Raising Audit Findings

 

You can only raise CA/PAs against audits that have a status of " - Performed".

 

In either the Findings section of the audit, or against an audit checklist question, click the icon. You can do one of the following:

• Select a wizard from the drop-down list, then select the upper button. See Using a Wizard below.
• Or select a CA/PA Source from the drop-down list. Then choose one of the following:
  • Click the icon beside Template. The template (which consists of stages, stage actions, default owners and target dates) associated with the CA/PA Source (if any) will be applied to the CA/PA.
  • Or click the icon beside raise Non-Conformance. This will create a CA/PA record with the selected source and the default template applied.

Raising a CA/PA using a Wizard

When you are raising CA/PAs using a wizard, please be aware of the following:

• Fields marked with a * are mandatory.
• Each page of the wizard may have additional information. To view it, hover the mouse over the icon.
• Click [Finish] to save the CA/PA. The owner is then responsible for managing the CA/PA through to closure.

Raising a CA/PA using a Template / Blank CA/PA record

For more information about the different fields in a CA/PA record, see Viewing CA/PAs.

 

You can also associate an existing CA/PA with an audit. To do this:

 

1. In the Findings section of the audit, click the icon.
2. Enter a keyword and click [Search].
3. All matching CA/PA records will be displayed. Select one or more CA/PAs then click the [OK] button.

 

You can only raise Incidents against audits that have a status of " - Performed".

 

1. In either the Findings section of the audit, or against an audit checklist question, click the icon.
2. On the first page of the incident wizard, you must enter a title for the incident. You should also select which scope items relate to the audit.
3. If you are required to perform risk assessments against the audit, you may have to select a risk matrix to use (if you have more than one available).
4. To perform a risk assessment, you must select a likelihood and severity rating for each of the perspectives. The risk assessment value will be shown in the risk matrix - this will be a combination of the likelihood and the highest severity value shown.
   • Based on the values you choose, a suggested action will be displayed. You can also add a justification for your choice.
5. On the final page of the wizard, you must choose the following:
   • Type - This will default to the same as the audit calendar, although you can select a different occurrence / incident type if required.
   • Owner - The person with overall responsibility for the audit.
   • Event Date - This will default to today's date, although you can select a different one if required.
   • Target Date - If you know the date by which the incident should be closed, enter the date.
6. Once you click [Finish], the incident will be added to the audit's Findings section. You can view its details by clicking its incidents number. For more information on the fields in the incident record, please see Viewing Occurrences and their related Incidents.

 

You can only raise observations against audits that have a status of " - Performed".

 

1. To raise an observation, click the icon.
2. Number - This field will be automatically completed once you save the observation.
3. Raised Date / By - These fields will automatically default to today's date and your name. However, you can change these if required.
4. Details - Enter all the known information about the observation, then click [OK] to save.