Follow

Audit Process: Review Documentation

To perform a documentation review at a specific site:

  • Select the Review Documentation menu option in the Navigation Pane. See (1) in the image below. Note: the number that appears in parenthesis (the number “2”) indicates the number of completed documentation reviews.
  • Once the documentation information appears in the edit window the user can either:
    • Start New Documentation Review by selecting the button (2) – Also see Entering Documentation Review Details section
    • Edit an existing review by selecting the review from the Edit Site / Location drop-down list (3)
  • The table lists the results from the completed documentation reviews:
    • The columns to the right list the % compliance for each location (4)
    • Below each location is listed the % compliance to a regulation for each site/location visited – see (5) and (6)
    • General auditor field notes related to a specific audit question are captured on a per question basis- (7) The comments are the collective comment for all the documentation reviews at all sites visited.
    • The Result of total compliance (8) is listed as the mathematical average of all sites visited ( (5) and (6) ). Cells that are marked as Not Applicable (N/A) are ignored during this calculation. Note: This result represents the overall % compliance with the requirement and does not represent the audit score that is assigned to the question. The scoring of audit questions will be addressed in the Audit Results section.
    • To Export option (9) will extract the entire grid view to a comma-delimited file (.csv) that can be opened by a spreadsheet application.

Capture.PNG

Entering Documentation Review Details

The application allows one documentation review per site/location. When selecting the Start New Documentation button the entry page for Documentation Review Details appears.  On this page, you can:                                                                                                                                            

  • Select the site for which the review is being completed from the dropdown menu (1)
  • Mouse over the information icon to view the Guidelines for the question (2)
  • Record Collective comments from ALL sites on a per question basis (3)
  • Select an appropriate % Compliance based on the documentation reviewed (4) – Note that not all questions have to be answered for each site and some questions can be left as Not Applicable (N/A)
  • If comments have been recorded in the Interview or Observation verification steps for the same question then the View Comments (5) will appear to provide access to that information. Note that this option is only available when comments have been recorded and is not visible for “empty” comments
  • It is important to click Done (6) before leaving this data entry page
  • To delete the current review selecting the Delete button (7)

 Note: As a general rule, documentation questions should be answered for the head office and only subsets of the documentation review questions have to be completed for other (sub) sites.

Capture.PNG

Calculating Documentation Results

The calculation and aggregation of data support two different aggregation options; these are based on the requirements and settings of the certification body (or Certifying partner). The two options are either a) Averaging or b_ Weighted averaging; the table below explains these differences:

Capture.PNG

In the example listed above, an auditor visited 3 sites (Site A, Site C and Site E) and the total number of employees at the 3 sites are (Site A = 2000 employees, Site C = 200 employees and Site E = 10 employees).

And the results from the documentation reviews at the different sites for a specific question were as follow:

  • Site A is 90% compliant with the requirement
  • Site C is 70% compliant with the requirement
  • Site E is 50% compliant with the requirement

Capture.PNG

 

 

Was this article helpful?
0 out of 0 found this helpful
Have more questions? Submit a request

Comments

Powered by Zendesk