Add a Site Self Assessment Record
A Site Self Assessment is generally used by a Main Auditor for collaborations with other Site Contact. It is intended by this Record that notes are shared between the different parties, allowing for a thorough Audit to be completed without needing the Main Auditor to be present on-site while the Site Contact carries out a Self Assessment themselves. Site Self Assessment Audit Programmes must be set up first before a Site Self Assessment Audit Record can be created. Click here to access the article on setting up a Site Self Assessment Audit Programme
Site Self Assessment Audit Records can be raised in three ways
1) Add a new Record via the 'Add Audit' button in the main Auditing module page,
2) Add a new Record directly from an Auditing Programme via the 'Actions>Add Record' button,
3) Create a Site Self Assessment Record automatically - at specified frequencies, via an Audit Scheduler.
All three of these methods are explained in detail here.
Stages of the Site Self Assessment Audit Record
After creating your Site Self Assessment Audit Record, the Details workflow stage will open. The Details workflow stage must be completed, and saved and submitted before the next workflow stage will become accessible. The other workflow stage will remain greyed out and inaccessible until the 'Save & Submit' button has been clicked for the workflow stage before it.
See below how to complete the workflow stages of the Site Self Assessment Audit Record:
Image: Blank Site Self Assessment Details Workflow Stage with Pre-Populated Fields
1. Date: This is the Date of the Self Assessment - it will be automatically populated with the date that the Site Self Assessment Record has been created. If needed, you can use the Calendar icon to change the Date.
2. Site: This is a pre-populated field taken directly from the Site Self Assessment Audit Programme and cannot be edited at the Record stage. This is the Site that this Site Self Assessment Record will be completed for.
3. Main Contact: This is the Main Contact Point for the Site. To select a main Contact, click on the dropdown arrow to display the Employees and Sites Master Data. Use the dropdown arrows to expand the required folders and source your Main Contact. Once you have sourced your Main Contact, click on their name until a gray background appears and click 'Select' to add them to the Record.
Image: Select the Main Contact for the Site
4. Completed By: Select the person who will be completing the Site Self Assessment - this may or may not be the Main Contact, or the User who completes this Record in the system. To select the Completed By, click on the dropdown arrow to display the Employees and Sites Master Data. Use the dropdown arrows to expand the required folders and source your Completed By. Once you have sourced your Completed By, click on their name until a gray background appears and click 'Select' to add them to the Record.
Image: Select the Completed By
5. Position: This is an open-text field where you can specify the Position of the person selected in the 'Completed By' section.
6. Procedure/Record: If a Document was attached in the Site Self Assessment Programme, it will be displayed here in the form of a blue, clickable hyperlink. Clicking the hyperlink will open a preview of the Document without having the exit the Site Self Assessment Record.
Note: For Site Self Assessment Records, the original name of the file uploaded to the Documents module is displayed, rather than the Document Title as entered in the Documents module.
Image: Document Name in the 'Procedure/Record' is the Original File Name
7. Save: Click the 'Save' button to save your progress - this will create the Site Self Assessment Record and move it to the 'Actions' tab until it is completed. Clicking the 'Save' button will not cause a signature to be added to the Record.
8. Save&Submit: Click the 'Save & Submit' button when you are happy to close this workflow stage and move on to the next workflow stage of the Site Self Assessment Record - 'Audit Record'. When you 'Save & Submit' a workflow stage, a signature is added and the stage is collapsed, allowing for the next workflow stage to open.
9. Cancel: Click the 'Cancel' button if you wish to discard your progress and return to the main Auditing module page. If the Record was not yet 'Saved' or 'Saved & Submitted', a new Record will not be created and all of your progress will be lost. If the Record was previously 'Saved' or 'Saved & Submitted', you will loose your progress, but the Record will remain in the 'Actions' tab.
