BUSINESS ASSURANCE

iENABLE – AUDIT MANAGEMENT USER GUIDE

13-Oct-2019

iEnable – Audit Management

TABLE OF CONTENTS

1. LOGGING IN TO IENABLE ....................................................................................................................................... 4

2. SETTING YOUR DASHBOARD COMPONENT ........................................................................................................... 5

3. BEST PRACTICE: DASHBOARD COMPONENT FOR AUDITORS ................................................................................ 7

3.1 AUDITORS Component ...................................................................................................................................... 7

3.2 CERTIFICATION PROJECT - ACTIVITIES Component ........................................................................................... 8

3.3 CERTIFICATION PROJECT AUDITS Component .................................................................................................. 8

3.4 CERTIFICATION PROJECT – CORRECTIVE ACTIONS Component ........................................................................ 9

3.5 AUDITOR DASHBOARD Component .................................................................................................................. 9

4. CREATING THE AUDIT PLAN................................................................................................................................. 10

5. PERFORMING AN AUDIT ONLINE ......................................................................................................................... 12

5.1 SMART Audit Overview ................................................................................................................................... 12

5.2 Starting the Audit (Questionnaire) .................................................................................................................. 15

5.3 Audit Questionnaire Page ............................................................................................................................... 16

5.4 Question Summary Status section at Audit Questionnaire Page .................................................................... 21

5.5 Answering Questions ...................................................................................................................................... 21

5.6 Creating Findings / Processes.......................................................................................................................... 26

5.7 Editing and Completing Questions .................................................................................................................. 31

5.8 Releasing/Finalizing the Audit ......................................................................................................................... 32

6. USING THE OFFLINE TOOL TO PERFORM AUDITS ................................................................................................ 35

6.1 System Requirements ..................................................................................................................................... 35

6.2 Logging in to SMART Offline Tool .................................................................................................................... 35

2.2 My Auditor Assignments ................................................................................................................................. 36

2.3 Viewing Audit Details from My Auditor Assignments ..................................................................................... 38

2.4 Requesting the Audit Questionnaire ............................................................................................................... 39

2.5 Audit Questionnaire Page and Next Steps ...................................................................................................... 41

2.6 Uploading Audits Online ................................................................................................................................. 43

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 2.7 Unlocking an Audit Questionnaire .................................................................................................................. 43

7. LEAD AUDITOR REVIEW ....................................................................................................................................... 44

8. CORRECTIVE ACTION ........................................................................................................................................... 49

8.1 Navigating to/Viewing Corrective Actions ...................................................................................................... 50

8.2 Manage Corrective Actions & Uploading of Attachments .............................................................................. 51

8.3 REJECTING CORRECTIVE ACTIONS (Client uses Client Portal) ......................................................................... 54

9. REVISING THE AUDIT ........................................................................................................................................... 54

Version Control ................................................................................................................................................................. 56

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1. LOGGING IN TO IENABLE
Accounts are personal and must be requested through your Local Super User. User accounts are given to
each person who will be using the system and should not be used by multiple individuals. Updates of User
information such as new name or email address, phone number, address etc. will have to be requested
through your Local Super User.

Step Description

1 From your web browser, type the following address into the Address Bar:

https://ienable.intertekconnect.com

2 Enter your iEnable ‘User Name’ and ‘Password’ in the text field then click Login.

Note:

 If you have forgotten your User Name, click the ‘Forgot User Name?’ link and complete the
steps.
 If you have forgotten your Password, click the ‘Forgot Password?’ link and complete the
steps.
3 Once logged in you can do the following under your account profile:

 Click the “Welcome, [your name]” link and select ‘Edit My Profile’. Here you can edit your
profile information as needed.

 Click ‘Change your password’ if you wish to.

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  Link to go to your calendar ‘Go To Calendar’

 Logout

2. SETTING YOUR DASHBOARD COMPONENT

In order to make the Portal Dashboard as effective as possible, it must be customized to suit your tasks in
iEnable. Each component is designed to help you accomplish a specific task with ease. For example, if you
are an auditor approving corrective actions from an audit, you will want to make sure you add the
‘Certification Projects-Corrective Actions’ component to your dashboard.

Step Description

1 Adding Components

 From your Home Portal Dashboard, click the plus sign to add a new tab.

 On the added tab, double – click on the name to rename it to your liking. Click the green
checkmark to finalize the name.

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  Click the arrow in the lower right of the tab and select the component to add.

NOTE: You can add up to three components in one tab. However it is not recommended to add
more than 3 to avoid system performance speed issues.
2 Removing Components

 Simply click x to remove a component

3 Renaming Components

Double-click on the component name to rename.

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 4 Filter component and Save Template

 To filter for your component, click + Expand Search Option and select the fields.

 To save your search filters to a template so you can re-use it in case you use the same filters
most of the time; enter a name of the template in the template box then click the green
checkmark to save. To set it as default click the checkmark with a black circle.

3. BEST PRACTICE: DASHBOARD COMPONENT FOR AUDITORS

3.1 AUDITORS Component

Step Description

1 Set a component for your profile. You can use this component to search for your skillset, auditor
grade, certificate expiration date, etc.

