Audit User Guide

On this page:

The Audit module enables audits to be defined, scheduled and completed using an online register.
_{Click any image to view a larger version.}

Introduction

The Audit module enables administrators to log and monitor the details of auditing activity. The Auditing module is structured around Audit Categories and Audit Types.

Audit Categories are broad areas of auditing activity (such as Health, Safety and Environment). An Audit Type is a specific type of audit within a category
(such as a dangerous goods audit) which has its own checklist and reference documents.

Each time and audit is scheduled, an Audit Type is selected and the Audit Scope nominated. The Audit Scope could be a site, project, client or other ‘thing'

As an example, you may wish to audit Manual Handling at 3 specific sites and a project. To achieve this, you would create a Manual Handling Audit Type with
an associated checklist and reference document (such as a procedure), add the sites and project as Audit Scopes, then schedule an instance of the Manual Handling Audit for each of the sites and the project.

This process will be explained in more detail through this manual

Managing Audit Categories

Click on edit icon ( ) in the top right of the Audit screen. The Audit Categories tab is then visible.
Click the New Audit Category tab. Type in the name of the new category and click save.
To Edit a category, go to the Audit Categories page and select the Category for editing by clicking on the pencil icon ().
This brings up the Audit Category allowing you to edit the record, print it or copy to clipboard.
Click save once you have completed editing.
To Delete an Audit Category select a category by clicking on the Delete button (). If there are no Audit Types within the Category
the system prompts user and then deletes category should the user proceed. If there are Audit Types within this category the system will prompt the user with an error message.

Managing an Audit Type

Audit types are used to create a schedule and conduct audits.
Audit Types allow a checklist and reference docs to be identified and provided to an auditor and remain associated with the completed Audit. Audit Types are grouped by Audit Category.
To add a new Audit Type click the Audit Types page and click Add New Audit Type. This will bring up the form for a new Audit Type.
Enter the name and guidance information and select an Audit Category for the new Audit Type.
Add one or more Checklists relevant to the audit by uploading as an attachment. Added checklists will be listed in the field below.
Similarly, any relevant Documents can be added in the Documents field.
Note: If you are using the Survey / Inspections Module, an electronic checklist (from this module) can be added here. Select a checklist from the Survey selector. This will insert an electronic checklist from the Checklist module into the Audit Type.
Save the Audit Type when finished adding the new type. The system will create the new Audit Type.
To Edit an Audit Type, select the Audit Type for editing from the list clicking on the pencil icon (). This brings up the Audit Type allowing you to edit the
Category, Name, add or remove checklists and documents, print it or copy to clipboard.
Click save once you have completed editing.
To Delete an Audit Type select a type by clicking on the field to the left of the I.D. number. Click the Delete button (). If there are no Audit Records
associated with the Audit Type the system prompts user and then deletes the Audit Type should the user proceed. If there are records against the audit
type the system will prompt the user with the message “Cannot delete Audit Type as there are associated Audit Records”.

Schedule an Audit

By scheduling an Audit, an Audit Type, Manager and Audit Scope are identified and a timeframe is specified including the date of audit and whether it is recurring.
Audits can be scheduled to recur at a set interval.
To schedule a new Audit open the Audit Types page and click Add Scheduled Audit (see Figure below).

_{[click to enlarge]}

Insert the Audit Type from the drop down list (Note: the drop down list does not display archived Audit Types).
Select the Start Month and End Month from drop down list.
If the audit process includes activity regularly over time this can be recorded in the Recurring Months feature. Define how often the audit is to recur by
selecting a Recurring Months value.
This can be blank or 1, 2, 3, 4, 6, 12, 24, 36, 48, or 60 months. (Note: the system does not accept recurring intervals less than the length of the months selected).
Click Create Audit. The system will generate audit and it will appear in the Manage Audit list. The system will display a confirmation screen
summarising the details of the new Scheduled Audit (see Figure below):

_{[click to enlarge]}

Edit or Delete a Scheduled Audit

To edit or delete a scheduled audit, open the Manage Audits page (you must be an administrator to edit the Date, Manager, Site or Recurring interval).
Select the Audit you need to edit. The system brings up the page for that audit and you can edit accordingly.
Save the changes to the Audit.
You can delete an entry by selecting an entry using the tick box, and clicking the Delete button.
If the Audit(s) is Open, Overdue or Expired the system will delete the Audit. If the Audit is completed or Closed the system displays message that the audit cannot be deleted.

