Audit Management and Compliance Planning—Key Exercises

IMPORTANT
It is extremely important that you set up and work within your own site to maintain your data integrity. If you work within any other site, you will compromise your own exercise data as well as the data of other students. Predictable exercise results require that your data be isolated in your own site.

Basic Data Setup

Basic Data for Audit

Purpose: The purpose of this exercise is to verify the existence of basic data required for audit management.

Windows:
Audit Basic Data

  1. Open the Audit Basic Data window.
  2. Populate all the tabs in the window and verify that there exists at least one defined Audit Group, Audit Type, Audit Authority Type, Audit Authority, Internal Auditor, Business Area and Reference Standard.

General exercise for Basic Data for Audit Management

Audit Object Connections

Purpose: The purpose of this exercise is to verify the existence of basic data required for audit object connections.

Windows:
Object Connections

  1. Open the Object Connections window.
    Note: Only a system administrator can access and configure the audit object connections in the Object Connections window.
  2. Verify that the LU Name InventoryPart is audit aware.
    Note: This means that AuditObjectConnection^ should be present in the Service List column for the LU Name InventoryPart..

General exercise for Basic Data for Audit Management

Basic Data for Non Conformance Reporting (NCR)

Purpose: The purpose of this exercise is to verify the existence of basic data required for audit management.

Windows:
Non Conformance Report Basic Data

  1. Open the Non Conformance Report Basic Data window.
  2. Populate all the tabs in the window and verify that there exists at least one defined Severity, Disposition Code, Location, Source, Root Cause and Non Conformance.

General exercise for Non Conformance Report Basic Data

Main Exercises

Purpose: The purpose of these exercises is to show how to create an audit compliance plan, create and connect an audit to the compliance plan as well as how to execute the audit itself.

Create and Review Compliance Plan

Purpose: The purpose of this exercise is to show how to create and review an audit compliance plan.

Windows:
Create Compliance List Assistant
Compliance Planning

  1. Open the Create Compliance List Assistant.
  2. In the Target Year field, enter a value to identify the year in which the audit will be planned.
  3. In the Target Month field, enter a value to identify the month in which the audit will be planned.
  4. In the Business Area ID field, enter the id or click List to select one from the List of Values.
  5. In the Reference Standard field, enter a value or click List to select one from the List of Values.
  6. Click Next.
  7. Select the Required check box for one or more reference standard records. One compliance record will be created for each selected reference ID.
  8. Click Finish to create the compliance plan record(s).
  9. To review the compliance plan open the Compliance Planning window.
  10. Click Search to search for the required target year.
  11. Review the compliance plan records. If required edit the existing target month in the Target Month field.

Create Audit from Compliance Plan

Purpose: The purpose of this exercise is to show how to create an audit connected to a compliance plan record.

Windows:
Compliance Planning
Create Audit Assistant

  1. To create a new audit and connect it to a compliance plan record, select the required compliance plan record from the Compliance Planning window.
  2. Right-click on the compliance plan record and then click Create Audit.
  3. In the Description field, enter Audit of Inspection and Testing procedures.
  4. In the Authority ID field, select Internal Quality Assurance from the List of Values.
  5. In the Audit Group ID field, select Internal from the List of Values.
  6. Click Next.
  7. In the Auditor ID field, select the internal auditor as yourself from the List of Values.
  8. In the Audit Location field, enter Machining Department as the audit location.
    Note: Audit Location is a free-text field.
  9. In the Default Internal Org field, enter Machining Department as the default internal organization owner of the audit results.
  10. In the Default Owner ID field, select a default owner from the List of Values.
  11. Click Next.
    Note: Since this audit is created from a compliance plan record, the Business Area and Reference Standard information has already been defined by the compliance plan record.
  12. Click Finish to create the audit.
    Note: This will create the audit in the Planned status and will connect it to the compliance plan record, i.e. there will be a value in the Audit ID column of the compliance plan record of interest.

Perform Audit and Manage Audit Findings

Purpose: The purpose of this exercise is to show how to perform the audit and manage the audit findings.

Windows:
Compliance Planning
Audit

  1. To view the audit, select the required compliance plan record, right-click and then click Audit Details.
    Note: This will populate the Audit window with the relevant audit.
  2. Enter a date in the Scheduled Audit Date field under the Planning and Contacts tab in the Audit window.
  3. Save when complete.
  4. Right-click anywhere on the header of the Audit window and then click Scheduled. The status of the audit changes to Scheduled and the audit is ready to be performed by the auditor.
  5. Once the audit has actually been performed by the auditor, enter the audit findings in the General Audit Notes field under the Notes tab in the Audit window.
    Note: This information can be viewed by anybody who has access to the audit record.
  6. Enter internal audit findings in the Internal Audit Notes field under the Notes tab in the Audit window.
    Note: This information can only be viewed by users defined as internal auditor in the Internal Auditor tab in the Audit Basic Data window.
  7. Save when complete.
    Note: If any audit non conformance has been discovered during the audit, these should be reported.
  8. Right-click anywhere on the header of the Audit window and then click Create Non Conformance Report.
  9. The Create NCR Assistant opens.
  10. Follow the steps in the assistant to create the non conformance report. The created non conformance report will automatically be associated with the audit and can be viewed via the NCRs tab in the Audit window.
    Note: See the general exercise Create a Non Conformance Report for more information about creating a non conformance report.

    Note: When the audit findings have been entered, and the necessary non conformance reports have been created, the next step is to change the status of the audit to Completed.

  1. Click the Planning and Contacts tab in the Audit window.
  2. In the Audit Completed Date field, enter a date.
  3. Click the Focus Area tab.
  4. Select the Completed check box for the focus area records.
  5. Right-click anywhere on the header of the Audit window and then click Complete. The audit status changes to Completed.

    Note: It is possible to close the audit directly regardless of whether any associated non conformance report has been closed or not. However, the process of closing the audit usually runs in conjunction with the non conformance report process. i.e., the audit is not closed until the associated non conformance   report correction action has been verified and closed. See the general exercise Manage Non Conformance Report for more information about how to manage a non conformance report. .

  1. Click the Planning and Contacts tab in the Audit window.
  2. After the associated conformance report correction actions have been defined, enter a date in the CA Agreed Date field.
  3. Save when completed.
  4. Right-click anywhere in the header of the Audit window and then click Agree Correction Action. The status of the audit changes to CA Agreed.
  5. After the associated conformance report correction actions have been verified, enter a date in the CA Completed Date field.
  6. Save when complete.
  7. Right-click anywhere in the header of the Audit window and then click Complete Correction Action. The status of the audit changes to CA Completed.
  8. In the Audit Closed Date field, enter a date.
  9. Save when complete.
  10. Right-click anywhere in the header of the Audit window and then click Closed. The status of the audit changes to Closed.

Create and Connect an Audit to a Business Object

Purpose: The purpose of this exercise is to show how to create and connect an audit to a business object. In this exercise an audit will be created and connected to an inventory part.

Windows:
Inventory Part
Create Audit Assistant

  1. Open the Inventory Part window and search for the required inventory part.
    Note: Any inventory part will do for this.
  2. On the Attachments panel, click Audit Management.
  3. Click New to create a new audit connected to the inventory part. The Create Audit Assistant will open.
  4. Follow the steps in the assistant to create the audit.
  5. If an already existing audit should be connected to the inventory part, click Attach. Search for the audit of interest, select it and click OK to connect it to the inventory part.