To start a documentation review at a site select Gather Evidence and then Review Documentation in the navigation menu


The Content Page on the right lists only those sites that were marked as Visited in the Site Sampling Summary. If a site is not listed, click on the Add or Edit visited Sites to change your selection of visited sites.

 

To start your first review, click on the Add or Edit button next to the site that you are visiting.  


The Content Page lists only those question within the audit that must be verified through documentation review and it list each question as it appears in the protocol.


 

Clicking on the more link below each question will expand the question to reveal additional information. These guidelines provide more detail on what to look for, and how to score your findings.  


Based on the evidence reviewed record your findings in point-form in the Comments section. These Comments are used later to compose a formal answer to the audit question. It is recommended that you keep your notes short and to the point because are only reviewing documentation at one site and have not completed the interview and observation steps, and do not know if the evidence from those steps will support your initial findings.

 

Next assign a % Compliant indicating to what degree the reviewed evidence meets the audit requirements. You should assign the percentage in accordance with the question’s guidelines. 


IMPORTANT: Note, the % Compliant is not the same as the scoring the audit question. The question score is automatically calculated based on the total % Compliant assigned across all the visited sites. Scoring is covered in in the Audit Results section.


Document Types

During the documentation review there are generally two types of documents that are encounter :

  • “Directive Documents” include policies and mission statements that apply to the entire company. Generally, they only have to be reviewed at the head office. They are the same at every site and can therefore be omitted and do not have to be reviewed and scored when visiting subsequent sites.
  • “Operational Documents” on the other hand, include inspections and job descriptions that are specific to each site, and must be reviewed at each site.


Review Documentation > Results

The results of all complete documentation reviews can be viewed by clicking on the Results tab.


This presents all the documentation review findings in a single table and gives you a holistic view of the entire audit and insight into the areas that did well and areas that are an opportunity for continuous improvement. 


There are columns displaying the % Compliant at each visited site and a Results column, which combines those results. 

The Results column data is used for scoring in your final audit report are calculated based on specifications of the selected audit protocol as either: 

  • the mathematical average of the sites visited, or; 
  • the weighted average based on the number of employees at each visited site

Note: if the % Compliant was omitted the assigned % Compliant is marked as N/A in this table and is excluded from all calculations.