Prerequisites

• Access to the Management > Audit > Planning (AU009) menu.
• Audit created in the system, in the planning step.
• Depending on the objects enabled in the Category, the following records may be necessary:
  • Process created in SoftExpert Process.
  • Process activity created in SoftExpert Process.
  • Department created in SoftExpert Administration.
  • Control analysis created in SoftExpert Risk.
  • Item created in SoftExpert PDM.
  • Asset created in SoftExpert Asset.
  • Supply created in SoftExpert Supply.
  • Project created in SoftExpert Project.

Introduction

Once an audit is created in the system, while it is in the planning step, it is necessary to define its scope and associate the objects that will be audited.

The association of objects for the audit is enabled in the Allow auditing column, in the Scope tab of the audit category.

See how to associate the objects that will be audited:

Associating objects

1. Access the Management > Audit > Planning (AU009) menu.

2. Select the audit with which objects will be associated and click on the button.

3. Select the Audit scope tab.

4. In the Object field, associate the objects that will be audited:

Process

It is possible to associate the processes, created in SoftExpert Process, that will be audited.

Use the buttons available on the side toolbar:

	Click on this button; on the screen that will be displayed, select the process and, if you wish, a specific task of this project for them to be audited.
	Click on this button to disassociate a process.
	Click on this button to view the process data.
	Click on this button to view the process flowchart.
	Click on this button to view the process structure tree.

 

 

Department

It is possible to associate the organization's departments, created in SoftExpert Administration, that will be audited.

Use the buttons available on the side toolbar:

	Click on this button to associate the department of the business unit that will be audited.
	Click on this button to disassociate the department.

 

 

Control

It is possible to associate the control analyses, created in SoftExpert Risk, that will be audited.

Use the buttons available on the side toolbar:

	Click on this button to associate the control analysis that will be audited.
	Click on this button to associate an analysis via link. Refer to the SoftExpert Risk documentation for more details on this association type.
	Click on this button to edit the control analysis data. The user must have "Edit" permission granted in the analysis data. Refer to the SoftExpert Risk documentation for more details.
	Click on this button to delete the control analysis that will be audited.

Follow the steps described below to associate the control analysis:

1. In the Control tab, click on the button.

2. On the screen that will open, use the search fields to locate and select the desired analysis.

3. With the analysis selected, click on the button.

 

 

Product

It is possible to associate the items, created in SoftExpert PDM, that will be audited.

Use the buttons available on the side toolbar:

	Click on this button to associate the item that will be audited.
	Click on this button to disassociate the item.
	Click on this button to view the item data.

 

 

Asset

It is possible to associate the assets, created in SoftExpert Asset, that will be audited.

Use the buttons available on the side toolbar:

	Click on the arrow next to this button and select the desired option: Asset: select the assets that will be audited. Location: on the selection screen that will open, search for and select the location to which the assets that will be audited belong. All assets in this location will be audited.
	Click on this button to disassociate the asset.
	Click on this button to view the asset data.
	Click on this button to open the asset event screen. This button will only be enabled if the event has been created in the item.

 

 

Supply

It is possible to associate the supplies, created in SoftExpert Supply, that will be audited.

Use the buttons available on the side toolbar:

	Click on this button and select the desired option: Supply: it allows for selecting only a supply, for it to be audited in all storerooms in which it is found. For example: if the "XYZ light bulb" supply is selected, all storerooms that have this supply associated will be audited. Remember that only the records that are active in the system or in the last revision will be available for selection. Supply per storeroom: it allows for selecting both a supply and its respective storeroom. For example: only the "XYZ light bulbs" in the "Central" storeroom will be audited. Remember that only the records that are active in the system or in the last revision will be available for selection. Storeroom: it allows for auditing all the supplies in a certain storeroom. Remember that only the records that are active in the system will be available for selection.
	Click on this button to disassociate a record.
	Click on this button to view the record data.

 

 

Project

It is possible to associate the projects, created in SoftExpert Project, that will be audited.

Use the buttons available on the side toolbar:

	Click on this button and select the desired option: Project: it allows for associating the project that will be audited. Project task: it allows for associating specific project tasks to be audited.
	Click on this button to disassociate the item.
	Click on this button to view the item data.

 

 

5. After associating the objects, click on the Save button.

Closing the planning

After defining the scope with all the requirements and objects that will be audited, it is necessary to close the planning and send the audit to the next steps.

1. Access the Management > Audit > Planning (AU009) menu.

2. Select the audit that will have its planning closed and click on the button.

3. Click on the Send to next step button and confirm the operation.

Conclusion

With the scope defined and the planning closed, the audit will move on to the next steps.

See how to execute a requirement audit.