Internal audits within iPassport are created using a Checklist. These checklists can be created as reusable templates within iPassport and selected when creating the internal audit.
If the preference is to produce audit reports created outside of a checklist process, then these are best stored as controlled documents with the Category of Internal Audit.
Internal audits can be on any topic; there is no limitation within iPassport on this.
For managers to have a quick overview of scheduled audits, the Metrics area provides a widget which lists ‘Internal Audits due within the next month’.
There are 20 permissions associated directly with internal auditing. For convenience, they come organised by level of authority in two system roles - Audit Viewer and Audit Editor. Audit editors’ permissions include those of audit viewers.
Internal Audits:Create Reports
Internal Audits:Search Internal Audits
Internal Audits:View History
Internal Audits:View Internal Audits
Internal Audits:View Non-Compliances
Internal Audits:View Print History
Desktop:Show Internal Audits Menu Item
Desktop:Show Non-Compliances Menu Item
All permissions above plus:
Internal Audits:Change OU
Internal Audits:Create Internal Audits
Internal Audits:Delete Types
Internal Audits:Edit Internal Audits
Internal Audits:Edit Types
Internal Audits:Link To Records
Internal Audits:Manage Non-Compliances
Internal Audits:Manage Reviews
Internal Audits:Print Internal Audits
Internal Audits:Remove Links
Internal Audits:Schedule Reviews
There are no specific System Preferences or OU Preferences associated with internal auditing.
Note: This process assumes you have a checklist in place already.
The Internal Audit menu item is located under the Quality Management main menu item.
To create a new internal audit:
Click Next Page
In the New Internal Audit Step 2 of 3 screen (Peer Review Step), optionally enter values for the following fields-
NOTE: The peer review step is used to request other staff members’ feedback on the design of the audit. If this is not required the step can be skipped. If filled, a task is issued to the selected users when the audit has been created, dependant on the Tasks Active on date.
Click Next Page
To add new types of audits:
Once the internal audit is created, it can wait there until the audit needs to be performed. It is also possible to adjust the Scheduled On date at this point if needed. The Scheduled On date can’t be after the Completion Due On date; the system will validate this when these fields are edited.
The first three tabs of the internal record reflect the steps used to create it. The General tab, which the record opens to by default, represents the first step (page) when creating the internal audit. The Reviews tab and the Checklist tab represent the other two steps in the creation process. Most elements of the record can be edited through these tabs while the audit is incomplete.
Non-compliances are created as part of the internal audit, based on the checklists chosen. As such, it is not possible to create a noncompliance from the Non-Compliances tab; it simply shows ones created from the Checklist tab as part of the audit.
The other tabs work in the same way they do elsewhere in the system.
When the internal audit record has been created it is possible to ‘perform’ the audit, using the Checklists tab in the record. The Checklists tab shows the checklist(s) loaded to the internal audit and by working through them, the audit can be completed.
To perform the audit:
Mark off each item of the checklist by selecting one of the options in the Actions column; from left to right these options are:
Compliant (’✓ ‘ check) - marking an item as compliant opens a lightbox to provide evidence. Free text can be entered here and other evidence such as a picture or scans, can be added by dragging them into the dotted rectangle marked, Click here to attach evidence or by clicking inside the dotted area to open a ‘search and select’ browser window. Click the button, “Mark As Compliant” to complete the approval or click the “X” in the top right corner to close it without marking the step as compliant.
Noncompliant (’X’ cross) - marking an item as noncompliant opens a noncompliance lightbox where some of the key information can be entered.
Critically, a noncompliance record is created from this information, allowing the noncompliance to be expanded and actioned. Immediate and follow up actions are not created at the time of recording the noncompliance but through the (now) linked noncompliance record. The noncompliance record can be accessed from the Non-Compliances tab in the internal audit, or from the noncompliance record itself.
Not Applicable (’-’ dash) - marking an item as not applicable opens a lightbox where observations and attachments can be entered. Click the button, “Mark As Not Applicable” to complete the process or click the “X” in the top right corner to close the lightbox without changing the state of the step.
Any attachments added are listed at the bottom of the lightboxes that open when clicking Compliant (✓), Not Applicable (-) or, when clicking the magnifying glass icon (🔍) which shows once a step has been marked. Steps can be revisited to upload, remove or replace more evidence. It’s possible to open these lightboxes just to manage attachments and then click the “X” in the top right corner to close them without altering the state of the step. For more information on the attachment icons, please refer to the user guide, Attachment Management.
Once the checklist items have been worked through, the internal audit can be marked as complete. For the internal audit to be marked as complete, not all the noncompliances have to be closed. These are on separate records which remain linked to the internal audit.
To mark an internal audit as complete:
Expand the Actions drop down menu and select the Set as Completed option
Click the Go button and the internal audit should be marked as complete/finished
The fields under the general tab will still be editable after it’s completed. It will still be possible to manage the evidence submitted but it won’t be possible to change the state of any steps.