Add an Internal Audit Record
Note: Internal Audit Programmes must be set up first before a Internal Audit Record can be created. Click here to access the article on setting up a Internal Audit Programme
Internal Audit Records can be raised in three ways:
1) Add a new Record via the 'Add Audit' button in the main Auditing page,
2) Add an Audit Record directly from an Auditing Programme via the 'Actions' button,
3) Create an Auditing Record automatically - at specified frequencies via an Audit Scheduler.
All three of these options are explained in detail here.
Stages of the Internal Audit Record
After creating your Internal 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 two workflow stages of the Internal Audit Record:
Image: Blank Audit Details Workflow Stage with Pre-Populated Fields
1. Date: This is the Date of the Audit - it will be auto-populated with the date that the Audit Record was created/opened. The date field can be adjusted as required using the Calendar icon.
2. Start Date/Time: This notes the start date and time of the Audit itself - it will be auto-populated with the date and time that the Audit Record was created/opened. These fields can be adjusted as required using the Calendar icon and Time dropdown options.
3. Finish Date/Time: This notes the finish date and time of the Audit - it will be auto-populated with the date and time that the Audit Record was created/opened. The date field should be updated using the Calendar icon and Time dropdown once the Audit has been completed (return to edit this workflow stage).
Image: Selecting a Date via the Calendar Icon (Date, Start Date/Time, Finish Date/Time)
Image: Selecting a Time via the Time Dropdown (Start Date/Time, Finish Date/Time)
4. Auditor: The Auditor selected in the Auditing Programme will appear here by default. To select a different Employee/Contact as an Auditor, click on the dropdown arrow to display the Employees and Contact's Master Data. Use the dropdown arrows to expand the required folders and source your Auditor. Once you have sourced your Auditor, click on their name until a gray background appears and click 'Select' to add them to the Record.
5. Add Line: Click the 'Add Line' button to add more Auditors to the Record if needed.
6. Remove Line: Click the red 'X' button to remove any of the Auditors and confirm your choice in the pop-up window.
Image: Multiple Auditors Selected
7. In Attendance: The Auditees selected in the Auditing Programme will appear here by default, however, if no Auditees were selected in the Auditing Programme, the 'In Attendance' section will have to be completed now as it is a mandatory field.
To select an Auditee in Attendance, click on the dropdown arrow to display the Employees and Contact's Master Data. Use the dropdown arrows to expand the required folders and source your Auditees. Once you have sourced your Auditee, click on their name until a gray background appears and click 'Select' to add them to the Record.
Once you have added your Auditee(s) in Attendance, tick the relevant boxes to indicate if the Auditee(s) was present for the 'Opening Meeting', 'Audit' and 'Closing Meeting'. All three, or only some of the options may be selected for each Auditee.
8. Add Line: Click the 'Add Line' button to add more Auditees to the Audit Record. It is mandatory to have at least one Auditee selected.
9. Remove Line: Click the red 'X' button to remove any of the Auditees and confirm your choice in the pop-up window.
Image: All Three Attendances Selected
10. Procedure/Record: If a Document was attached in the Auditing Programme, it will appear here as a blue hyperlink. Clicking the hyperlink will open a preview of the Document without having the exit the Audit Record.
Note: For Internal Audit 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.
11. Scope: If the Scope was completed in the Internal Audit Programme, it will be seen here in the Audit Record. The Scope cannot be edited from the Audit Record, if changes are needed, these changes must be carried out within the Audit Programme. The changes will then be seen in any newly opened Audit Records. Previously opened Audit Records will contain the old Scope.
12. Save: Click the 'Save' button to save your progress - this will create the Audit 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.
13. Save & Submit: Click 'Save & Submit' when you are happy to close this workflow stage and move on to the next workflow stage of the Internal Audit 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.
14. 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 lose your progress, but the Record will remain in the 'Actions' tab.
Image: Completed Internal Audit 'Details' 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, 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. Audit Record: The next workflow stage has been enabled and expanded, ready to be completed.
Image: 'Details' Workflow Stage in 'Edit' Mode - No 'Save' button (1), Reason for Change Requested (2), Second Signature Added (3)
Image: 'Audit Record' Workflow Stage (Previous Stage Collapsed & Following Stage Grayed Out)
1. No.: The ‘No.’ section will be populated here if it was populated in the Checklist that was selected for this Audit, 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.
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 Internal Audit 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. 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 for a requirement, and the 'Corrective Action' box has been ticked, the details for the Corrective Actions will be pulled as separate in the 'Nonconformance & Corrective Action' workflow stage.
8. Remove Line: Click the '-' button to remove an 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 lose 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)
Image: Prepopulated 'Nonconformance & Corrective Action' Workflow Stage (Previous Stage Collapsed & Following Stage Grayed Out)
Image: 'Nonconformance & Corrective Action' Workflow Stage after 'Save' Button Clicked - Corrective Action (7) Column Appears
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 appear 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 the '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 Suppliers by navigating to the required folders and sourcing your require Responsible person. Once you have sourced the relevant 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 the date by which the Corrective Action should be resolved and the CA Record closed. For the related Corrective Action Record, this 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
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, for example, 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 last 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 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'
Upon 'Save & Submit' of the 'Nonconformance & Corrective Action' workflow stage Corrective Action Records are generated in the Management Module.
