Note: The audit module presented in this article has been created based on the default module template of the module generator. The module created with the module generator can be customized to meet individual requirements. This guide describes the basic functions of the standard module template. The following is a link to an informational video (german only): Brief Introduction to Audit Management

Aim of the module

The audit module is used for the preparation, execution and follow-up of internal as well as external audits. 

Procedure

Audits pass through several statuses in the audit module:

• Audit templates
• Audit program
• Active audits
• Completed audits

Audit templates allow overlaps between audits to be prepared in advance. These can then be used as a copy template for planned audits. One-off or special audits can also be created without a template.

The audit program represents all planned audits of a year. All newly created audits start in the audit program. Audits in this status should be prepared for execution. They are completed with information such as planned and execution date, participants and auditors. In addition, the planned audit questionnaire is added.

Active audits list all audits that are currently being performed or followed up. Here, the prepared audit questions are answered, deviations are documented, measures are processed and effectiveness checks are carried out. Finally, the audit report is documented.

Finally, completed audits serve as an archive of the audits performed and followed up.

Audit element

A single audit is divided into four blocks in the audit module:

• Audit details
• Question list and protocol
• Notes / audit report
• Attachments

Under Audit details, the framework data of an audit is defined. If the Protected audit view is activated in the site header, access rights are restricted to the users defined in the Participant and Internal auditor fields.

Question list and protocol is used to document the preparation and execution of the audit. The audit questions are listed here. In the audit execution, the result is defined as a comment in the audit question. If there is no deviation, the audit question is closed. If there is a deviation, the audit question is converted into a deviation. As soon as a corrective action has been defined, the deviation becomes an action. Once this has been carried out, the action becomes the necessary effectiveness test. If this is also completed, the corresponding entry can finally be closed. Thus, everything from the audit question to the deviation, the measure and the effectiveness check is documented in a coherent manner.

In Notes/Audit Report, any supplementary information that could not already be documented in Audit Questions, Deviations, Measures and Effectiveness Tests can be listed in a completely flexible manner.

Finally, in the Attachments block, all relevant supplementary files (Word, Excel, PowerPoint, PDF...) are uploaded directly to the corresponding audit.

Rights management

The Roles tab of the configuration defines which users or groups are assigned to the Quality Management role. These role owners, in addition to the internal auditor, are authorized to move audits to the next status, i.e., for example, to move an audit from Active Audits to Completed Audits. 

In addition, the audit module is designed for maximum transparency and allows any user to view and edit all audits as well as audit content. However, a view protection can be activated for individual audits in the document header via Protected Audit and restricts the access rights to the creator, the internal auditor and the participants of the respective audit.

Necessary adjustments

No mandatory customizations are required to the audit module and it is ready to use out of the box.

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