Image: Completed 'Detail' Workflow Stage after 'Save & Submit'
1. Signature: Once you click 'Save & Submit' closing a workflow stage, a signature is added each time.
2. Edit: To make further changes to this stage, click the 'Edit' button. Once you are happy with the changes made, click the 'Save & Submit' button to save your changes. At this stage, you will be asked to enter a 'Reason for Change' which will be recorded in the Audit Log of the Record. Additionally, a second signature will be added and the workflow stage will be closed and collapsed.
3. Details: The 'Details' workflow stage can now be collapsed, with the following workflow stage, 'Audit Record', now expanded.
Image: Workflow Stage in 'Edit' Mode - No 'Save' button (1), Reason for Change Requested (2), Second Signature Added (3)
This workflow stage should be completed by the selected Site Contact. They should complete and submit the full 'Audit Record' workflow stage, i.e., the Checklist requirements, Comments/Observations, Corrective Actions and the Report.
Image: Completed 'Audit Record' Workflow Stage
1. No.: The ‘No.’ section will be populated here if it was populated in the Checklist that was selected for this Site Self Assessment, otherwise, it will be blank. This is not an editable field and the sequence of the checklist requirements cannot be changed at the Record level.
2. Requirement: This contains the Checklist requirements (questions) of your selected Checklist. This is not an editable field and the checklist requirements cannot be changed at the Record level.
3. Response: Click on the dropdown arrow to select a Response for each of the Checklist requirements. The Responses displayed will depend on the Responses set up in the Checklist itself and the Rating selected in the Internal Audit Programme. If the dropdown responses are disabled for a line, this indicates that the Checklist row has been configured as a level, meaning it is only a heading or an instruction, and a Response is not required.
In the example above, 'GMP' and 'Changing Room' have been added as levels in the checklist, hence no response can be added for these lines.
4. Comments/Observations: This is an open-text field. You can add any relevant comments and notes for the described Requirements, especially if there are any Nonconformance or Corrective Actions that need to be raised for this Requirement. The comments added here will be pulled into the 'Nonconformance & Corrective Action' workflow stage only if the 'Corrective Action' box will be ticked for this requirement.
5. Add File / Link: The Add File / Link column allows you to add multiple external files directly from your device or external and internal URL links. Simply click 'Add File' or 'Add Link' as many times as needed, and follow the onscreen instructions on how to add a File or add a Link. To remove a file or link, click the red 'X' button and confirm your choice in the pop-up window.
The files added to the Site Self Assessment Record will remain only in the Record itself, they will not be added to any internal Safefood 360° Documents folder.
You can click on the file or link in the 'Audit Record' workflow at any time to preview it, even when the Record is completed and closed.
6. Corrective Action: If any of the Checklist Requirements require a Corrective Action, tick the box in the 'Corrective Action' column to allow the system to collect all of the Nonconformances for the next workflow stage.
If no Corrective Actions are required for the 'Audit Record' workflow, the 'Nonconformance & Corrective Action' workflow stage will open only with the Report section enabled.
Image: 'Nonconformance & Corrective Action' Workflow Stage Opened - No Corrective Actions Noted in Previous Stage
7. Split/Add Line: Click the ‘+’ button to split the Checklist Requirement into multiple lines. This function allows you to add separate Comments/Observations, Files and Corrective actions for the same Checklist Requirement. This can be very useful in cases where multiple Corrective Actions/Nonconformances need to be raised for the same Checklist Requirement. If multiple lines were added to a requirement, and the 'Corrective Action' box has been ticked, the details for the Corrective Actions will be pulled individually in the 'Nonconformance & Corrective Action' workflow stage.
8. Remove Line: Click the '-' button to remove any additionally added line for a Checklist Requirement. You cannot remove the original line with the Checklist Requirement itself.
Removing an additional line from the 'Audit Record' workflow stage does not prompt a delete confirmation pop-up window to appear. Once you click the delete line button, you will loose the information without the ability to recover the information from the deleted lines.
9. Report: This is an open text field for entering any additional Audit Report details relating to the overall Audit and/or the Audit Checklist requirements.
10. Save: Click ‘Save’ to save your progress. This will allow you to return to the Audit Record stage until all of the Checklist Requirements are completed. The ‘Save’ button allows you to make as many changes as required to the Record without the system noting signatures for each change/update.
