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{{DISPLAYTITLE:Audit planning}}__FORCETOC__

In the course of risk or quality management and other areas of business, it is common to schedule audits to which reviews or analyses are assigned. Usually, audits, e.g. "First audit of clinic Y" or "Update of all BIAs 2022" are planned over several days or weeks. They can be bundled into audit programs. Several individual audits and their reviews (e.g., business impact analyses, risk analyses, re-audits of findings, etc.) are then conducted for the audit programs with different people from the organizational unit to be audited.

Experts and professionals can create and manage audits and audit programs under "Audit Management → Audit planning".

== Audits ==

In the "Audit management → Audit planning → Audits | Audit programs" overview, all audits and blockers that exist in the currently selected management system are listed. 
Using the pink button, audit reports can be downloaded as PDF or Word files. 
[[Special:MyLanguage/Audit_erstellen|New audits or blockers]] can be created with the plus button.

[[Datei:AM Audit Übersicht.png|left|thumb|901px|Audit overview]]

Information about the columns State audit plan report/audit report/audit program report:

These columns show whether the respective report has already been generated with revision information in the report archive and what recipients it was sent to. The first line shows the revision state and number. Below that is a list of the recipients of the most recent version of the report, or the information, when the report was last sent to the full recipient pool. The information revision state, revision number, and sent to correspond with the information entered in the dialog when choosing "generate with revision information in archive".

Regarding the order of entries: entries are first sorted descending by version number (newest/highest first). If the same version number is used multiple times, entries are also sorted by the report creation date (latest generated report is displayed).

===Assessment of audit times in the overview===
The duration in days and hours can be displayed and summed up for audits. For this, the two columns "Audit days" and "Audit hours" are displayed in the overviews under Audit management > Audit planning > Audits as well as Audit management > Audit planning > Edit audit program > Assigned audits.

An audit day is any day that has at least one review scheduled (these reviews do not have to be completed to count, they can just be planned as well). On an audit day, the hours of the reviews are counted as audit ours. Other appointments are not counted into neither audit days nor audit hours. Blockers, too, do not factor into these sums.

The filter options in the two overview grids allow for the summing up of the audit times by varying characteristics. For example, external audit days or the hours of a specific lead-auditor can be assessed.

Example: If a three-hour review is done on one day and a two-hour one on another day for Audit A, then it is an audit with 2 days and 5 hours, respectively. Were these reviews planned for the same day, it would be 1 day and 5 hours, respectively.

[[Datei:Auditzeiten.png|left|thumb|901px|Audit times]]

=== Create/edit/delete audit ===
To create an audit you have to click on the "plus" button in the overview.
If you want to delete or edit an audit, e.g. because the status has changed, double-click the desired audit in the overview.

You can also schedule new reviews here or assign existing reviews to the audit. (see [[Special:MyLanguage/Audit erstellen#Zugeordnete Überprüfungen|assigned reviews]]).

If you delete an audit, the assigned reviews are '''not''' deleted. They still exist and can be assigned to other audits.

Hint: For details on the master data of an audit and the assigned reviews, see [[Special:MyLanguage/Audit erstellen|Create audit]].

[[Datei:Audit erstellen 2.PNG|left|thumb|905px|Editing a audit]]

=== Audit status and workflow ===

This graphic describes how the workflow button affects the status of the audit:

[[Datei:Audit-Workflow.png|right|thumb|700px|Workflow and state transitions]]

After an audit is created, it is in the "Draft" status. This status is additionally marked as "delayed" if the current date is later than the start date of the audit.

Only when the audit is released by the workflow button with the option "Release planning", it changes to the next status. The next status is either "Planned", "In progress" or "In rework". This status depends on the date of the audit and is changed automatically:
* Planned: The audit is released and the current date is earlier than the audit start date.
* In progress: Audit is released and the current date is between the audit start date and audit end date.
* In rework: The audit is released and the current date later than the audit end date.

