> For the complete documentation index, see [llms.txt](https://interfacing.gitbook.io/interfacing-help-files/llms.txt). Markdown versions of documentation pages are available by appending `.md` to page URLs; this page is available as [Markdown](https://interfacing.gitbook.io/interfacing-help-files/auditors/managing-external-audits-apps/managing-audit-reports-and-findings.md).

# Managing Audit Reports & Findings

Upload audit reports, document findings, and manage their resolution.

Use the **Upload Audit Report & Treat Findings** form to document an audit and manage its associated findings.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

{% hint style="success" %}
For guidance on common form features and functions, see [**Working with Forms**](/interfacing-help-files/end-users/exploring-apps/working-with-forms.md).
{% endhint %}

***

## Completing the Form

Follow the steps below to complete and submit the audit report.

{% stepper %}
{% step %}

### Identify, Classify, & Summarize

Provide the information needed to uniquely identify, classify, and summarize the audit.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

* **Audit Title:\*** Enter a clear, descriptive title for the audit.
* **Audit Execution Date:\*** Select the date the audit was conducted.
* **Scope of the Audit:\*** Define the boundaries of the audit, including processes, sites, departments, and time period covered.
* **Audit Firm / Auditor Name:\*** Enter the name of the auditor, audit firm, or internal audit team responsible for the audit.
* **Executive Summary:** Provide a concise overview of the audit objectives, key findings, and overall conclusions.
* [**Business Division:**](#user-content-fn-1)[^1] Select the primary functional unit (department) relevant to the audit.
  * Selecting a division filters the options shown in the **Business Line** field.
* [**Business Line:**](#user-content-fn-2)[^2] Select the specialized unit within the selected division.
* [**Audit Type:**](#user-content-fn-3)[^3] Select the audit type.

***

{% endstep %}

{% step %}

### Upload Report

Upload the completed audit report, including findings, evidence, and conclusions.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

***

{% endstep %}

{% step %}

### Link Related Elements (Optional)

Associate the audit with relevant elements to indicate relationships, dependencies, or impacts.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

* [**Related To:**](#user-content-fn-4)[^4] Select one or more associations relevant to the audit.

{% hint style="warning" %}
Additional fields may become available based on your selection.

* **Process**
  * [**Process(es):**](#user-content-fn-5)[^5] Select one or more associated processes.
* **Product**
  * [**Product(s):**](#user-content-fn-6)[^6] Select one or more associated products.
* **Risk**
  * [**Service(s):**](#user-content-fn-7)[^7] Select one or more associated risks.
    {% endhint %}

***

{% endstep %}

{% step %}

### Record Findings

Document all issues, deviations, and opportunities for improvement identified during the audit.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

Click **Add** to record a new finding.

<details>

<summary><mark style="color:blue;"><strong>Add Audit Finding</strong></mark></summary>

The **Add Audit Finding** form allows you to document individual audit findings.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

1. **Define Details**

Complete the relevant fields to capture and classify the finding:

* **Finding Type:\*** Select the finding type (e.g., Non-Conformity, Observation, OFI).
* **Requirement / Clause:** Enter the applicable standard, regulation, policy, or requirement reference.
* **Severity:** Select the severity level (e.g., Critical, Major, Minor).
* **Description / Notes:** Provide a clear description of the finding, including context and supporting evidence.

<p align="center">━━━━━━━━━━━━━━━━━━━━━━━━━━━</p>

**Read-Only Fields** (🔒)

* **Observation ID:** A system-generated, unique identifier used for tracking and reference.

***

2. **Save Changes**

When ready to save, choose one of the following options:

* **Save and Close:** Click to save the item and return to the main form.
* **Save and New:** Click to save the item and open a new form to add another.

</details>

Added entries appear in the grid, where they can be modified by clicking **Edit** ( <i class="fa-pen">:pen:</i> ).

{% hint style="warning" %}
Findings are also automatically reflected in the **Escalation(s)** grid (see [Section 7](#step-7)).
{% endhint %}

***

{% endstep %}

{% step %}

### Upload Supporting Evidence (Optional)

Attach documents, images, records, or other materials that support the findings.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

***

{% endstep %}

{% step %}

### Escalate & Assign Responsibility

Review findings and define how each will be handled based on impact and urgency.