11. Save & Submit: Click ‘Save & Submit’ to save your progress and move on to the next workflow stage - 'Nonconformances & Corrective Actions'. If after submitting this stage you wish to make any more changes, you will need to access the stage via the ‘Edit’ button and you will be requested to note the ‘Reason for Change’. Additionally, another signature will be added to the bottom of the stage.
12. Cancel: Click ‘Cancel’ to discard any changes made to this worklfow stage, close the Record, and move back to the main Auditing module page.
Image: Audit Record Workflow Stage in 'Edit' Mode - No 'Save' Button (1), Reason for Change Requested (2), Second Signature Added (3)
Verify the Site Self Assessment 'Audit Record' Workflow Stage (*Auditor Responsibility)
Once the Main Site Contact has completed the 'Audit Record' workflow stage, you, the Auditor, will want to verify their answers and see if any Corrective Actions were raised, as well as if any Documents were attached for your review, etc. You should raise any additional Corrective Actions as you see fit.
In the below example, the Auditor chose to add a little note to the Checklist Requirement and agreed that a Corrective Action is required by not changing the 'Corrective Action' section and leaving the box ticked.
Image: Prepopulated 'Nonconformance & Corrective Action' Workflow Stage
1. No.: This will be pulled from the 'Audit Record' workflow stage, if available. You cannot edit this field. If 'Add Line' option was used for a requirement, the specific 'No.' will be repeated as many times as there were lines added.
2. Requirement: This will be pulled from the 'Audit Record' workflow stage. You cannot edit this field. If 'Add Line' option was used for a Requirement, the Requirement will be repeated as many times as there were lines added.
3. Comments/Observations: This will be pulled from the 'Audit Record' workflow stage. You can make changes as required as it is an editable, open-text field. In this workflow stage, Comments/Observations is a mandatory field as you should always explain the reasons for raising the Corrective Actions in the previous stage. [Mandatory]
Note: Changes made to Comments/Observations in the 'Nonconformance & Corrective Action' stage will be reflected in the 'Audit Record' workflow stage without providing an additional signature for the 'Audit Record' workflow stage.
The changes will be reflected in the 'Audit Record' stage when either 'Save' or 'Save & Submit' buttons are clicked in the 'Nonconformance & Corrective Action' workflow stage.
4. Category: Use the dropdown arrow to select a system Nonconformance Category explaining the severity of the Nonconformance, i.e., Critical, Major, Minor, Recommendation.
Image: Selecting a System Nonconformance Category
5. Responsible: Click on the dropdown arrow to select the person Responsible for investigating and completing the Corrective Actions for each of the Nonconformances. You can select from Employees or Site Contacts by navigating to the required folders and sourcing your require Responsible person. Once you have sourced the Responsible person, click the 'Select' button to add them to the Record.
Image: Selecting the Responsible for the Corrective Action
6. Due Date: Click on the Calendar icon to select a date by which the Corrective Action should be resolved and the Site Corrective Action Record closed. For the related Corrective Action Record, this same Due Date will be displayed in the ‘My Actions’ tab on the Main Dashboard of the Responsible person selected for the Corrective Action, as well as in the ‘Actions’ tab in the Corrective Action module. [Mandatory]
Image: Selecting the Due Date for the Corrective Action
Image: Selected Due Date as it Appears in the 'Corrective Action' Module 'Actions' Tab (1) and in 'My Alerts' Dashboard (2)
To speed up the completion of this workflow stage, by default, when you select a Category, Responsible and Due Date for the first Nonconformance in the list of Nonconformances, clicking out of the line will auto-populate the rest of the lines with the same system Nonconformance Category, Responsible and Due Date. If you do not wish for these columns to be auto-populated, complete the first Nonconformance details last.
7. Report: This is an open text field where you can provide an overall Report for the 'Nonconformance & Corrective Action' workflow stage, outlining any issues encountered or other relevant notes.