In this status, the workflow button includes the option “Complete report”. Clicking this button closes the audit. The audit can also be closed automatically: when the last review of the audit is closed, HITGUard will ask the user whether the audit should be closed ass well. Closed audits have either the “Closed” status or the “Measures processing” status. the latter status is assigned to audits that have been assigned actions during reviews which have not yet been completed.

Additionally, the workflow button can be expanded to return the audit to draft status or cancel it in general.
* Edit plan: Audit changes back into "Draft" state.
* Cancel audit planning/Cancel audit: Sets the audit to the state canceled.

===Measures & controls===
This overview shows all measures and controls that are linked with the audit, e.g., via the gaps identified in an analysis.

[[Datei:Terminkalender Agenda.png|right|thumb|500px|Agenda]]

=== Appointments ===

In the "appointments" tab, all assigned reviews are displayed as a list right next to the calendar. In the calendar, you can view audit-related dates, such as beginning and end of appointments. You can also record other dates that occur during an audit, such as breaks or kick-off meetings.

The calendar within the audit shows the first appointment in the audit when opened.
If there are no appointment entries within the audit yet, the start date of the audit is displayed.

The reviews and other appointments are displayed in the color that is stored in the audit.

In the calendar, the displayed period can be set in the upper left corner. With the dropdown on the top right you can switch between month, week, day and agenda display.

In the Agenda tab, you can find all the dates of the audit of the selected week.

[[Datei:Audit Termin.PNG|left|thumb|900px|Appointment calendar]]

[[Datei:Kalender Überprüfung TT.png|rechts|thumb|401px|Appointment details]]

By simply clicking on a review, information about the review is displayed. By clicking on the edit button (pencil within the three dots on the top right), the respective review opens.

In the appointment schedule, appointments/reviews can also be created as described in [[#appointment|Create appointment]]. However, this is only possible as long as the audit has not been closed.

Wird eine Überprüfung in der Übersichtsliste markiert, wird sie auch im Kalender hervorgehoben und umgekehrt.

[[Datei:Audit_Termine_Seite_neu.png|left]]

=== Management Summary ===

A summary can be created for an audit to highlight the pros and cons of the audit. This summary can be used for various reports, such as the audit plan report.

[[Datei:Audit Management Summary.PNG|left|thumb|900px|Management Summary]]

== Audit programs ==

In the mask "Audit management → Audit planning → Audit calender | Audits | Audit Programs" all audit programs that exist in the currently selected management system are listed.

[[Datei:Auditprogramme Menü.png|left|thumb|901px]]

=== Create/edit/delete audit program ===
To create an audit program see [[Special:MyLanguage/Auditprogramm erstellen|create audit program]].

If you want to delete or edit an audit program, e.g. because you want to add an audit, double-click on the desired program in the "Audit programs" overview.

To schedule or assign audits see [[Special:MyLanguage/Auditprogramm erstellen#Zugeordnete Audits|Assigned audits]]

If you delete an audit program, the assigned audits are '''not''' deleted. They still exist and can be assigned to other audit programs.

[[Datei:Auditprogramm erstellen 2.PNG|left|thumb|902px]]

=== Status and workflow of audit programs ===

This graphic describes how the Workflow button affects the status of the audit program:

[[Datei:Auditprogramm workflow.png|right|thumb|700px|Workflow and state transitions]]

After an audit program is created, it is in "Draft" status.

Only when the audit program is released by the workflow button with the option "Release planning", it changes to the next status. The next status is either "Planned" or "In progress". This status depends on the date of the audit and is changed automatically:
* Planned: The audit program is released and the current date is earlier than the audit start date.
* In progress: The audit program is released and the current date is between the audit start date and audit end date.

In this status, the workflow button shows the option "Complete audit program". Clicking this closes the audit program. The audit program can also be closed automatically, since after the last open audit is completed, the auditor is asked whether the audit program should be closed.

In addition, the workflow button can be expanded to return the audit program into the "Draft" status.

=== Audit calendar===

In the calendar, the dates of the audits of the audit program can be viewed. In the "Month" view, all audits that start, end or run in this month are displayed. In the "Agenda" view, it is possible to view what is planned for the week on a weekly basis. The view can be changed using the dropdown at the top right of the search field.