 Add the Auditors Component and set your search filters

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3.2 CERTIFICATION PROJECT - ACTIVITIES Component

Step Description

1 Add the Certification Project – Activities component and set the following filters.

 Set the activity status to 9. Audit plan pending and 10. Audit plan in-progress. You have an
option to save this as your default template ex. Audit Plans

 Set the activity status to 11. Audit(s) pending and 12. Audit(s) in-progress. You have an option
to save this as your template ex. Audits

 Set the activity status to 13. Lead auditor review pending and 14. Lead auditor review in-
progress. You have an option to save this as your template ex. Lead Auditor Reviews

3.3 CERTIFICATION PROJECT AUDITS Component

Step Description

1 Using this component you can easily search for and view audits, quickly see due dates, activity
name, standards, and audit status.

Click the paper icon to go directly to the SMART Overview page.

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3.4 CERTIFICATION PROJECT – CORRECTIVE ACTIONS Component

Step Description

1 Using this component you can:

 Search for and view Corrective Actions by Project

 Sort search results by project information, activity name, auditor findings, attachments, status,
approval date, or closed by/on date
 Quickly see the status of Corrective Actions, document uploads and approval status
 Open the Corrective Actions management page
 Open the Corrective Actions management page
 Go to the activity dashboard
 Certification Projects Corrective Actions component is recommended for Lead Auditors

3.5 AUDITOR DASHBOARD Component

Step Description

1 Easily search and view audits with KPI fields such as Time for Audit Plan Submission, Time for Draft
ASR, Time for CA Review, and etc.

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4. CREATING THE AUDIT PLAN
Your job in iEnable starts when the audit is at status 9. Create Audit Plan. Search for the audit at this status.
You can view the details of the audit first through the activity tabs before proceeding to create the audit
plan.

Step Description

1 Once you are at the Activity Details tab of the Activity Dashboard where the activity status is at 9 –
“Audit plan pending”. Click the Possible Actions drop-down menu and select Create Audit Plan.

2 The “Audit Plan” popup window displays, showing the notification email that will be sent to the
auditor and the Facility. Click the icon and follow the instructions to attach a
file to the Audit Plan email.

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Step Description

 Edit the email, if needed. You may also add email recipients to the CC: and BCC: lines. You
may also change the language, if necessary.
 If you are not ready to send the Audit Plan, you may click Save As Draft and come back to it
later.
 To Preview the Audit Plan before sending it, click Preview Audit Plan.
 If you are ready to send the Audit Plan, click Complete and Send Assignment Letter button.

NOTE:
 Regardless of which site you selected as the main site during initial setup, the
contracted company information will display as the header of the Audit Plan.
 If in case the audit plan needs to be corrected or updated for some reason after it was
sent, an option to revise the audit plan will be available for the activity. The revised
audit plan and all other versions will also be stored in the Documents tab of the activity.

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Step Description

3 You can opt out of sending the Audit Plan notification email by clicking the No radio button next to
Would you like to send the Audit Plan?

The notification editor text box is replaced by a text box where you must enter the reason why you
are skipping the Audit Plan notification email.

After entering the reason for skipping the notification, click Save as Draft to save your entry and
continue entering text, or click Save and Continue to move on to the next step. The text you
entered will be saved as a file in the Documents tab of the Activity Dashboard. To exit the popup
window without saving your changes, click Close.

4 After completing the audit plan step, the status will progress to 11. Audit(s) Pending.

NOTE: Actions for creating the audit plan or revision can also be accessed from your calendar.

5. PERFORMING AN AUDIT ONLINE

5.1 SMART Audit Overview

Step Description

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 1 Search for your assigned audit which is at status 11. Audit(s) pending

Note: When you open your audit after just sending the audit plan, a synchronization warning will
display (see below). The reason for this is the audit needs to send and update all information to our
SMART Audit Tool. Please wait for 15 minutes or less for the audit to be available.

2 From the Activity Details tab of the Activity, click on the blue arrow next to a site and select Go to Audit
Overview to open the SMART Audit Overview interface.

Note: The SMART Audit Overview is the new interface where we find the audit record information and
questionnaire page.

The following tabs are available in SMART Audit Overview:

 Overview – displays the site’s details, assignments, and site’s contact details
 Documents
- Displays files (generated from the system/uploaded manually) for the current audit and
those from previous audits of the same certification project.
- Display the documents associated to a standard in the language selected at ‘Audit Tool
Language’ by default. In case auditors wish to see documents in other languages, they can
select from the dropdown list.
- All documents in this tab are available for download anytime, as an option for the auditor.

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  History – shows the history of the original audit questionnaire and its revisions.
 Log – tracks who did what and when for the audit
3 In the Overview > General Info sub tab of the SMART Audit Overview page, select the Audit Tool
Language, if applicable. Note: English will display as the default language.

Note:

 Audit Tool Language – this is the questionnaire language. Click the pencil icon to change
the language, if translation is available the questionnaire will display in the language selected.
4 In Audit Overview, two links are also available at the top right hand corner of the screen.

 Export – enables you to export the questionnaire in word or pdf

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  Next Step – where you can start the audit

5.2 Starting the Audit (Questionnaire)

Step Description

1 To start the audit, click the Next Step link at the top right hand side of the Audit Overview page. Then in
the Next Step pop-up box, select Start Audit.

