Who is this article for?

Ideagen EHS users creating an audit program.

Audit creation access is required.

An audit program is a systematic and documented process that is used to assess the effectiveness and efficiency of an organization's operations, systems, processes, and controls. An audit program is designed to provide independent assurance that an organization is complying with relevant laws, regulations, standards, and its own policies and procedures.

Users are able to create a protocol driven audit or non-protocol driven audit, which can be classified as a Corporate Audit or Site Audit.

This article outlines the following steps:

1. Set Program Details
2. Set Program Status
3. Assign Auditors / Team Members
4. Configure Notifications
5. Upload Attachments
6. Further Reading

1. Set Program Details

1. Click Modules and then Audit Management.
2. Click Create New.

3. Enter Basic Details:

• • • Type: Set as either Corporate or Site. Additional sub-type classifications will be required.
    • Program: A clear and concise name of the audit program.
    • Start Date: The date that the audit begins.
    • Start Time: The time that the audit begins.
    • End Date: The date the audit is due to end.
    • End Time: The time that the audit is due to end.
    • Recurring Audit: Identify if the audit needs to repeat on a regular period.
    • Protocol Driven: Identify if the audit is linked to a Protocol.
    • Protocol: Select the protocol.
    • Program Type: A categorization of the program.
    • Select Locations: The geographical or organizational location of the audit.
    • Set Program Status on Questionnaire Completion: Confirm if the audit status changes to Closed when the questionnaire is completed.

4. Set the Advanced Details (if needed):

• • • Enable Security: Is the security going to be module level or program level.
    • Create Findings for Audit Questions: Findings will be created from audit question responses.
    • Require Root Cause Analysis for Findings: Findings will require the root cause of the finding to be identified.
    • Perform Risk Assessment to Determine if Action Item Is Required: If selected then a risk assessment must be performed.
    • Require Action Items to Be Verified: Any action items created will need verification.
    • Close Findings When All Action Items Are Closed: If all action items are completed and closed then the findings will be closed.
    • Description: 
    • Status: 

5. Click Save and Next to complete the next steps or click Perform Audit to begin the audit.

Important Note: You can continue through the steps below to configure your Audit program. When you are ready to begin the Audit click Perform Audit.

2. Set Program Status

Audit Program Status provides visibility for tracking the audit program from start to finish. It allows the users to identify the next phase in the life cycle of an audit program to move an audit along to the next phase.

To set the program status:

1. Navigate to the Program Status section.
2. Click on the New button.
3. Agree to adding a new status.
4. Use the dropdown list to select the phase/stage of the audit.

5. Assign the user responsible for completing the status.
6. Repeat the process for all statuses you need.
7. Click Sequence to change the order in which the audit will move through the statuses.
8. Click Save and Next to complete the next steps or click Perform Audit to begin the audit.

Note: For more details on working with Statuses please visit How to Add or Delete Statuses on an Audit Program or How to Change the Sequence of Audit Program Statuses.

3. Assign Auditors / Team Members

Users can identify the Lead Auditor(s) and the Audit Team Member(s) for each of the locations assigned to an audit from the Auditors/Team Members tab. 

1. Enter the Location and assign the Type of Auditor.
2. Assign the auditors.

3. Click Save and Next to complete the next steps or click Perform Audit to begin the audit.

Note: For more details on working with Teams please visit How to Add or Remove Auditors / Team Members on an Audit Program.

4. Configure Notifications

Notifications can be sent to users when particular actions are performed, including:

• Finding created
• Finding changed
• Action item created
• Action item changed
• Audit program status

For all the above events both immediate and daily notifications can be created. An immediate notification alerts the user as and when the event is created or updated. A daily notification updates the user with the daily status of the events.

Users can also access or delete existing notification sets. 

To configure notifications:

1. Click New.
2. Enter a Name for the Notification Set. 
3. Select Status of Triggering Events. 
4. Select users to receive Immediate Notifications.
5. Select users to receive Daily Notifications. 

6. Click on Save button.
7. Click OK.
8. Click Close. 
9. Click Save and Next to complete the next steps or click Perform Audit to begin the audit.

Note: For more details on working with Notifications please visit How to Configure Notifications on an Audit Program.

5. Upload Attachments

Users have the ability to View, Add and Delete attachments to an audit program. In addition, for existing attachments users can edit the document details or overwrite an existing document.

To add attachments:

1. Click New.
2. Select the file.
3. Click Open.
4. Click Attach File.
5. Enter a Title and Description.
6. Click Save.

Note: For more details on working with Attachments please visit How to Upload or Delete Attachments on an Audit Program.

Important Note: This is the last step in setting up your Audit Program. When you are ready to begin the Audit click Perform Audit.

6. Further Reading