8. Save: Click ‘Save’ to save your progress. This will allow you to return to the 'Nonconformance & Corrective Action' stage until all of the Nonconformance Details are completed. The ‘Save’ button allows you to make as many changes as required to the Record without the system noting signatures for each change/update.
9. Save & Submit: Click ‘Save & Submit’ to save your progress and move on to the next workflow stage. If after submitting this stage you wish to make any more changes, you will need to access the stage via the ‘Edit’ button and you will be requested to note the ‘Reason for Change’. Additionally, another signature will be added to the bottom of the stage.
10. Cancel: Click ‘Cancel’ to discard any changes made to this worklfow stage, close the Record, and move back to the main Auditing module page.
Upon ‘Save & Submit’ of this workflow stage, the Site Corrective Action Records will be created and opened in ‘Management>Corrective Actions’, the Records will be linked at the top of the Audit Record, and a 'Corrective Action' column will appear in the 'Nonconformance & Corrective Action' workflow stage.
Image: 'Nonconformance & Corrective Action' Workflow Stage 'Saved & Submitted' - Site Corrective Actions Created and Linked in the Record
1. Related Records: Site Corrective Action Records are linked at the top of the Record (Related Records), displaying the Record's name and the Site Corrective Action Record number, as well as the workflow stage that it is currently in. They are clickable hyperlinks which bring you directly to the Site Corrective Action Records.
2. Corrective Action: A 'Corrective Action' column is added to the 'Nonconformance & Corrective Action' workflow stage, displaying the workflow stage that the Site Corrective Action Record raised for that specific Requirement is currently in. They are clickable hyperlinks which bring you directly to the Site Corrective Action Records.
Image: Workflow Stage in 'Edit' Mode - No 'Save' Button (1), Reason for Change Requested (2), Second Signature Added (3)
Note: A Site Corrective Action can only be raised via the Site Audit Record, or the Auditing module via 'Add Site Corrective Action'. A stand-alone Site Corrective Action cannot be added from the Corrective Actions module.
Click here to learn more about completing Site Corrective Actions.
The appearance of the 'Audit Result' workflow stage will depend on the Site Self Assessment Programme set up and whether the Summary and Response Tables were enabled. See below what this workflow stage will look like with the different settings enabled.
The Score Result, Result and Rating link back directly to the Rating Model selected in the Site Self Assessment Programme. The Score Result (calculation based) will determine the overall Result and Rating of the Audit.
The Summary and Response tables give an overview of each of the checklist sections (if levels were used) allowing for a quick summary for the Auditor or another inspecting person. This can be especially useful in the case of external audits where you would like to show the auditor key result detail rather than a full Audit Report.
Image: Blank 'Audit Result' Workflow Stage With 'Standard System Rating' and Summary and Responses Tables Disabled
Image: 'Audit Result' Workflow Stage With 'Standard System' Rating and Summary and Responses Tables Enabled
Image: Completed 'Audit Result' Workflow Stage With Custom Rating and Summary and Responses Tables Enabled
Audit Score Result
Score Result: The Score Result of the Site Self Assessment is automatically calculated based on the score values assigned to your answers for your selected Rating model. For example, if your Site Self Assessment Record is completed with the result of 50 out of 100 possible points, the Score Result will be displayed as 50/100 (50%).
Audit Standard System Default Rating: 'Not applicable' will be displayed for the Score Result if the Rating selected in the Site Self Assessment Programme did not have any Scores associated with the Responses. This includes the System Default Rating (Yes, No, Not Applicable), if selected.
Image: 'Audit Result' Workflow Stage With Customised Audit Rating Model Selected
Image: Sample Customised Audit Rating Model
Image: Score Result for 'Standard System Rating'
Audit Result
Result: The Result is automatically displayed based on the Score Result that the Site Self Assessment received. Click on the dropdown arrow to re-select an overall Result for your Site Self Assessment, if required. [Mandatory]
The Result dropdown options will depend on the Rating selected in your Site Self Assessment Programme.