The calendar within the audit program shows the first appointment in the audit program when opened.
If there are no appointment entries within the audit program yet, the start date of the audit program is displayed.

The radio buttons at the top left can be used to switch whether audits or reviews of audits are to be displayed.

Caution: Audits that do not have a start or end date are not displayed. Instead, information is provided about which audits are not displayed.

[[Datei:Auditprogramm Auditkalender.png|left|thumb|903px|Audit program calendar]]

[[Datei:Kalender Überprüfung TT.png|right|thumb|400px|Appointment details]]

By simply clicking on an audit/review, additional information will be displayed. By clicking on the edit button (pencil within the three dots on the top right), the respective audit/review opens.

You can also carry out general/detailed planning (planning of blockers and conversion of blockiers into audits) in this calendar.

Furthermore, as described in [[#appointment|Create appointment]], appointments/reviews can also be created.

However, appointments can only be created as long as the audit program is not closed.

==Audit planner=
[[Datei:Auditplaner_Buttons.png|right|thumb|200px|Planerbutton]]Out of the audit program, the audit, and the corresponding overviews, it's possible to navigate to a planning view at the click of a button that offers these possibilities:
*edit master data (name, start and end date; for audits and assessments also the OU and the lead auditor)
*add audits to an audit program or remove them
*add assessments to an audit or remove them
*navigate to the audit program, an audit, or an assessment with one click
*add topics from knowledge bases and/or topic collections with drag & drop (find more on topic collections [[Special:MyLanguage/Auditmanagement_Einstellungen#Themensammlungen|here]])
[[Datei:Auditplaner_AP.png|left|thumb|901px|Auditplaner]] 
Vertical scrolling moves you from one audit to another within the audit program. 
Horizontal scrolling moves you from one assessment to another within an audit.
New elements (audits and assessments) can be added with the various "plus" buttons. The "trash can" buttons serve to delete elements (audits and assessments) that haven't been closed yet. The "link" buttons take users to the respective elements.

===Planner - audit program===
Opening the planner from an audit program or from the overview of audit programs, takes you to an interface where you can access all audits of the program. You can edit or delete these, or create further audits. Within the audit, reviews can be created, edited, or deleted. Closed reviews, audits, and audit programs, however, are not editable.

===Planner - audit===
Opening the planner from an audit or from the overview of audits, takes you to an interface where you can also see the audit program. However, it only includes the selected audit, within which you are positioned in order to work there.From the audit planner you can navigate to the audit program planner.

===Adding review objects to reviews===
In the audit planner you can select topic collections and knowledge bases, and receive a list of all topics contained therein. These can be added to reviews via drag & drop. When adding them, the list view shows how many times a topic has been added to reviews of the shown audits. [[Datei:TS_AuditHinzufügen.png|left|thumb|900px|Auditplaner]] 
This makes it possible to edit all reviews of all audits of an audit program in one single view and to either split up larger topic collections among them or to assign smaller topic collections to one, more or all reviews. Topic collections and knowledge bases can be mixed when doing this.
===Revaluation via the audit planner==
[[Datei:Auditplaner_Themensammlung_NeubewertungIcon.png|thumb|500px|right|Revaluation available]] In the audit planner, an exclamation point shows if there is already a closed review for a topic from a knowledge base or a topic collection.It is possible to create a revaluation instead of a further first-time evaluation for this topic. Just like in the review assistant under [[Special:MyLanguage/Überprüfung#Neubewertung_bestehender_Prüfobjekte|revaluation of existing review objects]], you have the option to choose whether you would like to take over all/none/positive answers and whether you would like to pre-fill in a justification for all answers.

[[Datei:Auditplaner_Überprüfung_NeubewertungIcon.png|right|thumb|400px|Button in the review]] In the review itself, these topic/review objects have an "exclamation point" button which opens the dialog and allows the options to be edited.

