An Auditee can consist of an entity against which your organization is auditing; for example, a department or supplier for which your company audits. An Auditee can also consist of an entity (organization) which is performing an audit on your company; for example a customer or regulatory agency is coming onsite to audit your company. The auditee record in SmartAuditTM is the quality dashboard and contains valuable information about each audited or auditing entity.
Example Internal Auditees (Departments)
Example External Auditors (Customers)
The following rights must be assigned to a user to manage or view auditees:
Rights |
Description |
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ATE_MANAGE |
Allows administrator to add new Auditee, modify existing Auditee, or delete Auditee.
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ATE_VIEW |
Allows user to access Auditee to view and select.
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DPT_VIEW |
Allows user to access Department to view and select.
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CLI_VIEW |
Allows user to access Client to view and select (if applicable)
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WRC_VIEW |
Allows user to access Work Center to view and select (if applicable)
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STO_VIEW |
Allows user to access Standard Operation to view and select
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OPR_VIEW |
Allows user to access Operation to view and select (if applicable)
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PRL_VIEW |
Allows user to access Product Line to view and select (if applicable)
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PRT_VIEW |
Allows user to access Part to view and select (if applicable)
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PLA_VIEW |
Allows user to access Plant Area to view and select (if applicable)
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ACT_VIEW |
Allows user to access Actor to view and select
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Please see Rights Group to assign Rights Groups to users.
Auditees created in the global organization can be used by both the global organization and any local organizations; however, the organization specific audit schedules and all history are only visible when accessing the auditee from the specific organization. For example, when logging into the global organization and viewing audit history from the global auditee record, the user will only see auditee history for the global organization (not all local organizations using this auditee).
When logging into a local organization and viewing audit history from this audit which was created in global, the user will only see audit history for that logged on local organization (no global information is visible from here).
1. From the SmartSolve© tabs select Admin > Setup. Under Audit select Auditee.
2. Right click and select Add.
3. Enter information in the following fields:
Field |
Description |
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Code |
Enter a code for the auditee. NOTE: you may wish to use letters to start in the Code field to better sort the list of Auditees (i.e., C for Customer, S for Supplier, I for Internal, R for Regulatory, etc.)
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Organization Unit |
Zoom and select the organization unit for the auditee. Please see How to Create a Department, Client, or Work Center
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Product |
Zoom and select a product for the auditee, if applicable. Please see How to Create a Product Line or Part
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Process |
Zoom and select an operation or standard operation. Please see How to Create a Standard Operation or Operation
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Plant Area |
Zoom and select a plant area, if applicable. Please see How to Create a Plant Area
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Travel Time |
Enter the travel time needed to audit this auditee, if applicable.
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Primary Contact |
Zoom and select a primary contact. This actor will later become the exception owner for this audit. Please see How to Create a User
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Add Another |
Click this button to add another auditee.
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4. Click the Save button.
The new Auditee record has been created and the list of Auditees displays.
| NOTE: Since the Auditee list may become quite lengthy you may wish to open up the Saved Search capability in this table in order to better search and sort for your different types of Auditees. Please see the Forms Configurator for more information on how to open up Saved Searches in this or any list for which you would like to bring out this functionality. |
1. Access the list of Auditees.
2. Left click 
next to the auditee to view more information on the Auditee record.
A menu displays options for the auditee.
3. Click any option to display the auditee information.
Auditee Information
Auditee Tab |
Description |
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Detail |
The Detail tab contains all of the information applied to the auditee record as it was configured and can be modified at anytime by a user with appropriate rights.
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Policy
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The Policy tab contains any policies written for this auditee. Each time a scheduled audit for that auditee is created, confirmed and verified, the auditee's policies are searched to find a SQL statement condition that matches any of the information entered in the new schedule (i.e., Lead Auditor, Criteria No., Title, etc.). If a policy contains a condition matching the new schedule, then this policy is applied.
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Schedule
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The Schedule tab contains all scheduled audits for this auditee. View all schedules that exist for types of audits that need to be performed for this auditee.
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Audits |
The Audit tab contains a history and allows access to all audits currently in process or that have since been completed for this auditee.