Audit Standard System Default Rating: If the System Default Rating (Yes, No, Not Applicable) was selected in the Site Self Assessment Programme, click on the dropdown arrow to select a 'Pass' or a 'Fail' Result. The Result will not be pre-populated because the Score Result is 'Not applicable' for this Rating Model.
Image: 'Audit Result' Workflow Stage With Customised Audit Rating Model Selected
Image: Sample Customised Audit Rating Model
Image: Default 'Standard System Rating' Result Options
Audit Rating
Rating: The Rating is automatically displayed based on the Score Result that the Site Self Assessment received. Click on the dropdown arrow to re-select an overall Rating for your Site Self Assessment, if required. [Mandatory]
The Rating dropdown options will depend on the Rating selected in your Site Self Assessment Programme.
Audit Standard System Default Rating: lf the System Default Rating (Yes, No, Not Applicable) was selected in the Site Self Assessment Programme, click on the dropdown arrow to select an 'Unacceptable', 'Very Poor', 'Poor', 'Adequate', 'Good', 'Very Good', 'Excellent' or 'Not Applicable' Rating. The Rating will not be pre-populated because the Score Result is 'Not applicable' for this Rating Model.
Image: 'Audit Result' Workflow Stage With Customised Audit Rating Model Selected
Image: Sample Customised Audit Rating Model
Image: Default 'Standard System Rating' Rating Options
Scope of Approval
You can further limit or define the Scope of Approval for the Audit Result achieved. For example, you may want the Audit Result to only be applicable for certain conditions, i.e., certain Categories (e.g. temporary approval), certain Sites (e.g. only production sites), or certain Customers (e.g. Catering), etc. You must ensure that Categories, Sites and Customers have been added to Master Data before you can select them in this section.
Image: Selecting Scope of Approval
1. Choose Scope of Approval: Click on the dropdown arrow to display the Categories, Sites and Customers folders from which you can choose your required Master Data. Once you have sourced the required scope, tick the box until a blue tick appears and then click 'Select' to add it to the 'Audit Result' workflow stage.
You can add multiple scopes at once by ticking as many boxes as required.
2. Add Line: You can also add Scope of Approval individually by clicking the 'Add Line' button and selecting the Scope(s) as required.
3. Remove Line: If you wish to remove one or some of the Scopes of Approval selected, click the red 'X' button and confirm your choice in the pop-up window.
Image: Confirmation to Delete Scope Line
Audit Summary Table (If Enabled)
Image: Summary Table With Custom Rating
Image: Summary Table With System Default Rating
The Summary Table outlines the Overall (orange) as well as section-specific (highlighted in yellow) Score Results, Results, Ratings and Nonconformances raised. Depending on the types of levels used within your checklists, you will see a level-by-level breakdown of the Scores, Results, Ratings and Nonconformances. For example, you will see the information summarised for each level and sub-level, allowing you to gain a better insight and track trends for Management Reports, etc.
1. Section: This is the name of the Section for which the Summary details will be displayed. This will be your Level 1, Level 2 and Level 3 headings. An Overall Audit Summary will be displayed in the first line.
2. Score Result: The Score Result here is outlined specifically for the named Section, as well as the Overall score result for the whole Audit.
3. Result: The Result here is outlined specifically for the named Section, as well as the Overall result for the whole Audit.
4. Rating: The Rating here is outlined specifically for the named Section, as well as the Overall rating for the whole Audit.
5. Nonconformance: This outlines the total number of Nonconformances as well as the number of Nonconformance for each Category (e.g. Critical, Major, Minor, Recommendation), and for each section.
Audit Default System Rating: If the System Default Rating Model was used, or if the customised rating model was created without scores, the 'Score Result' will be 'Not Applicable' and the 'Result' and 'Rating' sections will be blank.
Audit Responses Table (If Enabled)
The number of different answers in each section of the audit is displayed in the table.
In the above table we can read that there were overall 2 questions that were answered "True" and only 1 question that was answered "False".