[[Datei:Auditplaner_ZurNeubewertungVerfügbarePrüfobjekte.png|right|thumb|500px|Zur Neuobewertung verfügbare Prüfobjekte]] A further option the audit planner offers is the collected revaluation of different review objects, which can be viewed all together within the list item "Objects of review available for reassessment". From this overview you can then select all review objects you would like to revaluate. Here, too, you have the option to choose whether you would like to take over all/none/positive answers and whether you would like to pre-fill in a justification for all answers.

<!--
== Overall audit calendar ==

On the page "Audit management → Audit planning → Audit calendar | Audits | Audit programs", a calendar is displayed providing information on all audits. Thus, all audits from all audit programs are displayed.

The radio buttons to the left can be used to switch between showing audits and audit appointments. The checkboxes can be used to select which types of appointments are displayed in the calendar.

The audits/audit appointments are displayed in the color that has been set in the audit.

In the calendar, the displayed period can be set in the upper left corner. The scale of the period (day, week, timeline week, month, quarter, year, or an agenda of all dates) can be set with a dropdown menu to the right of the search field in the top right corner.

The "Today" button, depending on the selected period, either shows the day view or highlights the day (week views).

Double-clicking on an audit or audit appointment opens the detail page of the audit or the review for the audit appointment, respectively.

[[Datei:Auditkalender.png|left|thumb|907px|Audit calendar]]

[[Datei:AM Kalender Sucher Ergebnis.png|right|thumb|500px|Search]]

=== Search ===

The search field can be used to search for specific audits or audit appointments.

All results of the search are displayed in a list. Double-clicking on a result opens the appointment.

Additionally, the search can be refined by setting filters. It is possible to filter by audit programs and audits, auditors and co-auditors, as well as by organizational unit. For the organizational units, additional information is also available, such as audit cluster and type.

=== Status of audits and audit appointments ===

In the calendar, audits and audit appointments are labelled based on their status:

{| class="wikitable"
!Element
!State
|-
!Reviews ''(3 circles)''
|Draft (1/3) In process (2/3) Closed (3/3)
|-
!Self assessment reviews ''(4 circles)''
|Draft (1/4) In process (1/4) Requested (2/4) Answered (3/4) Closed (4/4)
|-
!Audits ''(5 circles)''
|Draft (1/5) Draft (delayed) (1/5, orange) Planned (2/5) In progress (3/5) In rework (4/5) Closed (5/5) Measure processing (5/5) Cancelled (5/5, red)
|}

[[Datei:AM Kalender HoverTT.png|right|thumb|400px|Appointment details]]

In addition, an audit/appointment may be marked with a triangle containing a exclamation mark. This can have the following causes:
* External audit without internal preparation audit (Only if [[Special:MyLanguage/Auditmanagement_Einstellungen| Setting]] is activated).
* Appointment/Audit is not within the time frame (start/end date) of the audit/audit program.

Clicking once on an audit/audit appointment will display additional information. Clicking on the edit button (pencil on the top right) opens the respective audit or audit appointment. If the audit or appointment is marked with a triangle containing a exclamation mark, the reason for it can be also be found here.

[[Datei:AM AK Grobplannung.png|right|thumb|500px|Create blocker]]

=== Create blockers and audits ===

To get the planning options, the view must be set to "Audits" and not "Audit appointments".

In an optional first step, blockers can be created. This can be used to keep appointments free if more detailed information about the audit is not yet available. Once more precise details about the audit are known, a blocker can be converted into an audit.

To create a "blocker", right-click into an empty area and click on the option "Create blocker".

An area can be selected and turned into a so-called "blocker" with a right-click. The borders of the selected area are used as the start and end date.

If the blocker is assigned to an audit program, it can be pre-filled with some of the audit program's basic data (start and end date, partisanship). When creating an appointment in the calendar, the already selected date is not overwritten. To pre-fill information, simply click the button next to the audit program.

[[Datei:AM AK Feinplannung.png|right|thumb|500px|Create audit]]

The conversion to an audit in the second step is used to fix blockers and thus create audits.

To perform this conversion, right-click on a "blocker" and click on the option "Convert to audit" or double-click into an empty area (left-click).

