# Working with Audit Programs (HSE, QMS)

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<a href="/en/gr/78610/">QualityOne Vaults</a> allow you to determine and conduct <a href="/en/gr/650396/">audits</a> in a given period under a specified scope by creating audit program plans. As part of audit program planning, you can initiate, propose, and approve audit programs. Once an audit program plan is approved, Vault executes the audits against the plan. When complete, you can compare and review what was in the approved plan versus what was accomplished by your organization.

Depending on your <a href="/en/gr/650420/">Admin's configuration</a>, object, field, and section labels may appear differently than the labels mentioned in this article.

## About Audit Program {#about}

You can initiate, propose, and approve audit program plans for execution for a determined period using the _Audit Program_ object. During an initial process, the _Audit Program_ record requires appropriate field values and proposed audits to continue to an in-approval process. You must create the appropriate _Proposed Audit_ records to send for approval for the audit program plan. Once an _Audit Program_ record enters a specified state, approvers must complete the approval task to initiate the audit creation planned for a future start date in an approval process.

Once the _Proposed Audit_ records reach their planned audit creation date, the _Proposed Audit_ records automatically enter an execution process and trigger Vault to create the matching _Audit_ record for each _Proposed Audit_ record through an entry action. You can then conduct, update, and track the execution of the _Audits_ and its <a href="/en/gr/544041/#start-checklist">audit checklists</a> and <a href="/en/gr/544041/#audit_findings">findings</a> with the <a href="/en/gr/70759/#assign-users-team">assigned team members</a> for the related _Proposed Audits_ (while the _Audit_ record moves through its lifecycle) on the _Audit Program_ record. You may also create any unplanned _Audit_ record as part of the audit program planning process. You can track the progress of the actual _Audit_ against the _Proposed Audit_ as part of the audit program plan.

As an example, an audit planner needs to scope the next quarter's audits for her organization. The audit planner first creates an _Audit Program_ object record with the name "Audit Program Q4 2021", filling out the field data that her organization has determined is necessary. She creates one (1) or more _Proposed Audit_ related records, then populates the _Proposed Audit_ records with more specific metadata. When _Audit Program Q4 2021_ eventually enters a specified state, for example, _In Execution_, Vault automatically creates an _Audit_ object record for each _Proposed Audit_ record in the program. These _Audit_ records carry over data from their source _Proposed Audit_ record.

### Proposed Audits {#proposed-audits}

_Proposed Audit_ records represent the audits you plan within an audit program. When Vault creates _Audit_ records, Vault copies certain data over from the source _Proposed Audit_ record.

Vault may copy the following field values from the _Proposed Audit_ record, if configured by your Admin:
* _Auditee_
* _Planned Start Date_
* _Planned End Date_

Vault also copies values for any fields with identical _Name_ values on both the _Proposed Audit_ and _Audit_ objects.

### Unplanned Audits {#unplanned-audits}

If configured by your Admin, you can manually create audits from the _Audit Program_ record to account for unplanned audits not created by Audit Program Planning automation.

## Creating an Audit Program {#create-audit-program}

To create an _Audit Program_:

1. Navigate to the _Audit Program_ custom object tab or to **Business Admin > Objects > Audit Programs**.
2. Click **Create**.
3. Enter the **Name**.
4. Select the **Planned Start Date** and **Planned End Date**.
5. Click **Save**.
6. Optional: In the proposed audits section, create one (1) or more related _Proposed Audit_ records.
7. Optional: In the unplanned audits section, click **Create** and add any _Audit_ records that belong within this _Audit Program_ but were not created by Audit Program Planning automation.

You can continue adding _Proposed Audits_ and unplanned _Audits_ after creating the _Audit Program_ record.

### Create Proposed Audits Action {#create-proposed-audits}

The _Create Proposed Audits_ action on the _Audit Program_ object queries your Vault for applicable _Organizations_ or _Facilities_ and creates _Proposed Audit_ records with pre-populated data, reducing the need for manual _Proposed Audit_ record creation on the _Audit Program_.

Your Admin's configuration determines the source object for the _Proposed Audits_ (either _Organization_ or _Facility_), the object type of the created _Proposed Audit_ records (for instance, _Internal_ or _Supplier_), and the scope of the created _Proposed Audits_. The scope of created _Proposed Audits_ is determined by the lifecycle state and other data on the _Organization_ or _Facility_ records. For instance, an Audit Manager runs the _Create Proposed Audits_ action on an _Audit Program_ record in a Vault configured to create _Proposed Audits_ from _Supplier_ type _Organization_ records that are in an _Approved_ lifecycle state and exceed a certain risk threshold. Vault finds _Organization_ records that meet the guidelines and evaluates if the date on the _Organization_ is between the _Planned Start Date_ and _Planned End Date_ on the _Audit Program_ record. If it is, then Vault selects the record for _Proposed Audit_ generation.

When you execute the action, you may be prompted to provide _Organization_ or _Facility_ object field values on which to match. A typical configuration might prompt you to select a _Country_ value, and create _Proposed Audits_ for _Organizations_ or _Facilities_ with a _Next Scheduled Audit Date_ between the _Planned Start Date_ and _Planned End Date_ on the _Audit Program_ record.

If the _Proposed Audits_ inherit <a href="/en/gr/70761/#cascade-behavior">cascading Team Roles</a> from the Audit Team, those values transfer to the _Proposed Audits_ created through this action. Vault assigns the _User_ that is listed as Owner on the _Audit Program_ record as the Owner of all the created _Proposed Audits_.

Running the action creates up to 500 _Proposed Audit_ records. You can rerun the action to create additional records.

## How to Execute an Audit Program Plan {#execute-audit-program}

To execute an _Audit Program Plan_:

1. Navigate to the appropriate _Audit Program_.
2. Review the proposed audits section to ensure all the applicable _Proposed Audit_ records are created.
3. Optional: Review the unplanned audits section to ensure all the applicable unplanned _Audit_ records are created. You may add these records after executing the _Audit Program_ record on an ad-hoc basis.
4. Once the _Audit Program_ record reaches the planned start date, Vault will create related _Audit_ records for each _Proposed Audit_ record within the _Audit Program_ as part of a configured entry action. 
    * If configured, you can manually create related _Audit_ records for each _Proposed Audit_ record using the **Create Audit Record** action from the **All Actions** menu.
5. Refresh your browser's tab and review the related _Audit_ section. You may start working with each related _Audit_ record using the following general flow:
    * Adding the applicable audit <a href="/en/gr/70759/">team members</a>.
    * Generating the appropriate <a href="/en/gr/544041/">audit checklist</a> template records (_Checklist Design_ records).
    * Assigning the checklists to the team members based on the templates.
    * Sending the audit for performance.
    * Completing all assigned audit checklists with applicable <a href="/en/gr/544041/#audit_findings">audit findings</a>.
    * Creating an audit report at the end.

After conducting all _Audits_ as part of the _Audit Program_ plan and reaching the planned end date, you may complete the _Audit Program_ record's lifecycle to finalize all details and to prevent additional _Audits_ or _Proposed Audits_ from being created or linked. You may run reports to evaluate and compare the actual audit execution to the audit program plan for further assessment.