1. Related Records: Corrective Action Records are linked at the top of the Record (Related Records), displaying the Record's name and CA Record number, as well as the workflow stage that it is currently in. They are clickable hyperlinks that bring you directly to the 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 CA Record raised for that specific Requirement is currently in. They are clickable hyperlinks that bring you directly to the Corrective Action Records.
Image: 'Nonconformance & Corrective Action' Workflow Stage in 'Edit' Mode - No 'Save' Button (1), Reason for Change Requested (2), Second Signature Added (3)
The appearance of the 'Audit Result' workflow stage will depend on the Internal Audit 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 Internal Auditing 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 auditors where you would like to show key details rather than a full Audit Report.
Image: Blank 'Audit Result' Workflow Stage with 'Standard System Rating' and Summary and Responses Tables Disabled
Image: Completed 'Audit Result' Workflow Stage with Summary and Responses Tables Enabled (Sample Audit)
4.1. Audit Score Result
Score Result: The Score Result of the Audit is automatically calculated based on the score values assigned to your answers for your selected Rating model. For example, if your Audit Record is completed with the result of 88 out of 100 possible points, the Score Result will be displayed as 88/100 (88%).
Audit Standard System Default Rating: 'Not applicable' will be displayed for the Score Result if the Rating selected in the Internal Auditing 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 Sample Customised Audit Rating Model Selected
Image: Sample Customised Audit Rating Model
Image: Score Result for 'Standard System Rating'
4.2. Audit Result
Result: The Result is automatically displayed based on the Score Result that the Audit received. Click on the dropdown arrow to re-select an overall Result for your Audit, if required. [Mandatory]
The Result dropdown options will depend on the Rating selected in your Internal Auditing Programme.
Audit Standard System Default Rating: If the System Default Rating (Yes, No, Not Applicable) was selected in the Internal Auditing 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 Sample Customised Audit Rating Model Selected
Image: Sample Customised Audit Rating Model
Image: Default 'Standard System Rating' Result Options
4.3. Audit Rating
Rating: The Rating is automatically displayed based on the Score Result that the Audit received. Click on the dropdown arrow to re-select an overall Rating for your Audit, if required. [Mandatory]
The Rating dropdown options will depend on the Rating selected in your Internal Auditing Programme.
Audit Standard System Default Rating: lf the System Default Rating (Yes, No, Not Applicable) was selected in the Internal Audit 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 Sample Customised Audit Rating Model Selected
Image: Sample Customised Audit Rating Model
Image: Default 'Standard System Rating' Rating Options
4.4. Audit Summary Table (If Enabled)
Image: Summary Table
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.
Section: 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.
Score Result: The Score Result here is outlined specifically for the named Section, as well as the Overall score result for the whole Audit.
Result: The Result here is outlined specifically for the named Section, as well as the Overall result for the whole Audit.
Rating: The Rating here is outlined specifically for the named Section, as well as the Overall rating for the whole Audit.
Nonconformance: This outlines the total number of Nonconformances as well as the number of Nonconformances for each Category (e.g. Critical, Major, Minor, Recommendation), and for each section.
4.5. Audit Response Table (If Enabled)
Image: Responses Table
The Responses Table outlines the number of times each of the Responses were selected, as well as in which sections of the Audit 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 4 possible Responses, 4 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.
Section: 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.
Number of Responses: The numbers in the 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.
The overall '0 - Aspect meets the criteria' Responses [e.g., 15, highlighted] will be a sum of all of the responses for Level 1 (Blue), the Level 1 Responses [e.g., 11 & 4, highlighted] will display a sum of all responses for Level 2 (Gray), and Level 2 [e.g., 6+2+3 and 2+0+2, not highlighted] will display a sum of all responses for Level 3 (not applicable for this example).
4.6. 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 Audit that may be beneficial for future Audits.
4.7. - 4.9. Save, Save & Submit, Cancel
1. Save: Click ‘Save’ to save your progress. This will allow you to return to the Audit Result stage until all of the Scoring is 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 ‘Save & Submit’ to save your progress and close out the Internal Audit 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.
Note: Closing the Internal Audit Record will not automatically close out the related Corrective Action Records (or any other Related Records). We suggest that the Audit Record is only closed when the Corrective Action Records have been completed as much as possible (i.e. if CA’s 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 related to the raised Nonconformances directly. Click here to learn more about raising Related Records from the Actions button.
Image: Raising a Related Record - Corrective Action via the 'Actions' button
Accessing Related Corrective Action Records (If Applicable)
You can access the Corrective Action Records directly from the Internal Audit Record by clicking on the blue hyperlink in the 'Related Records' section at the top of the Record. Alternatively, you can open the Corrective Action for your specific Nonconformance by clicking on the blue hyperlink in the 'Nonconformance & Corrective Action' workflow stage.
Click here to learn more about completing Corrective Action Records.
Image: Accessing the Raised Corrective Actions Directly from the Record
Image: Accessing the Raised Corrective Action Records from the Corrective Action Module
Image: Corrective Actions Raised from the 'Nonconformance & Corrective Action' Workflow Stage in an Internal Audit Record (First Stage Closed and Collapsed, Second Stage Opened)
Image: Corrective Action Raised from the 'Nonconformance & Corrective Action' Workflow Stage in an Internal Audit Record (First Stage Expanded)