In the pop up that displays, click Ok to open the Questionnaire page.

Note: The audit will then be locked to you at this stage. If the audit is assigned to a team of auditors, the

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 other auditors will only have a read – only version of the audit questionnaire and the Next Step actions
will be disabled for them, unless you release the audit.

5.3 Audit Questionnaire Page

Step Description

1 The Audit Questionnaire page opens in a new tab.

Note:

 Questions and answer options, Question Summary Status section display on the left pane
while comments, attachments, internal comments and actions such as Save Draft, Clear,
Question Help, Edit display on the right side of the selected question or answer option.
 You need to click on a question or answer option to see the details on the right side window
where you can enter your comments and upload attachments.

a. At question level

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 b. At answer option level

 Whatever is selected, uploaded documents and comments written for a question will
automatically get ‘saved as draft’ when clicking on another question in the questionnaire.
 On the left pane, clicking on the double green checkmark icon will set all draft questions as
completed. Note that draft questions are marked with the pencil icon.

 A completed question can be brought back to draft stage by selecting it and choosing the EDIT

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 button on the right pane. This is possible when the audit is in progress or at review stage.

2 Paper-Based Audit Option

In such case where at ‘onsite’ you cannot access SMART online or in Offline Tool and you have resorted
to the manual process of reporting a normal audit (ex. ISO 9001:2015 etc.) using the paper-forms,
SMART has an option for you to be able to upload the paper-forms in the questionnaire, that is, when
you finally have access to SMART. This option is only available in online.

The purpose of why you have this option is to save time to not have to re-enter the same information in
the questionnaire.

a. On the left hand window, click the ‘Paper-Based Audit’ checkbox. Please read the pop-up
message before proceeding to confirm.
b. Once you click on ‘Ok’ on the pop-up message, you will notice that only very few questions will
display in the questionnaire such as Findings, Benchmarking, and one question in the Auditor
Notes where you can upload the paper-forms you have filled out onsite.

NOTE: Any answers to questions that were filled out and which are not part of the ‘Paper-Based Audit’
questions will be erased when you confirm to check the ‘Paper-Based Audit’ option.

3 To expand or hide the contents on the Left side of the window, click the small triangle arrow or the
category, question name itself.

a. Category

b. Question answer options

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 You can also expand or hide all the contents in one click by clicking on the small triangle arrow at
Categories and Sub Categories.

4 To adjust the left or right window pane view, simply drag the middle line separator (left or right).

a. In Offline Tool, you can also use the blue arrow to put the right pane on full screen and hide
the left pane.

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 b. You can hide the Question Summary Status section by clicking on the arrow on the left as seen
below for Online, to free some more space on the left pane.

In Offline Tool

5 If your browser screen is not at full screen mode, the vertical and horizontal scrollbars can be used to
scroll up or down the screen.

Note: You can also drag out the sides of the window to make it bigger.

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5.4 Question Summary Status section at Audit Questionnaire Page

Step Description

1 You can follow the question status or progress per category in the overview section on top of the
Questionnaire. Links are clickable and will filter the Questionnaire:

 All – Shows the total count of questions regardless of the status

 Green check mark – Shows the count of questions that have been completed
 Blue pen icon – Shows the count of questions that are in progress
 Exclamation mark in pink box – Shows the count of mandatory questions. All mandatory
questions need to be completed before the questionnaire can be finalized.
 O – Shows the count of optional questions

Note:

 The count will update as the questions are answered or completed.

 The number links are clickable and will filter for the status of all the questions in a category.
Example, if you click number 27 at mandatory column for Questions category, the
questionnaire will display only those 27 mandatory profile questions. If you would like to
reset the view to show ALL the questions, simply click Clear.
2 Searching by Keywords will return questions or answer options (in the left pane) that have the word
or fixed word combination typed in in the Keyword text box. Note that you can also search Tags as
can be seen in below image.

5.5 Answering Questions

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Step Description

1 Open a category by clicking the arrow before the category name then select a question.

Note: Where you see a question or comment with exclamation mark inside a pink square , this means
that the question or comment is mandatory and needs to be filled out before being able to finalize the
questionnaire.

Sample question with no answer options:

Sample question with answer options:

2 On the right pane is where you enter comments and add attachments.

Note:

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  Formatting can be applied to the comments by using the formatting options displayed as a strip
above the comments text box.
 Spell checker option is also available through the ‘abc’ icon. This is activated by default but can
be turned off by simply clicking on the same icon.
 To switch to full screen view, click on the monitor icon. To return to normal screen view, simply
click the same icon again.
 In ONLINE, any copied texts with source formatting (for example different font size, color, tables
etc.) from excel, word, pdf which are pasted in the ‘Answer box’ will display as plain text (this
is the default setting). The formatting will NOT BE carried over when pasting to ensure
consistent look when the Audit Summary Report is generated. Note: After pasting, if you wish
to apply formatting you can use the formatting strip available in the ‘Answer box’ of course.
 If you wish the source formatting (from the copied texts) to be pasted in the answer box by
default, first click to unselect the Plain Text icon from the Formatting strip then paste the
texts you copied from, example from word, pdf, excel file etc…

 If applicable, enter Internal Comments as well. These comments will not display in the ASR but is
used if you wish to bring attention to the auditor, lead auditor or tech/cert reviewer.

