Creating an audit project
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Prerequisites
- Active license for SoftExpert Audit and SoftExpert Project.
- Access to the Management > Project planning (PR011) menu.
- Previously configured project type, with SoftExpert Audit integration enabled.
- Previously created communication item, communication channel, and project role records for communication to be configured.
- Financial type previously created in the Administration > Configuration > Financial type (AD070) menu for costs and revenues to be added.
- Previously configured priority for program priority to be defined.
Introduction
A project consists of a temporary effort towards creating a product or service with a unique result. In the system, it is possible to start a blank project, which allows for fully customizing its configurations and structure in order to meet the organization's needs.
Moreover, through integration with SoftExpert Audit, the system allows for using projects created in the system in order to execute audits.
This article will show how to create and configure a blank project and which specific configurations are needed for a project to be used in audit execution.
Creating an audit project
Watch the video below and learn how to plan a project from scratch:
Below, see the audit-related project configurations:
The configurations will only be displayed if the type that classifies the project template has the automation with SoftExpert Audit configured.
General data
In the Audit section, the following fields are available:
- Audit category: select the category that will classify the audit created from the project. Note that only the categories whose form of execution is configured as Project in the Step tab of its data screen will be available for selection.
- Audit type: this field is filled in the by the system with the audit type configured in the selected category. Learn more about audit types by clicking here.
- Audit purpose: select the reason for which the audit will be conducted. The audit purposes must be previously configured in the Configuration > Audit > Purpose (AU025) menu; learn more by clicking here.
Audit scope
This section is used to define the association of the objects and requirements that will compose the audit created from the project.
The audit scope structure must be created in it.
Check out the articles listed below to understand how to define the scope of requirement audits and risk and control plan audits:
Defining an auditor
In the Auditor section, it is possible to select who will be the parties responsible for the audit.
Select one of the available options:
| Internal auditor | The field will be displayed as the name of the organization that will be audited, and the audit will be conducted by people from the company itself. Use the buttons located next to the list of records in this section to select the desired auditors. |
| Audit business unit | The audit will be performed by people from a particular business unit of the company. Select the business unit first and then use the buttons located next to the list of records to select the desired auditors. Remember that the system will only list the auditors from the selected business unit. |
| Audit organization | The audit will be performed by external auditors, that is, the auditors from an audit organization. Select the organization first and then use the buttons located next to the list of records to select the desired auditors. Remember that the system will only list the auditors from the selected organization. |
• For 2nd party - Customer and 3rd party audits, only the Audit organization option will be available.
• An internal auditor can only execute an audit referring to the requirements that are associated with them. That is, if the requirement associated in the audit scope is not associated with the internal auditor, they will not be able to conduct the audit.
• If the Require lead auditor selection in audits option is enabled in the general parameters of SoftExpert Audit, it will not be possible to send the project to the next step without selecting a lead auditor.
• The business units available for selection have been previously created in SoftExpert Administration. If a new unit needs to be added, click on the 
button. Refer to the documentation of the Administration component for more details on how to create it.
• See further details on adding internal auditors by clicking here.
• See more details on creating audit organizations by clicking here.
Regardless of the chosen responsible party type, once the auditors responsible for the execution are associated, some buttons will be enabled on the side toolbar:
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Click on this button to disassociate the auditor selected in the list of records. |
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Click on this button to define the auditor selected in the list of records as lead auditor. For this button to be enabled, the lead auditor permission must be enabled on the requirement data screen or on the internal auditor data screen. |
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Click on this button to inform that the auditor selected in the list of records is an auditor in training. |
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Click on this button to describe the auditor's responsibilities. It is important to highlight that, once the responsibility is saved, it can no longer be edited. |
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Click on this button to view the data of the auditor selected in the list of records. |
Defining interviewees
The Interviewee section is used to associate the people from the business unit or from the supplier who will be interviewed during the audit.
Interviewees can be associated in two ways:
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Click on this button to record interviewee data. On the screen that will open, enter the interviewee's ID, name, department, and position. |
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Click on this button to associate previously created users for them to be interviewed during the execution of the audit. On the screen that will be displayed, locate and select the desired user. |
Project configurations
Along with the Configurations section, the Audit subtab is displayed.
In the Occurrence tracking subsection, check the Requires tracking option so that all occurrences and incidents associated with the audits based on the projects from the template are tracked. Then, define the team responsible for tracking the occurrences. The members of the selected team will receive the occurrence tracking task in the SoftExpert Audit component. To finish, enter the deadline in days for the closure of all occurrences associated with the audit.
In the Automatic requirement update subsection, define whether, when new revisions of the reference requirements associated in the project structure are released, the structure must be updated automatically or not.
Check out further details about other project configurations by clicking here.
Adding tasks to the project schedule
Usually, projects are divided into several smaller tasks, so that the work load is better distributed and managed. This is also valid for projects used to execute audits.
After creating a project in the system, access its schedule to include all the necessary tasks.
Click here to learn how to perform this operation.
When editing the data of a project task whose automation with SoftExpert Audit has been enabled, it is possible to specify the status of the audit.
Click here for more information on creating statuses.
Conclusion
After planning the project and adding its tasks, send it to the next step and, then, execute the audit project.