audit execution.pdf

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Table of content1 Audit Execution1.1 Audit1.1.1 Processing the Audit1.1.2 Processing the Audit Question List1.1.3 Recording and Confirming Audit Results in the System1.1.4 Audit Report1.1.4.1 Creating Audit Reports1.1.5 Completing the Audit1.2 Corrective Actions/Preventive Actions1.2.1 Processing Corrective Action/Preventive Action1.2.2 Confirming and Tracing Audit Actions


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1 Audit Execution

UseThe 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 resultand the degree of fulfillment, and the rating of the audit. The lead auditor prepares the execution of an audit.

IntegrationThe 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.

PrerequisitesThe 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.

Activities1. 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 auditorsaves 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.

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

The audit result can be called up by all users.

See also:Audit Management Overview

1.1 Audit

DefinitionAn audit, according to DIN EN ISO 9000, is a systematic, independent, and documented process used to obtain audit results and to evaluate these resultsobjectively in order to determine to what extent the criteria of the audit have been fulfilled.

NoteIn the navigation area, audits are indicated by the icon ( ) .


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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. An independent 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 of conformity, for example, inaccordance 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 organization itself for internal purposes. They can form the basis for theorganizations own declaration of conformity. Examples of internal audits are: Area audits and internal product audits. The following audit categories exist: Systemaudits, 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.

StructureAn 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 environmentalaudit.

Audit Type

The audit type describes the audit usage, the audit categories, and the audit object that is to be audited. Examples of audit types are: Internal process audits inthe development area, external vendor 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 or an unplanned audit).

IntegrationAn 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 be evaluated 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 an audit.


1.1.1 Processing the Audit

UseThe 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 becreated an executed directly in the system (unplanned).

Procedure1. Access audit management.2. To create a new audit plan, choose New Audit in the context menu of the navigation area . If you want to create a new audit on the basis of an audit

that already exists in the system, choose New Audit Using Template .

NoteIf 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, select the required 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 in theaudit data record and in the Microsoft Project data related to the audit.


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3. In the header area on the right, enter a unique key, a description, and the required language 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 save texts you have entered as local files.

NoteIf you load files that contain control indicators (for example, Microsoft Word files), then these control indicators are interpreted as texts by the system andare 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.

If you want to assign documents to the current audit , follow the procedure described in Assigning Documents to an Audit Component .6. In the navigation area, choose:

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

NoteThe system copies the question list that was selected as the template into the 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, and in thecontext menu, choose Create Assign Question List, or Create Audit Question List/Question, or Create Audit QuestionList/Question Using Template.

( ) Audit Question List/Question , if you want to create a new audit question list or audit question for the audit. ( ) Audit Question List/Question Using Template , if you want to create a new audit question list or audit question on the basis of an audit

question list or audit question that already exists in the system.7. In the right screen area, enter the required data for the audit question list on the tab pages.

If you want to assign documents to the current audit question list, select the audit question list in the navigation area, and follow the procedure described inAssigning Documents to an Audit Component .

8. Save the audit.

ResultYou 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 bythe icon ( ) , subordinate hierarchy levels in an audit question list (for example, element or question) by the icon ( ) , and assigned documents by theicon ( ) .

NoteIf you choose the pushbutton ( ) Print Preview in the right screen area, the system displays the data of the current audit as a print preview. You canprint this preview ( ( ) Form for Audit pushbutton), you can assign it to the current audit 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 Attachment pushbutton. You can also use your ownforms.

If you choose the pushbutton ( ) Overview in the right screen area, the system displays all corrective/preventive actions related to the current audit.

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

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

To delete an audit, select the required audit in the navigation area and, in the context menu, choose Delete .

See also:Processing Audit Components

Audit Management Overview

Process Audit Question List

1.1.2 Processing the Audit Question List

UseAn audit question list is required for the execution of an audit . The lead auditor , who is responsible for 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 list for the audit. Alternatively,he/she can create a new audit question list or new questions for an existing audit question list.

PrerequisitesThe 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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1. Choose SAP Menu Service Audit Management Audit Management .The Audit Management initial screen appears.

2. In the navigation area or the worklist, select the audit for which you want to create an audit question list.3. In the navigation area, choose:

( ) Audit Question List/Question , if you want to create a new audit question list for the existing audit. ( ) Audit Question List/Question Using Template , if you want to create a new audit question list on the basis of a question list that already

exists in the system. ( ) Assign Question List , if you want to assign an existing question list.

NoteThe system copies the question list that was selected as the template into the current audit. In this question list, you can change questions, create newquestions, 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, and in the contextmenu, 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 required language 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 functions are available. In addition, you can load local files or save

texts you have entered as local files.