Image: Responses Table
The Responses Table outlines the number of times each of the Responses were selected throughout the Checklist, as well as in which sections of the Checklist they were selected. The table will display the Section Name and all of the chosen Responses for each specific Checklist section here. The number of columns will match the number of available Responses, i.e., if your Checklist has 3 possible Responses, 3 columns with Response names will be displayed. In addition to that, if your Responses had assigned Scores, these will also be displayed in the name of the Response.
1. Section: This is the name of the Section for which the Response details will be displayed. This will be your Level 1, Level 2 and Level 3 headings. Details of the Overall Audit Responses will be displayed in the first line.
2. Responses: The number of Responses columns will match the number of available Responses in the Checklist/Rating added within the Audit Programme. For each Response, the system will tabulate the number of Checklist items that received that Response for each of the Sections.
For example, the overall 'Yes' Responses will be a sum of all of the 'Yes' Responses selected in Level 1. The Level 1 Responses will display a sum of all 'Yes' Responses selected in Level 2, and Level 2 will display a sum of all 'Yes' Responses selected in Level 3 (not applicable for this example).
Final Audit Report
Image: Completed 'Report' Section
Report: This is an open-text field where you should include any closing remarks and recommendations learned from this Site Self Assessment that may be beneficial for future Site Self Assessments.
'Save', 'Save & Submit', 'Cancel'
Image: 'Save', 'Save & Submit, 'Cancel' Buttons
1. Save: Click the ‘Save’ button to save your progress. This will allow you to return to the Audit Result workflow stage until all of the details are completed. The ‘Save’ button allows you to make as many changes as required to the Record without the system noting signatures for each change/update.
2. Save & Submit: Click the ‘Save & Submit’ button to save your progress and close out the Site Self Assessment Record. Once you submit this stage, the Record will be moved from the ‘Actions’ to the ‘Complete’ tab. If after submitting this stage you wish to make any more changes, you will need to access the Record in the ‘Complete’ tab and click the ‘Edit’ button for your required stage. You will be requested to note the ‘Reason for Change’. Additionally, another signature will be added to the bottom of the stage.
3. Cancel: Click ‘Cancel’ to discard any changes made to this workflow stage, close the Record, and move back to the main Auditing module page.
Image: Completed Site Self Assessment Record, All Workflow Stages Active
Accessing Related Corrective Action Records (If Applicable)
Note: Closing the Site Self Assessment Audit Record will not automatically close out the related Site Corrective Action Records (or any other Related Records). We suggest that the Site Self Assessment Record is only closed when the Site Corrective Action Records have been completed as much as possible (i.e. if Corrective Actions are not Supplier dependent, for example).
Tip: If you need to generate a Corrective Action that is not related to the Checklist Requirements, you may do so by navigating to 'Actions>Add Related Record>Corrective Action'. You should only use this option if the Corrective Action is not directly related to the raised Nonconformances within the Site Self Assessment Record. Click here to learn more about raising Related Records from the Actions button.
Image: Raising a Related Record (Corrective Action)
You can access the Site Corrective Action Records directly from the Site Self Assessment Record by clicking on the blue hyperlink in the 'Related Records' section at the top of the Record (1).
Alternatively, you can open the Site Corrective Action for your specific Nonconformance by clicking on the blue hyperlink in the 'Nonconformance & Corrective Action' workflow stage (2).
You can also view your Site Corrective Actions in the Corrective Actions module (3).
Click here to learn more about completing Corrective Action Records.
Image: (1) Accessing the Raised Corrective Action Records Directly from the Site Self Assessment Record via 'Related Records' at the Top of the Page
Image: (2) Accessing the Raised Corrective Action Records Directly from the Record via the 'Nonconformance & Corrective Action' Workflow Stage
Image: (3) Accessing the Raised Site Corrective Actions from the 'Management>Corrective Action' Module
Image: A Site Corrective Action Raised From the 'Nonconformance & Corrective Action' Workflow Stage in a Site Self Assessment Audit Record (First Stage Closed and Collapsed, Second Stage Opened)
Image: A Site Corrective Action Raised From the 'Nonconformance & Corrective Action' Workflow Stage in a Site Self Assessment Audit Record (First Stage Expanded)