Tip!

 To remove font size formatting (from texts copied from word or pdf) to SMART answer box:

Use the ‘Remove font size’ at ‘Pencil wand’ icon. Paste the texts which has font size formatting,
click the Pencil wand then uncheck ‘Remove Font Size’. Check ‘Remove font size’ again. Then
click ‘Done’

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 Note that the ‘Remove font size’ option is not available in SMART Offline Tool due to technical
limitations. However, there is a Font Size feature which is available in both Online and Offline.

3 To add attachments for a question or answer option, click + Add. In the pop-up that displays search for
your file and click Upload.

Note:

 At question and answer option level, you are able to upload multiple attachments at once by
selecting multiple files from your computer.
 Once an attachment is uploaded, you have an option to edit its file name, download or remove
the attached file.
 You can upload any file type and there is no file size limit per file however it may take a little
time to complete the upload for bigger file size.
4 When done, switch to any question to save your answers automatically or click ‘Save Draft’ manually on
the right pane.

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 Note:

 Save Draft enables you to save your comments manually without having to switch to another
question. This option was created especially if you are working on a one question for quite some
time so you may want to save your work to avoid data loss in case you lose internet connection.
 SMART saves what you have entered in the Internet ‘Cloud’ and you don’t have to worry if you
accidentally closed the SMART page or your browser for that matter or you lose internet
connection. Your DATA will remain. There is no need to do any special step to save your data at
the end of the day. Just close the browser and open the checklist again later.

 Click Clear if you want to remove the answers, comments and attachments for a question.
When you click Clear a warning will inform you that the operation cannot be undone. Click OK if
you are sure or click Cancel otherwise.

 A Question Help link is also available to show you what the question is all about.
 If there are specific instructions attached to the question uploaded by the Questionnaire
Manager (as received from the Audit Process Owner), a Documents link will display and clicking
on the link will give you the option to download the attachment(s).
Ex. Sample documents regarding how to fill out the SWOT

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5.6 Creating Findings / Processes

Step Description

1 (If applicable) To enter findings, click the arrow before CAT Findings category. Then click ‘CLICK HERE to
ADD Findings’ to open the ‘Add New Findings’ pop-up.

In the ‘Add number of findings’ box, enter how many findings you would like to report. Then click
‘Create Findings’

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 2 In the left pane, the number of findings created display. Click a finding and answer the finding details on
the right pane. Follow the same for the other findings if you have created more than one.

Where you see a sub question/item on the right pane of the finding with exclamation mark inside a
pink square , this means that you need to provide an answer otherwise you will not be able to finalize
the questionnaire.

Note:

 The number of findings created will stay as optional if you do not click or answer any of the
finding details questions in the right pane, enabling you to finalize the questionnaire. Therefore
please do not forget to fill out the finding details on the right pane.
 Single standard is always pre-selected at Select Applicable Standard(s). For multiple standard
audits (IMS) please select one or more standard, and then click Confirm Selection to show the
classification and requirements.

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  To add requirements, click the book icon to open the list of pre-populated requirements. Then
tick the requirements that apply for the finding.

NOTE: To search for a Requirement/Clause ref., click Ctrl-F from your keyboard or Edit > Find
on your browser. Then in the search box, enter the requirement number.

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  For standards that do not have pre-populated requirements, click the +Add icon to add the
requirements manually.

 To delete a requirement, simply click the garbage bin icon before the Requirement/Clause:
When done, switch to any question in the questionnaire or click Save Draft manually.

3 To delete an existing finding, click Delete link from the finding’s right pane.

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 4 (If applicable) For Processes questions, click the Process Information category. Then click Process
Audited to open the ‘Add New Processes’ pop-up. In the ‘Add new processes?’ box, enter how many
process you would like to report. Then click Create Processes.

5 In the left pane, the number of processes created display. Click a process and answer the process details
on the right pane. Follow the same for the other processes if you have created more than one.

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 When done, switch to any question in the questionnaire or click Save Draft manually.

6 To delete an existing process, select the process and click Delete in the right pane.

7 To generate/preview the Finding Details Report (if findings are raised in the questionnaire), click the
Findings link from the right hand side of the Questionnaire page.

In the pop-up that displays, select the language (if not English) then click Confirm to generate the
finding details report. Once complete, click the link to download the file.

5.7 Editing and Completing Questions

Step Description

1 To set draft questions (marked with pencil icon) as completed, click on the double – green checkmark
icon on the left pane. This will update the status of ALL draft questions as complete in one click.

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 Note: Questions will not be marked as completed if mandatory information is not answered either at
the left or right pane ex. sub-questions of findings or comment. You can click the number under the In-
progress column of the Question Summary Status section to check the questions. Once confirming all
mandatory information are answered you can click on the double green checkmark icon again to
complete the questions.

2 If you need to make any changes to a completed question (identified with green checkmark ), you
can click the Edit button on the right pane.

For questions which are saved as draft (identified with pen icon) the Edit button will not display and any
changes can be made on the right pane comments and attachments right away.