NOTE: you may wish to open up Advanced Search view from this tab to allow end users to export this list to an Excel report right from the Auditee record. Please see the Forms Configurator for more information on how to open up Saved Search in this or any list for which you would like to bring out this functionality.
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Audit Exceptions |
The Audit Exceptions tab contains all audit exceptions that have been referenced to this auditee record. Audit exceptions are notes recorded by the auditor which require a plan of action to be investigated and responded to. The exception history contains a list of all in progress or completed exceptions for this auditee.
NOTE: you may wish to open up Advanced Search view from this tab to allow end users to export this list to an Excel report right from the Auditee record. Please see the Forms Configurator for more information on how to open up Saved Search in this or any list for which you would like to bring out this functionality.
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Action Plans |
The Action Plans tab contains all action plans that have been recorded for this auditee. Action plans are contained within exceptions. This is how the finding owners identify what they are going to do to correct/prevent problems from recurring. The action plan history contains a list of all action plans that have been identified by or for the auditee which are both in progress and completed.
NOTE: you may wish to open up Advanced Search view from this tab to allow end users to export this list to an Excel report right from the Auditee record. Please see the Forms Configurator for more information on how to open up Saved Search in this or any list for which you would like to bring out this functionality.
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The following options are available within auditee objects and can be managed accordingly by an administrator:
Auditees can be edited and deleted
Auditee Policies can be setup if different contacts are needed for different schedules
Auditees can later be attached to AdHoc Audits and Audit Programs for scheduling future Audits
1. From the SmartSolve© tabs select Admin > Setup. Under Audit select Auditee.
The Auditees list displays.
2. Click the 
icon to switch to Local view (if applicable).
3. Click the check box of the Auditee to edit, then select Action > Edit from the main menu (or right click).
4. Edit any information for your Auditee.
5. Click the Save button.
All changes should now be reflected in the list.
Auditees can only be deleted from SmartSolve© if the auditee has not been attached to any SmartSolve© records.
1. From the SmartSolve© tabs select Admin > Setup. Under Audit select Auditee.
The Auditees list displays.
2. Click the icon to switch to local view (if applicable).
3. Click the check box of the auditee to delete, then select Action > Delete from the main menu (or right click).
4. Click the Save button.
The auditee has now been removed from the system.
Auditee Policies indicate the conditions necessary to apply the primary contact to the scheduled audit (i.e., if the schedules' lead auditor is "Greg Smith," assign the primary contact as "Tracy Williams"). SQL statements are employed to write the condition; therefore, the event is limited only to the SQL statement.
Each time a scheduled audit for that auditee is created, confirmed and verified, that auditee's policies are searched to find a SQL statement condition that matches any of the information entered in the new schedule (i.e., Lead Auditor, Criteria No., Title, etc.). If a policy contains a condition matching the new schedule, then that policy is applied.
If no matching policy exists when the scheduled audit is created, confirmed or verified, then the contact defined in the auditee detail is applied.
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NOTE: Auditee policies should only be created if you are using Audit Programs. |
To configure an auditee policy, you must be familiar with writing the test condition in SQL statement format using the un-translated field names of any of the record creation or edit entries you wish to drive the policy. These SQL statements are not checked; therefore, human intervention is required.
Some common fields which may drive the policy may include:
Translated Field |
Code to use for Writing the Policy |
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Program No. |
APG_DOCUMENT_NO
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Title |
DOC_TITLE
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1. From the SmartSolve© tabs select Admin > Setup. Under Audit select Auditee.
2. Click 
next to the auditee.
3. Select Policy.
4. Right click and select Add.
5. Enter information in the following fields:
Field |
Description |
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Test Sequence |
Enter a sequence number. The system looks from lowest to highest to meet requirements.
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Test Condition |
Enter the untranslated field name(s).
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Contact Role |
Zoom to select a contact role.
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Contact |
Zoom to select a contact.
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Add Another |
Click Add Another to add additional policies.
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6. Click the Save button.
The example below shows that for this auditee, any regulatory audits (Audit Type) that are performed, will be overseen by the lead auditor, B. SMITH. B Smith will oversee all findings which require action plans (Exceptions) to be submitted within the local organization: