Description

A Finding is a deficiency, nonconformity, or observation as the result of an audit, inspection, internal review, program manager action, etc. Once created and saved, the Finding goes through an Assignment, a Resolution, and a Closure phase.

To Create a Finding

1. For a finding related to a scheduled checklist, go to Audits/Inspections > Completed Checklists and find the applicable checklist. Once in the checklist form, find the question that resulted in a finding and click on Finding to the right of the answers. Proceed to Step 4.
2. For creating a standalone finding, go to Audits/Inspections > Findings to view the Findings & Observations grid.
3. Click on New Finding/Observation.
4. On the New Finding/Observation form, complete applicable fields and click on Next to access the Create Finding form. If you need help understanding the field requirements, click on Help with this page on the utility pane. You can either save the information as a draft or, when complete, click on Save and Submit to save the finding as “Open (Not Assigned)” and notify the Lead POC of the finding.

To Assign a Finding

1. Go to Audits/Inspections > Findings to view the Findings & Observations grid and select the finding of interest to access its profile page.
2. Review the information and then click on Assign to access the Edit Assignment form. Complete the form and ensure the correct resolution requirements are selected for this type of finding.
3. Click Save to save the finding as “Open (Assigned)” and notify the Assigned POC (the person responsible for overseeing the finding POAM, if applicable, and submitting the resolution).

Resolve a Finding

1. Go to Audits/Inspections > Findings to view the Findings & Observations grid and select the finding of interest to access its profile page.
2. Once in the finding profile page, note the grey menu with the different finding tracking phases. Review the general information and then click on Assignment to review the assignment information. If the assignment needs to be changed, click on Edit Assignment found immediately below the grey menu.
3. If the resolution requirements include a POAM/CAPA, click on (POAM/CAPA) located above the grey menu and next to the Progress field name. Edit the CAPA by clicking Edit CAPA or click on Create a POAM for this Finding to access the POAM form. If no POAM is required, you may skip this step and click on Resolve at the top of the profile page to access the Edit Resolution form.
4. The Edit Resolution form records the root cause of the finding and CAPA information – the minimum requirements of an EMS. Once the form is completed, click on Save to save the finding as “Open (Resolved)” and notify the Lead POC that the finding is ready for review and closure.

To Review and Close a Finding

1. The resolution requirement selected upon assignment determines whether a formal review is required. If a formal review is required, the Lead Auditor will be notified once the finding is submitted as resolved. The Lead Auditor must access the finding profile, review the information and click on Review to record acceptance of the resolution. Once the acceptance is saved, the Lead POC is notified that the finding is ready for closure. If no formal review is required, the Lead Auditor will not be required to review the finding.
2. If a formal review is not required, the Lead POC must access the finding profile, review the resolution and click on Close to access the Edit Closure form.
3. Once in the Edit Closure form, the finding can either be closed or reassigned to someone else if the resolution was inadequate.