5.8 Releasing/Finalizing the Audit

Step Description

1 Releasing the Audit

In case the audit is assigned to a team of auditors, you can choose to release the partially filled out
questionnaire for the other auditors in the team to complete their assigned sections in the
questionnaire. Or if you want to continue working on the questionnaire in Offline Tool, the release step
is required before you can download the audit offline.

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 Click the Next Step link and choose:

 Save & Release Questionnaire – release ownership of the questionnaire to users who have
access to the audit whereby they can edit the questionnaire.

Note: Clicking on any action at Next Step menu will make the questionnaire in ‘read-only’ mode
and the actions at ‘Next Step’ pop-up will be disabled. To activate the actions menu at ‘Next
Step’, please manually close the SMART page first (click x on top right hand corner of the
page) then from the activity site’s blue arrow, view the SMART Questionnaire page again and
this will make the Next Step > Action links to be activated.

Finalizing the Audit

Once all the questions in the questionnaire are answered and completed, you can choose Finalize Audit
from Next Step link to submit the questionnaire to Lead Auditor for review.

Note:

 Options to export the questionnaire in PDF or Word are also available in the Actions link in the
questionnaire tab.

 Help link is also available if you want to download the SMART User Guide

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 2 An option to generate the report in PowerPoint is also available when the audit is in Audit-in-progress
until Audit completed status.

Auditor can use this to present to the client during the closing meeting. Contents of this PowerPoint
includes SWOT, Benchmarking, Findings, Audit Results and Executive summary.

Note: This feature does not apply for IATF standards and Transfer Visit activity type.

3 After finalizing the questionnaire, close the SMART Audit Overview window by clicking the x button on
the top right-hand side of the window.

4 To preview the Audit Summary Report, go to the Activity Details in Activity page. In Possible Actions,

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 select Preview Audit Summary.

5 To check if uploaded attachments in the questionnaire are also visible in iEnable, click the Documents
tab in the activity dashboard.

6. USING THE OFFLINE TOOL TO PERFORM AUDITS

This tool will allow you to fully fill out your questionnaire and download audit documents regardless of
whether you have internet connectivity or not - all at a much faster speed.

6.1 System Requirements

• Operating System: Windows 7, 8.1 and 10 (64 bit)
• Processor: Intel Core i3-6100 (3.70GHz)/AMD A8-8650 (3.20GHz) or better
• Memory: 8 GB RAM

• Installation User Privilege: Administrator

To get the detailed Offline Tool installation instructions, please contact your country’s Super User or your
Intertek contact person.

Notes:
 When you upload documents, the size and the number of the documents being uploaded will affect
your experience. The larger the size the longer to upload online.
 If challenged with performance, it is best to reduce the number of applications running on your
computer at one time while using the SMART offline tool.
 Recommend after one audit is completed, save your work > logout of the SMART application> close
the SMART application and reopen SMART.
 Check the speed of your internet connectivity, performance will not be as good if your connectivity
is low.
 Inefficient PC settings could hamper the speed of any system (Example: Wi-Fi power settings could
impact PC performance).

6.2 Logging in to SMART Offline Tool

Step Description

1 Click the Offline Tool shortcut from your desktop to open the login page.

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 Login with your iEnable username and password.

2.2 My Auditor Assignments

Step Description

1 The My Auditor Assignments page opens which displays your confirmed audit assignments sorted by
most recent date range at the top of the list.

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 Search options are available and include:

• Search by – search for Activity ID, Audit ID, Customer, Standards, Role, Facility, Main/Sub
Site
• Audit Start Date and End Date
• Audit Status – search for audits at Audit Pending, Audit in progress, Audit in progress(*),
Lead Auditor Revision in progress, Lead Auditor Revisions pending
• Sync Status – you can search for All, Online, Downloaded

Note: Your assigned audits will display in SMART Offline Tool only after the ‘Create Audit Plan’ step is
completed in iEnable.

The Assignments page contains the following information:

• SyncQueue – this column will be marked with x if an audit is requested to be downloaded

offline or uploaded online.
• Sync Status – if audit is done online or in Offline tool
• Audit Status – status of the audit
• Activity ID/Activity Name – audit reference id/name in iEnable
• Audit ID – unique ID for the SMART audit
• Client – name of the client for the audit
• Facility Name – name of the facility to be audited including the address
• Main/Subsite – will display if the audit is for the main or subsite
• Standards – the standard(s) used for the audit
• Role – auditor’s role
• Audit Dates – audit date range
• Actions - link to Next Step which provides you with actions on how to proceed with the
audit. Depending on which audit status you are at, the Next Step link will enable you to do
any of the following:
o Request Questionnaire
o Save & Release Questionnaire
o Save & Backup Questionnaire
o Finalize Questionnaire
• Overview – link to the details of the audit
• Questionnaire – link to the audit questionnaire (displays after the audit is requested)
• Download Selected & Upload Selected button are available on top of the My Auditor
Assignments tab to confirm your selected audits to download or upload. You must be
connected to the internet to perform this action.
• Refresh – Use this button to get the latest information of your existing audits or any new
audits assigned to you. You must be connected to the internet to perform this action.

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2.3 Viewing Audit Details from My Auditor Assignments

Step Description

1 Go to the Overview column first and click the globe icon to see the details of the audit where you can
check for the different audit information tabs including the ‘Documents’ tab where you can select which
documents to download.

