the audited 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 so already). If necessary, the lead auditor can change this question list. To check the deviations recorded for the last audit he/she can formulate new questions and predefine a possible 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 all audit participants, and, in conjunction with the audited area, determines corrective/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.

  13. Everybody can call up the audit result.

  14. The lead auditor completes the audit (changes the status of the audit).

  15. The lead auditor prints out the audit report and this report is then signed by all participants.

Note Note

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

The audit result can be called up by all users.

End of the note.