Creating Audit Findings
1) Assessment Findings from the Profile
You can find due assessments by searching views such as 'Compliance Assessments' by Lead Assessor etc or from the source document such as the entity profile to which it relates and all began
2) Special Action Compliance Assessments
On the left side views you can select Compliance Assessments which will get you to the history of assessment plans and findings that relate to that profile
3) Opening the Plan
Identify the plan you wish to create findings for and click to open
4) Create Assessment Findings Form
Select 'Create Assessment Findings Form' to generate the audit results
5) Create and Assessments Finding Form
Choose the default assessment checklist layout by chevron forward. Reverse chevron if you wish to backup and go to the previous page.
6) Option 1 - Attaching files
Add summary and worksheet and title the attachments or they will not save
7) NC Findings summary
This is an optional table which will allow you to summarize your audit NC's
8) Creating CAR's within Cpro
If you wish to use the CAPA module to handle your CAR's you can do so by selecting 'Non-Compliant'. Once the findings document is saved you will be able to see a 'Create Action' button at the bottom of this section for you to create one or more CAR's. Each one created will be visible in the Action Register section of the Plan
9) Creating PAR's in Cpro
If you wish to use the CAPA module to handle your PAR's you can do so by selecting 'Compliant with Observation'. Once the findings document is saved you will be able to see a 'Create Action' button at the bottom of this section for you to create one or more PAR's. Each one created will be visible in the Action Register section of the Plan
10) Complete assessment findings
Each assessment findings form created has sections to complete as shown.
11) Complete assessment findings
You must also complete the audit duration boxes
12) Option 2 (if attachment only, go to slide 30) - Import checklist compliance sections into the findings form. (Alternative method to attaching reports only)
If you wish to import checklists you are ready to get the checklist sections from the document control checklist docs and load them to your findings form. Remember, the checklists were added to the plan as associated items. Choose 'Import Content' to access these associated items. If you only intend to attach your worksheet and summary audit forms then skip to the section 'Attach Audit Results Only'.
13) Importing checklist content
You will now see options to select checklists from a list. The items which show in the presented list will be only those checklists that are associated items in the plan for this audit. You have a choice now of important all questions from all of the checklists by importing one by one or, import one then go back to the plan and repeat the process. The latter will show more than one assessment findings form which is perhaps how you want it if you prefer to keep clauses separate.
14) Completing audit evidence
The questions are now imported into your assessments findings form. Scroll down the form and answer the questions, putting objective evidence in the box, attaching an necessary files and making a compliance decision using the decision boxes to the right. Using 'switch to setup' would allow you to change a question or perhaps add others.
15) Attaching evidence files
Under the evidence box is an attach file button.
16) Assessment Findings form completion
If there are no actions necessary you may wish to submit your findings form for approval. Alternatively if it requires extra content then Save and close.
17) Creating an action
Once all evidence has been added and the document saved, in read mode you will see a Create Action button.
18) Creating an action
When creating an action you need to select the site which is responsible for the action, select the type of document you want to create, for example, PAR, CAR, action item etc and hit forward chevron to proceed
19) Creating an action
Complete the action detail.
20) Creating an action
Complete the action detail. There are slides to help with the creation of PAR's and CAR's etc. For audit purposes a PAR is for opportunities for improvement (OFI) and a CAR is used for something Noncompliant (NC)
21) Created Action
With the action created now saved and live in the system it is linked to the assessment findings form though may remain open even though the audit may be closed. More than one action per clause may be created
22) Actions Register
Once your assessments findings form is submitted and approved, you will be able to see all created actions in the assessment plan under 'Actions Register'. You can also 'Create Note'.
23) Completing Evidence off-line
From your assessments findings form in read mode you can choose the audit checklist worksheet option from the left hand menu allowing you to download the checklist to Excel. This is useful if you wish to complete the audit in Excel and upload it into CPro when you are done. This feature works best when you have imported all of your checklist questions into 'one' assessments findings form.
24) Excel download
Choose open or save as
25) Excel download
The Excel file is now ready for completion during the assessment. You can fill in the assessment checklist worksheets as there is one for each audit question you imported. Once you create this document you need to save it locally
26) Upload Checklist Form
Use the 'Upload Checklist Form' to bring in the audit findings from your saved Excel document
27) Upload audit findings
Use the browse button to find the saved Excel checklist form
28) Compliance Assessment Findings Form CM-00013 / 0 : Annual HR Plan - Internet Explorer
Once you have completed the findings in the saved Excel questionnaire, you can upload it back into the findings form in CPro and all of your evidence and findings will be populated into the corresponding sections in CPro
29) Completing the Audit
Once all evidence has been completed you should click on 'All Evaluations completed' which will trigger the next assessment plan based on the timing you created for next audit e.g 360 days after closure of audit.
30) Specifying actual clauses audited this visit
Choose all of the clauses audited this visit
31) Audited clauses
List all of the clauses audited. If you need to create an action you can still do so in read mode from the section where your files are attached
32) Submit for Approval
Submit your plan for approval once your assessment findings have been approved. This can be done without created actions being closed.
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