How to Raise a Corrective Action Record
A Corrective Action Record can be raised in three ways. Below are the steps that must be carried out in order to raise a Corrective Action Record. Expand each step below for further explanation.
Option 1: Using the 'Add Corrective Action' Button in the Corrective Actions Module
To add a Corrective Action Record in the Corrective Action module, navigate to the Corrective Action module via 'Management>Corrective Action' and click the 'Add Corrective Action' button.
Image: Navigating to Corrective Actions via 'Management>Corrective Action', Clicking 'Add Corrective Action' Button
Once created, the Corrective Action Record will open on the Nonconformance / Issue Details workflow stage. However, the Record will not be placed into the 'Actions' tab until you have clicked either the 'Save' or 'Save and Submit' buttons.
Image: Blank Corrective Action Record
Note: For further explanation on how to complete each Workflow Stages of the Corrective Record, see here.
Option 2: Using the 'Actions>Add Related Record>Corrective Action' Button within any Record in the System
To raise a Corrective Action from any other Record in the system, click the 'Actions>Add Related Record>Corrective Action' button. A pop-up will appear on screen prompting you to complete the following details from the first workflow stage of the Corrective Action, Nonconformance, Details, Responsible (Investigation), Responsible (Review) and Due Date.
Image: Clicking the 'Actions>Add Related Record>Corrective Acton' Button within a Record
Image: Blank 'Add Corrective Action' Pop-Up Screen
Complete the following details from the first workflow stage of the Corrective Action, Nonconformance, Details, Responsible (Investigation), Responsible (Review) and Due Date.
Image: Blank 'Add Corrective Action' Pop-Up Screen
Image: Nonconformance Dropdown
Image: Responsible (Investigation) Dropdown
Image: Responsible (Review) Dropdown
Image: Completed 'Add Corrective Action' Pop-Up Screen
When the details have been completed and you click the 'Save & Submit' button, a Corrective Action Record will be created and linked to the current Record. The first workflow stage of the Corrective Action Record, Nonconformance / Issue Details, will be closed, and the Record will sit open within the second workflow stage, Investigation / Root Cause Analysis.
Image: Completed 'Add Corrective Action' Pop-Up Screen
Image: Corrective Action Record Linked to Record
As mentioned in the previous step, the first workflow stage of the Corrective Action Record, Nonconformance / Issue Details, will be closed, and the Record will sit open within the second workflow stage, Investigation / Root Cause Analysis. If needed the Nonconformance / Issue Details workflow stage can be entered again using the 'Edit' button to make any changes.
Note: For further explanation on how to complete each Workflow Stages of the Corrective Record, see here.
Image: Created Corrective Action, Open in Second Workflow Stage
Image: First Workflow Stage can be accessed and 'Edited' if needed
Note: The Risk will not be completed, therefore you will need to edit this workflow stage to complete the Risk.
Option 3: Ticking the Corrective Action Box in the Internal Audit Record Checklist
To raise a Corrective Action within an Internal Audit, tick the 'Corrective Action' box on the Checklist Requirement row within the Audit Record workflow stage. When the Audit Record workflow stage is 'Saved & Submitted', the Nonconformance & Corrective Action workflow stage will open, where you will complete the following details from the first workflow stage of the Corrective Action, Details (Comments/Observation), Nonconformance (Category), Responsible (Responsible (Investigation) and Due Date.
Image: Ticking the Corrective Action Box in the Internal Audit Record Checklist, Completing the Nonconformance & Corrective Action Details
When the details have been completed and you click the 'Save & Submit' button for the Nonconformance & Corrective Action workflow stage, a Corrective Action Record will be created and linked to the Internal Audit Record. The first workflow stage of the Corrective Action Record, Nonconformance / Issue Details, will be closed, and the Record will sit open within the second workflow stage, Investigation / Root Cause Analysis.
As mentioned in the previous step, the first workflow stage of the Corrective Action Record, Nonconformance / Issue Details, will be closed, and the Record will sit open within the second workflow stage, Investigation / Root Cause Analysis. If needed the Nonconformance / Issue Details workflow stage can be entered again using the 'Edit' button to make any changes.
Note: For further explanation on how to complete each Workflow Stages of the Corrective Record, see here.
Image: Created Corrective Action, Open in Second Workflow Stage
Image: First Workflow Stage can be accessed and 'Edited' if needed
Note: The Nonconformance and Risk will not be completed, therefore you will need to edit this workflow stage to complete the Risk.
Tip: As noted in the above note, the Nonconformance and Risk will not be completed. However, we can enable the Risk to auto populate from the Internal Audit Record by updating the Risk Assessment Model within the Corrective Action Record from a 'Probability vs Severity' dropdown, to a single 'Category' dropdown, which will match the Category options within the Internal Audit Record. See here to access the article on Changing Module Default Risk Assessment Models.
Image: Risk Populating when the Corrective Action Risk Assessment Model matches the Audit Nonconformance Dropdown options of Recommendation, Minor, Major and Critical