If the planned audit is assigned to an audit program, it can be pre-filled with some of the basic data of the audit program (start and end date, organizational unit, partisanship, focuses). When creating an appointment in the calendar, the already selected date is not overwritten. To pre-fill information, simply click the button next to the audit program.

The selection of the organizational unit for the audit can be filtered according to the following criteria in addition to the table:
* OrgUnit not audited in the last x years.
** The x can be set as required. Thereby all OrgUnits that have been audited in the last x years will be displayed grayed out.
* Suggestion to audit this OrgUnit in every audit program.
** In the audit creation, this organizational unit is always suggested for audits if it has not yet been scheduled in the respective audit program.
Note: The option to suggest an OrgUnit for every audit program trumps the restriction of showing only OrgUnits that were not audited in a specific period of time. This means that OrgUnits that are to be suggested for every audit program are not grayed out, no matter when they were last audited.

If an OrgUnit is displayed in italics, then it is no longer active. More about this can be found at [[SSpecial:MyLanguage/OrgEh_-_Organisationseinheiten#orgcre| Organizational Units]].

[[Datei:TerminartAuswahl2.png|right|thumb|700px|Select appointment type via right-click or in the window]]

=== Create audit appointments ===
When the view is set to "Audit appointments" and not "Audits", assessments and other appointments can be created in the calendar.

[[Datei:AM Audit Termin erstellen.png|right|thumb|501px|Create other appointment]]

An assessment or an other appointment for the audit can be created with a right-click onto an empty field in the calendar. It is also possible to select an area and turn this into an assessment or other appointment with a right click. In this case, the margins of the selected area are used for the beginning and end date.

Other appointments are used to plan things such as trips to and from the audit location, or kick-off workshops and the like, in the calendar. The appointments must be assigned to an audit, but otherwise contain less information than assessments. Important: The subject and description of the appointment are included in the agenda of the audit report!

[[Datei:AM Audit Überprüfung erstellen.png|right|thumb|501px|Create assessment]]

Planned assessments must be assigned to an audit and can then be pre-filled with some of the basic data of the audit (start and end date, organizational unit, lead auditor, co-auditors/companions, responsible). When creating an appointment in the calendar, the already selected date is not overwritten. To pre-fill information, simply click the button next to the audit program.

The appointment type lets you choose whether what you are creating is a protection needs analysis (PNA), a gap analysis (GA), or a review result (RR). If this selection was already made in the calendar, it is not offered again in the window.Note: Reviews that have not been assigned to an audit are displayed in the calendar if the respective checkbox "Assessments without audit" is selected. They are shown without color.

[[Datei:IcsExport.png|right|thumb|600px|Export calendar item]]

=== Export of appointments and meetings ===

Entries from all of the calendars in the audit management module (direclty in audit planning, within the audit, and within the audit program) can be downloaded via the three dots in the tooltip. The respective button downloads an .ics file that can be opened with a double click.

If a calendar entry is downloaded as an appointment, this contains the name as the title, the begin and end time, the location (if an organizational unit has been recorded), as well as the description. The appointment can be saved in the calendar and distributed to others from there. If a calendar entry is downloaded as a meeting, in addition, it contains the participants, provided that an e-mail address has been recorded for the respective users and/or external auditors. The meeting can be saved in the calendar and distributed to the pre-filled participants.

The following information is exported with the .ics for each type of entry, provided it has been entered:

{| class="wikitable"
!Element
!Content in the .ics
|-
!'''Audit'''
|Title: Name + [external] + / Division Time: Begin and end date incl time Location: OrgUnit or adress Text body: Description + Focuses + Remarks
|-
!'''Blocker'''
|Title: [BLOCKER] + Name + [external] Time: Begin and end date incl time Text body: Description
|-
!'''Review'''
|Title: Name + / Function Time: Begin and end date incl time Location: OrgUnit or adress Text body: Description + Remarks
|-
!'''Other appointment'''
|Title: Name Time: Begin and end date incl time Text body: Description
|}

By right-clicking on an empty field, a review for the audit can be created within the calendar.

An area can be selected and turned into an assessment with a right-click. The borders of the selected area are used as the start and end date.
-->