NoteIf you load files that contain control indicators (for example, Microsoft Word files), then these control indicators are interpreted as texts by the system andare 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.

7. If you want to assign documents to the current audit question list, select the audit question list in the navigation area, and follow the procedure described inAssigning Documents to an Audit Component .

8. In the navigation area, choose ( ) Element , if you want to create a new element, or choose ( ) Element Using Template... if you want to createan element on the basis of an element that already exists in the system.Choose ( ) Question , if you want to create a new question, or choose ( ) Question Using Template..., if you want to create a question on thebasis of a question that already exists in the system.

NoteDepending on the specifications made in Customizing, the description of the subordinate hierarchy levels (in the case described above element orquestion) in the question list can vary.

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

NoteThe field description for the identification is the dependent on the specifications made in Customizing (for example, element or question). In addition, thefield (required field) for the hierarchy profile is only available for 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 error message if a value is not allowed.

NoteYou can use a Business Add-In to set up the system so that the valuation and the relevance of a controlling question are passed down to thesubordinate questions. For more information, see the documentation of the Implementation Guide for Audit Management.

11. If you want to assign documents to one of the hierarchy levels (for example, element, question), select the required hierarchy level in the navigation area,and follow the procedure described in Assigning Documents to an Audit Component .

12. Save the audit question list.

ResultYou 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 audit results for audits that have been released.

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

To delete an existing audit question list or a subordinate hierarchy level, select the object in the navigation area and, in the context menu, choose Delete .

See also:Processing Audit Components


1.1.3 Recording and Confirming Audit Results in the System


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UseIf you want to create and confirm audit results directly in the system, proceed as follows. You can, however, also record audit results using the Internet.

PrerequisitesThe required audit must exist in the system. The audit question list must be assigned to the audit. The valuation proposals for the audit questions and therelevance of the audit questions to the audit has been planned, and the audit must be released.You have executed the audit or have performed the questioning of the audited area and have recorded (on paper) various comments, notes concerningdeviations, and items where there was potential for improvement.

Procedure1. Access audit management. See Accessing Audit Management .2. Select the audit for which you want to record results.

The required audit is displayed.

NoteAudit results can also be recorded on the question overview screen for the audit. From this screen, you can switch to the detail screen of the confirmationto record texts and actions.

3. In the navigation area, choose the question list item for which you are recording results.The required question list item is displayed.

4. Choose the pushbutton ( ) Valuation.A screen appears where you can enter the valuation for the question list item and any comments (descriptions, notes, determinations, strengths, potential forimprovement) related to this question list item.

5. Copy the valuation proposed by the system or enter your own result if it deviates from the proposal. If necessary, set the indicator Valuation Recorded .

NoteIf the question list item is not relevant for the current audit, then set the indicator Not Relevant.

6. If necessary, enter a comment (description, note, determination, strengths, potential for improvement).7. If you think that corrective/preventive actions are required, set the indicator Action Required.

NoteYou can use BAdIs ( B usiness Ad d I n) to define that the system is to set this indicator automatically when a specified degree of fulfillment is not

reached.If you have the authorization to create corrective/preventive actions, you can switch directly to the processing of corrective/preventive actions by

choosing the pushbutton ( ) Corrective/Preventive Actions.

8. Save your entries.9. Repeat these steps for all question list items for which you want to confirm results.

NoteIn the structure tree, the valuation status of a question is represented by one of the following icons:

Icon Meaning

( ) The question has not been valuated yet, but is a relevant question.

( ) The question has been valuated and the result is the same as or better than therequired minimum result.

( ) The question has been valuated. The result is worse than the required minimumresult.

( ) The question has been valuated. No minimum is required.

( ) The question is not relevant.

ResultYou have entered the audit results in the system.

1.1.4 Audit Report

DefinitionThe audit report contains all important administrative data related to the audit , including comments, results, and the corrective/preventive actions that have beendetermined. The audit report is an official document that is signed by the lead auditor and the head of the audited area. Parts of the audit report are usuallyconfidential and can, therefore, not be viewed by all users.


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StructureThe audit report consists of:

A summary of the auditThe final resultA list of the deviationsQuestions and their valuationsA list of the corrective/preventive actionsA list of the persons involved

IntegrationThe 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


1.1.4.1 Creating Audit Reports

UseThe audit report contains all important administrative data related to the audit , including comments, results, and the corrective/preventive actions that have beendetermined. The audit report is an official document that is signed by the lead auditor and the head of the audited area. Parts of the audit report are usuallyconfidential and can, therefore, not be viewed by all users.

PrerequisitesThe required audit must exist in the system. The audit question list must be assigned to the audit. The valuation proposals for the audit questions and therelevance of the audit questions to the audit has been planned, and the audit must be released.Corrective and preventive actions were created for the audit if required.