Note:

 All documents are selected by default but you can pick which ones you want downloaded in
Offline tool in case you have internet speed issue, etc.). All attachments associated with the
checklists are automatically downloaded to ensure auditor has access to the most current version
of these documents (“Documents Associated with Questionnaire” and “Documents Associated
with Specific Questions” sections). For the other sections, it is the discretion of the auditor
whether to download them manually.

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2.4 Requesting the Audit Questionnaire
The actions in this section require internet connection.

Step Description

1 To start downloading an audit offline, click the Next Step link. In the Next Step Menu, click Request
Questionnaire then click OK on the pop up that displays.

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 2 Go back to the My Auditor Assignments page by clicking the arrow on the upper left hand side of the
Overview page.

Note that the audit’s sync status updates to Download Pending and an x is marked in the SyncQueue
column. Click Download Selected to download the audit selected.

Once the audit has been successfully downloaded, the audit status will update to ‘Audit in Progress’ and
the Sync Status will be Downloaded.

Note:

 If you wish to cancel the selected audit from the sync queue and download or upload has not
been completed, simply click the x mark from the SyncQueue to deselect.
 If there are audits marked in the SyncQueue column, the Download Selected button will be
disabled.

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  Sync Status column gives information if the audit is downloaded offline or online
 Actions column - provides you some actions to proceed with the audit such as Save & Backup,
Save & Release, Finalize Audit
 Globe icon – clicking on it displays the Audit Overview audit as well as other tabs such as
Documents, History, Log, General Info, Assignments, Main Contacts,
 Paper icon – enables you to go straight to the questionnaire page

2.5 Audit Questionnaire Page and Next Steps

Once the audit has been downloaded successfully, you can access and work on the audit questionnaire with
or without internet connection.

Step Description

1 Click the paper icon to open the questionnaire then fill out the questionnaire as you normally do in
online. You can also access the same questionnaire from the Audit Overview page

2  In OFFLINE, any copied texts with formatting (for example different font size, color, tables etc.) from
excel, word, pdf which are pasted using ‘Right-Click > Paste’ option) in the ‘Answer box’ will display
as plain text. The formatting will not be carried over when pasting this way. Note: After pasting, if
you wish to apply formatting you can use the formatting strip available in the ‘Answer box’ of course.

 If you wish the source formatting (from the copied texts) to be pasted in the answer box, use ‘Ctrl-
V’ on your keyboard.
3 Once all questions are answered, click Next Step. The Next Step Menu pop-up displays.

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 Next Step Menu actions definition:

 Save & Release Questionnaire - use this action to transfer ownership of the questionnaire to
users who have access to the audit or to continue working on the questionnaire online.
 Save & Backup Questionnaire – use this action to backup the questionnaire online and keep the
audit offline copy editable and locked to your offline tool.
 Finalize Audit - submit the questionnaire to Lead Auditor for review.
4 Select Finalize Audit and click OK to put the audit in synchronization queue.

Note: In Questionnaire page, you have the option to export the questionnaire to PDF, Word, and generate
the Findings Detail Report (if the questionnaire has any findings).

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2.6 Uploading Audits Online
To confirm the upload to online requires internet connection.

Step Description

1 Back at the My Auditor Assignments(BA) page, note that the sync status becomes Upload Pending.

To upload the audit online, click Upload Selected and OK on the questionnaire pop-up

Once the upload is successful, the Sync Status becomes Online and Audit Status updates to ‘Lead Auditor
Revisions Pending’ and the audit can be reviewed online.

2 To repeat the download process to offline for an audit, please refer back to section 2.5 Audit
Questionnaire Page and Next Steps

3 To repeat the upload process to online for an audit, please repeat Step 1 in this section.

2.7 Unlocking an Audit Questionnaire

In case you are unable to access your downloaded audit(s) from the SMART Offline Tool due to some
reasons (for example your laptop crashed or you cannot login to Offline tool), if you are assigned to the
audit you or your Super User will be able to unlock the audit from the online iEnable application so you can
continue working on it online or you can download it again in SMART Offline Tool.

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Step Description

1 Unlock Functionality

To do this, simply click ‘Unlock Audit’ from the blue arrow found at the Site’s section

In the warning that displays, click OK.

Note:

 The unlock functionality is available for ‘Audit(s) in-progress’ only

 Any saved data (in case when the questionnaire is partially or fully filled out) which were uploaded
online will not be erased when the audit is unlocked online.
 Super Users can also unlock audits which are with online status or those which are not
downloaded in Offline Tool. The audit will then be available to whoever has access to the audit,
for example to the audit team assigned.

7. LEAD AUDITOR REVIEW

Review is done only in online.

Step Description

1 Back in Certification Activity page, look for an audit that is at Status 13. Lead auditor review pending. In
Activity Details tab, click the blue arrow before the site’s address and select ‘Lead Auditor Review’ to
open the questionnaire page.

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 Note: Lead auditor is performed online only.

2 If applicable, make revisions to the audit.

Note:

 An option to open the questionnaire in one page is available by clicking the Long Form link at
review stage. This option displays the questionnaire in a single and continuous scrolling page
and has been developed to provide reviewers with an easy overview of the questionnaire.