<p align="center"><kbd><strong>IMAGE</strong></kbd></p>

* **Escalate To:** Select the appropriate handling path.
  * **Quality Event** — For issues requiring formal investigation and documented assessment.
  * **CAPA** — For systemic or recurring issues requiring root cause analysis and corrective/preventive action.
  * **Action Item** — For simple, contained activities that do not require formal investigation.
* **CAPA / QE Reviewer:** If applicable, select the user, role, or group responsible for review.
* **Action Owner:** If applicable, select the user responsible for executing the action.

***

{% endstep %}

{% step %}

### Submit Report

Click **Submit** to finalize the audit report and initiate the treatment of findings.

{% hint style="warning" %}
Based on the selected escalation type, findings are automatically routed to the appropriate workflow:

* **Quality Event**\
  → Workflow: [**Quality Event Management**](/interfacing-help-files/quality-managers/quality-event-application/creating-and-managing-quality-events.md) \
  → Task: [**Review Issue**](/interfacing-help-files/quality-managers/quality-event-application/creating-and-managing-quality-events/review-issue.md)
* **CAPA**\
  → Workflow: [**CAPA Management**](/interfacing-help-files/quality-managers/implementing-capas-apps/navigating-the-capa-management-workflow.md)\
  → Task: [**Review CAPA**](/interfacing-help-files/quality-managers/implementing-capas-apps/navigating-the-capa-management-workflow/review-capa.md)
* **Action Item**\
  → Workflow: [**Action Item Management**](/interfacing-help-files/quality-managers/action-item-application/creating-and-managing-action-items.md)\
  → Task: [**Execute Action**](/interfacing-help-files/quality-managers/action-item-application/creating-and-managing-action-items/execute-action.md)
  {% endhint %}

***

{% endstep %}
{% endstepper %}

***

## See Also

<table data-view="cards"><thead><tr><th></th><th></th><th data-hidden data-card-cover data-type="image">Cover image</th><th data-hidden data-card-target data-type="content-ref"></th></tr></thead><tbody><tr><td><strong>How to Track &#x26; Monitor Audit Reports &#x26; Findings</strong></td><td>Monitor audit reports and the treatment of associated findings.</td><td><a href="https://1488562728-files.gitbook.io/~/files/v0/b/gitbook-x-prod.appspot.com/o/spaces%2FTx7AmE0d2Q4ja20EYjF5%2Fuploads%2FRUKUmupP2xa1vcdJGr7h%2FIMS-V16-NAV-Library-Icons-160.png?alt=media&amp;token=2aa0ae7c-a131-4417-8a08-a38c1c84bc20">IMS-V16-NAV-Library-Icons-160.png</a></td><td><a href="/interfacing-help-files/auditors/managing-external-audits-apps/tracking-and-monitoring-audit-reports-and-findings.md">Tracking &amp; Monitoring Audit Reports &amp; Findings</a></td></tr></tbody></table>

[^1]: 💡 **For Administrators:**

    * Manage the options that populate the **Business Division** dropdown in:
      * **Library** > [**Organization**](/interfacing-help-files/process-analysts/organization-management.md).
    * Only **active** departments will appear in the dropdown.

[^2]: 💡 **For Administrators:**

    * Manage the options that populate the **Business Line** dropdown in:
      * **Library** > [**Organization**](/interfacing-help-files/process-analysts/organization-management.md).
    * Only **active** departments linked to the selected parent department will appear in the dropdown.

[^3]: 💡 **For Administrators:**

    * Manage the options that populate the **Audit Type** dropdown in:
      * **QMS Admin Settings** > **Audit Settings** > [**Audit Type**](/interfacing-help-files/administration-and-configuration/configuring-application-settings/audit-management-application-settings/audit-type.md).
    * Only **active** options will appear in the dropdown.

[^4]: 💡 **For Administrators:**

    * Manage the options that populate the **Related To** dropdown in:
      * **QMS Admin Settings** > **Audit Settings** > [**Related To**](/interfacing-help-files/administration-and-configuration/configuring-application-settings/audit-management-application-settings/related-to.md).
    * Only **active** options will appear in the dropdown.

[^5]: 💡 **For Administrators:**

    * Manage the options that populate the **Process(es)** dropdown in:
      * **Library** > **Process**.

[^6]: 💡 **For Administrators:**

    * Manage the options that populate the **Product(s)** dropdown in the [**Product(s) / Equipment**](/interfacing-help-files/supplier-and-product-management/products-equipment-application.md) application.

[^7]: 💡 **For Administrators:**

    * Manage the options that populate the **Risk(s)** dropdown in:
      * **Library** > **Risk**.


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