Procedure1. Access Audit Management .2. Select the audit for which you want to create the audit report.

The required audit is displayed.3. Choose ( ) Print Preview .

The audit report is displayed in the print preview. You can save this preview locally, you can print it ( ( ) Form for Audit pushbutton), you can assignit to the current audit as a PDF document ( ( ) PDF Attachment pushbutton), or you can send it in the form of a PDF document in a mail to allbusiness partners ( ( ) PDF Attachment pushbutton. You can also use your own forms.

NoteYou can also print the audit report by selecting the Result tab page in the audit and then choosing Create Report . A screen appears where you canspecify the printer details, display the audit report in the print preview, and trigger the printing of the audit report.The status of the audit changes when you print the audit report.

ResultYou have created and printed the audit report.

1.1.5 Completing the Audit

PrerequisitesAn audit must be released before it can be completed. In addition, it may be necessary to have confirmed audit results , to have executed the valuation of theaudit results, and to have created an audit report .

Procedure1. Access audit management. See Accessing Audit Management .


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2. Open the required audit.3. Choose the Result tab page.4. Choose the Signature pushbutton.

The system now checks if any corrective/preventive actions exist for this audit. If necessary, the system will open these actions.If outstanding actions exist for an audit, the status Outstanding Actions is set by the system.It is now no longer possible to process the audit and the audit questions or to create and valuate audit results.

5. To complete the audit, process as follows:If no outstanding actions exist for an audit, choose Set Complete .This completes the audit.

If outstanding actions exist for an audit, choose Set Complete with Outstanding Actions .If you have processed any outstanding actions, you must confirm the completion of these actions. When you set the status Completed for the last

action that was outstanding, the system automatically sets the status Actions Completed and Completed for the audit. This completes the audit.If there are outstanding actions for an audit, process these actions and then confirm their completion. When you set the status Completed for thelast action that was outstanding, the system automatically sets the status Actions Completed for the audit. You can then manually set the statusCompleted in the audit. This completes the audit.

ResultThe audit is completed.

1.2 Corrective Actions/Preventive Actions

Definition

Corrective Actions

These are actions that are deemed necessary to eliminate the cause of errors that were determined during the audit and to prevent the recursion of these errors.The corrective actions to be executed must 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 they occur. The preventive actions to be executed must beappropriate to the effects that the possible error could have on the product.

NoteIn the navigation area, corrective/preventive actions are indicated by the icon ( ) .

IntegrationCorrective and preventive actions can be assigned to any hierarchy level of an audit-related question list .

NoteYou can use a Business Add-In to set up the system so that you can create objects, such as a quality notification for a corrective action, directly fromthe audit management transaction. The objects created are displayed below the corrective action in the tree.For more information, see the Implementation Guide for Audit Management.


Processing Corrective Actions/Preventive Actions

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

PrerequisitesYou have executed the audit or have performed the questioning of the audited area and have recorded various comments, notes concerning deviations, and itemswhere there was potential for improvement.

Procedure1. Access audit management. (See Accessing Audit Management ).2. Select the audit for which you want to enter corrective/preventive actions.


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The required audit is displayed.3. In the navigation area, choose the question list item for which you are entering corrective/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 functions are available. In addition, you can load local files or save

texts you have entered as local files.

Note

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).

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

1. If you want to assign documents to the current corrective/preventive action, select the corrective/preventive action in the navigation area, and follow theprocedure described in Assigning Documents to an Audit Component .

2. Change the status of the corrective/preventive action to Outstanding .3. Save the corrective/preventive action.

ResultYou 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 ( ) .

NoteIf you choose the pushbutton ( ) Print Preview in the right screen area, the system displays the data of the current corrective/preventive action as a printpreview. 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 Attachment pushbutton.

You can also use your own forms.

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

To delete a corrective/preventive action, select the required corrective/preventive action in the navigation area and, in the context menu, choose Delete .


1.2.2 Confirming and Tracing Audit Actions

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

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

ProcedureConfirming 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.

1. Choose ( ) , to switch to change mode.2. Make the required changes on the tab pages.3. Enter a suitable comment.4. Save your changes.

Tracing Audit Actions (Lead Auditor)

1. Call up the audit monitor.


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NoteYou can also trace actions by calling up the action overview for the audit for which you wish to trace the actions.

1. Activate the radio button Corrective Action (audit component to be found) and Outstanding (Status).2. If necessary, restrict the selection by entering other search criteria.3. Choose ( ) , to call up a list of the actions to be processed.4. Double-click on the required corrective/preventive action.

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

1. Choose ( ) , to switch to change mode.2. Check the confirmation for the outstanding action.3. If necessary, accept the confirmation.4. Complete the action by choosing the status Complete .5. Save your changes.

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



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