 Edits/updates made in the long form will have to be saved individually so that it will display in
the normal questionnaire interface after the ‘Long Form’ view is closed (Go Back to
Questionnaire Page link).

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 Note that at audit status 4. Lead Auditor Revision in Progress, an option to preview the audit report is
available in the SMART questionnaire page through the Actions link.

 Click on the “Preview Audit Report” link and a pop-up window will display.
 In the Language drop down list, choose a language.
 Click on OK to export the report.
 Then select ‘Click here to download file’ to open or save the report.

3 A Lead Auditor can view and compare populated questionnaires from multiple sites by clicking the link

next to the icon for each site to be compared. The printable PDF copy of the populated
questionnaire contains only the applicable questions.

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 4 Once the audit has been reviewed and approved, select Review/Revision Complete from Next Step link.

5 Once completed, close the Lead Auditor Review window by clicking the x button on the top right hand
side of the window to go back to the Activity page.

6 In Activity page, finalize the review by clicking the Finalize Lead Auditor Review and Send Audit
Summary Report from Possible Actions.

7 The “Finalize Review and Send Draft Report” popup window displays.

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 In this window, you can:

 Choose whether to generate the Intertek Audit Summary Report.

If you click the Yes radio button, the Audit Summary Report will be generated. You can then
choose whether or not to send it.

If you click the No radio button:

O The other questions in this window are removed, along with the Preview Audit Summary
button.
O The Complete Lead Auditor Review and Send Draft Report button changes to read
Complete Lead Auditor Review.
O When you click Complete Lead Auditor Review, the activity status changes to the next
applicable status (for example, 15 – “Corrective Actions Pending”).
O The Preview Audit Summary option in the Certification Projects – Activities dashboard
component drop-down menu is removed.
O Your choice to not generate the report is carried over to the Technical/Certification Review
window.
 Choose whether to include SWOT and Benchmark information in the Audit Summary Report.
 Select the language for the Audit Summary Report.
 Choose whether to send the Audit Summary Report.
 Choose whether to attach the Audit Summary Report in the email.

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 If you choose to both generate, attach and send the Audit Summary Report:
O The Audit Summary report is generated and sent when you click the Complete Lead Auditor
Review and Send Draft Report button.
O The activity status changes to the next applicable status (for example, 15 – “Corrective
Actions Pending”).

If you selected Yes to generate the Audit Summary Report, but select No to not send the report:
O The Complete Lead Auditor Review and Send Draft Report button changes to read
Complete Lead Auditor Review.
O When you click Complete Lead Auditor Review, the report generates but is not sent. The
activity status changes to the next applicable status (for example, 15 – “Corrective Actions
Pending”).
O Your choice to not send the report is carried over to the Technical/Certification Review
window.

If you selected No to not generate the Audit Summary Report, the Send the Audit Summary
Report option is removed.

 Click Preview Audit Summary to review a PDF version of the report.

 Click Complete Lead Auditor Review and Send Draft Report to send the report. Note that the report
will also be stored in the Documents tab of the activity.

8 In the Activity Details page, the status will be 15. Corrective actions pending (if the questionnaire has
findings) or 17. Tech/Cert review revisions pending.

8. CORRECTIVE ACTION
Corrective actions are applicable if:

 The audit questionnaire was configured to use non-conformances (i.e. a finding was issued)
 Non-conformance generated questions were answered in a way that would create Corrective
Actions (i.e. Critical, Major, Minor but not Areas of Concern)

The corrective action process includes the following steps:

 If there were corrective actions created in the questionnaire, the status will be set to ‘Corrective
Actions Pending’. Note: If no corrective actions were found, the status will be ‘Technical Review
Pending’.
 Corrective actions are automatically generated with a Finding Due Date (carried over from the
Questionnaire for each finding).
 Super Users and Auditors have the ability to enter information into the system for a Client. For
instance, if the Client does not use our Client Portal or if there are occasions when a Client cannot
enter the information in the Client Portal. Instead, the Client will send a file addressing the
Corrective Actions directly to the auditor. The file can then be uploaded into iEnable by the auditor
or the Super User.

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8.1 Navigating to/Viewing Corrective Actions

Step Description

1 Open the Portal Dashboard Certification Projects – Corrective Actions component or the
Certification Projects – Activities component and expand the search options.

2 Enter the Reference Number for the Certification Project and click Run Search.

3
From the results list, click the icon next to a Corrective Action Record to activate the drop-
down menu.

4 Click View Details. This takes you to the Activity Details tab on the Activity Dashboard.

5 Click the Corrective Actions tab. Here you will see all findings for the site(s) with the status for
each.

On the ‘pen’ icon you can open up and view more details or edit your comments per each
individual finding.

NOTE: A status icon displays next to each finding in the table. The Activity Status row at the
bottom of the Corrective Actions tab provides a key to what each of these icons indicates.

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8.2 Manage Corrective Actions & Uploading of Attachments
If the client has no internet access and has no access to the Client Portal you can easily upload the CA’s for
the client. Either one by one response per each individual finding or by uploading a file that applies to one
or more of the findings.

