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Conduct Audit

Once the audit has been approved, the Lead Auditor (responsible person) can proceed to conduct the audit by clicking the Start Audit icon. Then click the Conduct Audit icon located under the Record Options.

The user will be redirected to a page with columns Protocol, Question, Finding. The Header with the audit reference number is a link that will take the user back to the Proposal Details.

Overview of Conduct Audit Screen​

Once the user has configured the protocols in Administration, selected the Areas for the assessments and started the assessment, The Conduct Audit page will be displayed when the Conduct Audit icon under Record Options is clicked.

  • Protocol - this will be the first level to the protocol or standard
  • Question - will be the fourth level of the protocol. This could be part of the protocol or standard.
  • Findings - this will be associated to the question.

Add a question to a Protocol​

To add a question to a protocol:

  1. Navigate to Auditor and select the audit.
  2. Click Conduct Audit under the Record Options
  3. In the Protocol column, ensure you select the Filter to select All Protocols or only assigned Protocols
  4. In the Protocol column, select the protocol by clicking on the protocol. A cog icon will be displayed.
  5. Click on the Cog, a drop down menu will be displayed
  6. Click the Add Child Item - this will add a question into the Question column. A window will open with two tabs Details and Link Requirements
  7. Fill out the necessary fields.

If the user is typing in the questions in an ad hoc basis, the auditor can then type in comments. The user has the capability of Risk Ranking the question.

There are times that a Lead Auditor may want to link other protocols with a question or category.

  1. While the add question window is open, there is a tab Link Requirements. Click on the tab Link Requirement
  2. Using the arrows to the left of the Protocols add an additional protocol to the question.
  3. Once all requirements have been linked, click the Save & Close button. The window will close and the question will be added to the Question column.

Edit Questions in a Protocol​

To edit a question, use the following steps:

  1. Highlight the Protocol with the question by clicking on it
  2. Question(s) will be displayed, click on the cog
  3. A drop down will be available with Edit, Add to Current Column, Add Child Item, Delete. Select Edit.
  4. The edit question window will open and the user can modify the fields.
  5. Once all modifications have been made the user can either Save or Save & Close. If the user just clicks the Save button, the window will remain open, however if the user clicks the Save & Close button, the modifications will be saved in the database and the window will close.

Delete Questions from a Protocol​

To delete a question from a protocol, highlight the protocol with the question by clicking on the protocol. The questions will be displayed.

  1. Select the question to delete and highlight it by clicking on the question. A cog will be displayed.
  2. Click the cog and a drop down menu will be opened, click Delete.
  3. A confirmation message will open, the user can continue to proceed by selecting OK. The question will be removed from the column.

Add a Finding to a Question​

Findings are added to questions for various reasons. A finding can be an observation, a suggestion for improvement, a good or best practice and a noncompliance. These findings are associated to the questions in an audit.

To add a finding, the user will do the following:

  1. Navigate to Auditor and select the audit.
  2. Click Conduct Audit under the Record Options
  3. In the Protocol column, select the protocol by clicking on the protocol. A cog icon and the question(s) associated with the protocol will be displayed.
  4. Highlight the question to add the finding. A cog icon will be displayed.
  5. Click the Add Child Item - this will add a finding into the Finding column. A window will open to add details to the Description, Evidence, and Finding Summary fields.
  6. Enter the Description (required) of the finding.
  7. Enter the Evidence of the finding.
  8. Select Finding Summary
  9. Select Priority
  10. Select Cultural Driver
  11. Select System / Execution
  12. Select Operational Risk Driver
  13. Using the drop down select the Finding Summary. The finding summary is configured in the Administration module.
  14. When all of the finding details have been entered, click the Save & Close button

If the user would like to add attachments as part of the audit for Evidence, this can be done in the Attachment Tab in the Audit Details. Just Click the Audit Prefix to return to the Audit Details.

Edit a Finding to a Question​

To edit a finding, use the following steps:

  1. Highlight the Protocol with the question by clicking on it
  2. Question(s) will be displayed,. Highlight the question to edit the finding.
  3. Click on the finding to be edited, a cog icon will be displayed.
  4. A drop down will be available with Edit, Add to Current Column, Add Child Item, Delete. Select Edit.

The edit finding window will open and the user can modify the fields.

Once all modifications have been made the user can either Save or Save & Close. If the user just clicks the Save button, the window will remain open, however if the user clicks the Save & Close button, the modifications will be saved in the database and the window will close.

Delete a Finding from a Question​

To delete a finding from a question, highlight the protocol with the question containing the finding

  1. Select the question that the finding is associated with click the question and the findings will be displayed with a cog icon.
  2. Click the cog and a drop down menu will be opened, click Delete.
  3. A confirmation message will open, the user can continue to proceed by selecting OK. The finding will be removed from the column.

Create a Recommendation​

In the Audit, once all questions and findings are entered, the Lead Auditor can review to determine if a Recommendation is necessary.

To create a recommendation, use these steps:

  1. Navigate to Auditor and select the audit.
  2. Click Conduct Audit under the Record Options
  3. In the Protocol column, select the protocol by clicking on the protocol. A cog icon and the question(s) associated with the protocol will be displayed.
  4. Click on the Question, to display the findings.
  5. Click on the cog to displayed the menu
  6. Click the Manage Recommended Actions. A Recommended Action window will open with two tabs Current Audit and Copy from Other Audits.
  7. Click the Add Recommended Action button, the user will be taken into the grid
  8. Enter the Description
  9. Using the drop down, select the Assigned To
  10. Using the graphical calendar, select the Target Date.
  11. Click Save & Close if finished with the recommendation or click Save if there are more recommendations to enter. The window will close and the page will refresh showing the number of recommendations linked to the finding.

Copy a Recommendation from Other Audits​

There are times that findings can be the same finding, but from a different audit. The Copy from Other Audits feature can be used to track recommendations from other audits and copy those to the user's current audit. This allows the auditor to get a grasp if a finding can be considered systemic.

To create a recommendation, use these steps:

  1. Navigate to Auditor and select the audit.
  2. Click Conduct Audit under the Record Options
  3. In the Protocol column, select the protocol by clicking on the protocol. A cog icon and the question(s) associated with the protocol will be displayed.
  4. Click on the Question, to display the findings.
  5. Click on the cog to displayed the menu
  6. Click the Manage Recommended Actions. A Recommended Action window will open with two tabs Current Audit and Copy from Other Audits.
  7. Click the tab Copy from Other Audits.

A window will open and the user will click the Copy from Other Audits tab.

The user will be presented with a list of audits and recommended action description. To select a recommended action, find the audit prefix or description and click the copy icon to the right of the description column.

Click Save. At this time the user can click the current audit tab, the copied recommendation will be in the current audit list. The user can Save & Close. The window will close.

Edit Recommendations​

To edit a recommendation, the user will follow these instructions:

  1. Navigate to Auditor and select the audit.
  2. Click Conduct Audit under the Record Options
  3. In the Protocol column, select the protocol by clicking on the protocol. A cog icon and the question(s) associated with the protocol will be displayed.
  4. Click on the Question, to display the findings.
  5. Click on the cog to displayed the menu
  6. Click the Manage Recommended Actions. A Recommended Action window will open with two tabs Current Audit and Copy from Other Audits.
  7. Select Current Audit.
  8. Make the necessary changes to the description and target date.
  9. Click Save & Close. The window will close and the modifications will be saved in the database.

When the user has finished entering the recommendations, these can be exported to Resolution Tracker to follow through completion. The user will need to click the header to go back to Audit Details.