Ad-hoc audits allows you to run an audit on an ad-hoc basis outside of a schedule
1. Click on the Compliance module and select the appropriate subsystem
2. Click on the 'Checklists schedule' area
3. Click on the ad-hoc audits button, a list of Ad-hoc audits is displayed for selection.
Each available subsystem is displayed and if configured you are able to start an ad-hoc audit or view the history of an ad-hoc audit (terminology of ad-hoc might change from site to site based on configuration but the principles remain the same).
Starting an Ad-hoc audit
1. Click on the Ad-hoc audits button on the Checklists schedule landing page
2. Click on the ‘+ New ad-hoc Audit’ from the dropdown list
The audit phases or the different stages of an audit can be viewed to the right hand-side of the screen
3. In Title section start inputting the details of your audit
Audit Number – this is automatically generated but can be overtyped and might contain some prefixes, or suffixes depending on your site’s configuration.
Audit Name – The ability to add detail to the name of the audit so that it can be easily searched for, this is a free text box but might include the department name and the date.
Checklist Style – the style of audit you wish to use, each style offers different options.
Classic – The ability to create checklists sections and create your own checklist / audit questions
Classic with evidence – The same as classic style but with an additional area to capture evidence
Regulation based – The ability to create a checklist audit based on a regulation, when linked to Regulations this will create your audit question directly from the Regulation
Regulation based with evidence – The same as regulation based but an additional area to capture evidence
Regulation based with Auditor Actions (IOSA style) – The ability to create a checklist that uses the IOSA style of questions and answers
Possible Answers – the ability to select how you score each item against conformance. If selecting Regulator based with auditor actions (IOSA style) as your checklist style the possible answers will default to IOSA Audit Result
4. Next you need to input details of when this audit is taking place, this is created in the Status section.
5. Enter in a date that this audit is due on, or a started-on date.
6. Depending on system configuration you can add in Audit Subjects (the individual, manager, or nominated person) of the area that is being audited. Click on ‘+ Select Contacts’ and enter the person, or persons name from the available list.
7. Click on the ‘Save’ button to store the inputted details
Once saved additional areas are displayed on the screen.
Audit Team – displays the name of the Lead auditor (the individual who created this audit), this can be replaced if required if your site is configured you can also add in additional auditors.
8. Click on the ‘Edit’ button
9. Add in any additional auditors required (they will be notified, and this audit will sit within their My Audits section of their site)
10. Click on the ‘Save’ button to store this information
Moving down the page there are additional areas of this audit displayed.
Checks – displays the amount of checklist items that this audit contains alongside any non-conformity information
Sections – The area where checklist items are created
To add items into an audit to be checked against you need to firstly create a section, once a section has been created you are able to add in items to that section.
Adding a section
1. Within the section area click on the ‘Add a Section’ button
2. Enter in a section name in the section name box
3. Within the Contents sections click on the button ‘+ Add Heading’ to add a heading or ‘+ Add Item’ to add a checklist item. Headings cannot be scored against for compliance or to attach any evidence to they are there to break up sections. Compliance and non-compliance can only be scored against an item
4. Add as many headings and items as required
5. Each heading and item require a number to be added underneath the Check area. Using the ‘Renumber’ button will allocate a number to these headings, or items (if using headings and items the number will be a decimal, if using only items it will be a whole number)
6. Against each item there is a Compliant area that can be marked as compliant or non-compliant (depending on the possible answers selected when the audit was created)
There is also a Documentation / Evidence box (this audit was selected as classic with evidence) and a comments section available. An attachments area is also available if required.
7. Move through creating headings and items and scoring each against compliance, add in any documentation / evidence alongside comments and attachments
If you need to delete a heading or an item, click on the dustbin / delete button.
If you need to re-order headings or items, to do this use the six dots to drag and drop the section into its new area.
*Remember, if reordering then select the renumber button again to adjust the check numbering.
8. When all areas have been completed click on the ‘Save’ button
Each item is displayed alongside colourisation of compliance
The Linked Regulations Items section displays any Regulations that might linked or associated to this audit, if Regulations were linked and during an audit a Regulation changed via an amendment this section would allow the audit team to view any changes and accept any amendments via an update button.
Findings – the ability to add a finding to this audit that sits outside of any checklist items
Actions – the ability to add any actions
Attachments – the ability to add attachments to this audit, there is also the ability to add attachments to individual checklist items when the audit has been started.
The Comments section is a free text area for any comments to be added.