Complete a Scheduled Audit

By completing an audit, the Manager changes the state to Complete.
Open Manage Audits page and select the Audit that has been completed.
Make the necessary modifications (upload Attachments, enter Scores, download Checklists or open documents).
The User can also enter any Remarks or add comments or amend the Scope of the audit.

_{[click to enlarge]}

Specify one or more Actions that are to be undertaken. (Note: Actions can only be allocated to users with access. Complete the following Action fields:

- By Whom

- Description

- Due Date

- Comment (multiple)

- Status

These fields are all mandatory except for Comment.
The Figure above shows the completion of audit field with the Add Action box open.
If the Audit is complete, check the Declaration stating that the audit has been satisfactorily conducted and all action items are complete.
The User has 4 options when saving and audit (depending on the audit status):

Save – System leaves status as Open and saves data

Save and Complete – If there are actions entered the System validates that all mandatory fields are entered and, if so, the system will:

Send email notifications to people responsible for actions

Saves audit and sets audit status to Complete

Save and Close – If there are no actions entered the system validates that all mandatory fields are entered. The system validates that the declaration is checked.

Cancel – The system discards the changes and the audit remains as Open.

Update Action Status

Administrators or people responsible for action items can login and update the status of an action and leave comments.
To Edit or Close an action, open the Manage Audits page and select the audit to update. (Note: User can only see the audits for which they are responsible).
Open the Action and update the status or leave a comment.
Save the changes.
If the system now records all actions as complete, the system will notify the Manager that the audit is ready for closure.

Complete an Audit

When all Actions are Closed, the Manager can mark the audit as Complete. This is prior to the Declaration being signed off (the Close Out section).
Open the Manage Audits page and select the audit to open in edit view. The system displays the audit in edit view.
Click Save and Complete – System verifies that the Actions are Closed (or there are no actions) and marks the Audit as Complete. It is now ready to be Closed.

Close an Audit

When all Actions are Closed or if there are no Actions, the Manager can close the audit. The audit does not have to be first marked as Complete in order to Close it.
Open the Manage Audits page and select the audit to open in edit view. The system displays the audit in edit view.
Check the tickbox Declaration and enter a Closing Comment in the Close Out section.
Click Save and Close – System verifies that Declaration is ticked and that all Actions are Closed (or there are no actions).

Enter an Ad-Hoc Audit

This function allows you to select an audit type and enter an audit without having to schedule it first. An Ad-Hoc Audit must belong to an Audit Type and,
while they can have a date-range, cannot have a recurring date. They appear in the Manage Existing list as normal once created, but can be deleted by the creator.
To schedule an Ad-Hoc Audit, open Manage Audits page and click on New Ad-Hoc Audit.
The system presents detailed audit page with the logged in user listed as the Manager of the audit.
Select Audit Category and Audit Type. (Note: this will not display archived audit types)

_{[click to enlarge]}

Enter the Date Audit Carried Out and the Date Audit Completed.
Enter the first and last name of the Auditor.
Upload Attachments (reports), enter Scores and define any Actions required and by whom. The User can also enter any Remarks or add comments. Tick the Declaration box and Save.

System Scheduler

The System Scheduler manages recurring audits based on the Start Month and Recurring Months selections.
When a recurring series of audits is programmed, only the first in the series is actually created.
Subsequent audits are created by the Scheduler after the current audit period has closed. The date of the newly created audit is dependent upon the recurring months specified for the previous audit.
Audits that are non-recurring do not trigger a new Audit Record