Step Description

1 From the Corrective Actions tab view on the Activity Dashboard (see above section Navigating
to/Viewing Corrective Actions for how to get there), click the ‘Manage Attachments’ button to
upload a file containing Corrective Action detail for one or more Corrective Action records.

2 The “Manage Corrective Actions Attachments” popup window displays. Click the drop-down
menu in step 1 and select each Corrective Action record that is being addressed by the contents
of the file you are about to attach.

3 In Step 2 of the popup window, click the button to upload your Corrective
Actions file attachment. Your file displays in the popup window.

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Step Description

NOTE: You may delete a file in the popup window by clicking the X next to it.

4 Click Close at the bottom of the popup window to return to the Corrective Actions tab, the
attachment displays next to each Auditor Finding.

5 Note that when uploading corrective actions attachments, you do not need to manually key in
the response at Corrective Actions tab at Manage Corrective Action pop-up window.

6 The next thing you as an Auditor need to do is to assign the correct status for the CA’s. This is
done by clicking the ‘Manage Statuses’ next to the upload button.

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Step Description

Then manage the status by selecting the radio button that corresponds to the finding on each
Corrective Action (Accepted, Rejected, No Change, or Cancelled) or if all findings are all to be set
to the same status, click the button next to “Set all to” to apply the same status to all applicable
Corrective Actions (see image below). Ex Set all to ‘Accepted’ will make all findings accepted.
Click the Save & Close button.

Approved: The Corrective Action plan documented by the Client passed the Auditor’s criteria.

Rejected: The Corrective Action plan documented by the Client failed and will have to be sent
back to the Client for revision.

No Change: There is no change in the status of the Corrective Action. (This option will keep the
previous status assigned to the CA.

Cancelled: This means that the CA has for one reason or another been cancelled and does not
require the client’s response.

7 When all Corrective Actions have been Accepted or Cancelled, click the Corrective Action
Complete button to submit the Audit Activity to Technical Review.

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Step Description

NOTE: If you are required to give the client extra time to respond to the findings you can update
the overall due date which also drives the reminder notifications to the clients. The due date is
currently set to 30 days after Lead Auditor Review is finalized. This is done by clicking on the
calendar picker icon next to the Due Date text on the Corrective Actions tab.

8.3 REJECTING CORRECTIVE ACTIONS (Client uses Client Portal)

If the client has submitted their Corrective Action using the client portal, you as the Lead Auditor have
access to reject and send the finding back to the client should you need to get further clarifications.

Step Description

1 Follow the steps above to Manage Statuses.

For the Finding(s) you will send back, please set status to ‘Rejected’ and save this setting.

2 Then back at the Corrective Action tab you select ‘Send back to Facility’ and an email will go to
the primary contact that they have rejected findings to complete.

9. REVISING THE AUDIT

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During Technical or Cert Authority review the reviewer may find that the audit questionnaire will need to
be sent back to the Lead Auditor for revision. If this is needed the Lead Auditor will receive an email
notification about the audit that needs to be revised.

This is similar to the Lead Auditor review steps that were described in section 7. You can use the
Certification Projects Audits component to filter for these Audits.

Step Description

1 There are several ways to navigate to the Tech/Cert review Lead Auditor Revisions.

(A) If you are on the Portal Dashboard, use the ‘Certification Projects Audits’ filter following
options:
 Customer: Intertek Business Assurance
 Audit Main type: Systems Certification
 Audit Sub Type: Industry Certification
 Audit status: “7- Tech/Cert review Lead Auditor Revisions pending,” and “8 - Tech/Cert
review Lead Auditor Revisions in-progress”

Click on the paper icon of the audit to go to the Audit Overview.

(B) In the email notification you received by email there was an Activity ID number given, you

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 can use it to search the ‘Certification Projects Activities’ component by expanding the
search options (clear previous settings if any) and then specify part or the entire Activity # .
Then click the blue arrow and go to the activity details

2 From the Activity Dashboard, the Activity Details tab view will show the status of the Tech/Cert
review Lead Auditor Revisions (pending or in progress). The auditor should click the blue arrow
next to the site name which audit needs to be revised. Select ‘Revise Audit’

Note: A tip is to save the main site for last since this site’s Questionnaire is what will be
included in the Audit Report.

3 Revise the Audit accordingly. Click on the number at Internal Comments in Question Summary
Status section to see where the tech or cert reviewer has given their feedback.

4 When you are done, click ‘Review/Revisions complete’

5 Now the Audit Status will change back to 5 – Tech/Cert review revisions pending and a
notification will go out to the person that requested the revision.

6 In case there are more revisions to be made on a multi-site activity, to continue your revisions
on the next site, you may click the blue arrow next to the next site.

VERSION CONTROL
DATE AUTHOR VERSION CHANGE REFERENCE
17-Oct-2018 Nellie Cunningham 2 Updates made to the following:
 Audit Tool Language
 Expanding/hiding contents
 Online - copying texts with source
formatting / pasting using plain text

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 Offline - copying texts with source formatting /
pasting using plain text
26-Jun-2019 Nellie Cunningham 3 Updated based on ability to select a language at
Documents tab.
13-Oct-2019 Nellie Cunningham 4 Added Audit Report in PowerPoint and Offline Tool
System Requirements

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