Configuring and managing audits

Who is this article for?
Administrators and Managers who want to learn about configuring and managing audits.

Administrator permissions are required to follow some of these steps.

This article offers a comprehensive guide on utilising the Audits tab in Lucidity Incident, a software tool for managing external audits and inspections. It covers key processes such as adding new audits, recording findings and non-conformances, assigning actions, and generating reports. The guide aims to help users effectively document and track external audits, ensuring proper follow-up and compliance management within their organisation.

1. Audits

1.1. Audits

The Audits tab can be used to record details of audits carried out by third parties such as clients and regulatory bodies.

1.2. External Only

It is recommended the Audits tab within Lucidity Incident is used to capture details on external audits only. It is suggested that Lucidity InForm is used for capturing details of internal audits as all checklists can be managed and configured, actions captured and attachments saved, allowing for much more flexibility and business control.

Lucidity Incident allows the outcomes of the audits to be captured as either a:

Finding, or
Non-Conformance.

Both findings and non-conformances can be linked to actions. Actions can also be entered independently of a finding or non-conformance.

In the Audits tab of Lucidity Incident, users can (role dependent):

Add, edit and delete audit details
Print individual audit details
Report on audits in Excel format

2. Add New Audit

Video: Add New Audit

To add a new audit, from the Audit page:

Click Add New.
Complete the fields.

Note: The details captured for each entry may vary slightly between each system configuration. Fields marked with * are mandatory.

Click Save.

2.1. Definition of Fields

Field	Description
Entered By	Pre-populated to name of person currently logged in
Name of Audit	Enter a name or title for the audit
Date Carried Out	Use the date selector tool or enter the date the audit was carried out
Type	Select the type of audit For example: audit, daily inspection, other
Internal or External	Select if internal or external Note it is recommended Lucidity Incident is used for external audits only. Lucidity InForm is the recommended tool for all internal audits
Organisational Details	Select organisational details as applicable, such as division, location, project, etc. Note that the location field is an open text entry. This allows users to specify precisely where within the broader location an issue occurred. For example, if the location is listed as "Head Office," the detailed description might be "in the kitchen area of the cafeteria on Level 2 of the Head Office."
Findings	Add any findings as a result of the audit Click 'Add' Select the individual the finding was identified by either from the drop-down list or by entering their name Select the finding type, for example finding, observation Enter the details of the finding Click 'Save' to save and close or 'Save and New' to enter an additional finding
Non-Conformance	Non-conformances as a result of the audit can be linked to existing non-conformances within the issues tab of Lucidity Incident Click 'Add' Chose 'Yes' to link to an existing non-conformance within Lucidity Incident already Select the non-conformance from the list All fields will be populated as per the existing non-conformance Chose 'No' to enter a new non-conformance Select the organisational fields Select the responsible and closeout managers Use the date selector tool to enter the date detected Enter a brief summary Click 'Save' to save and close or 'Save and New' to enter an additional non-conformance
Save and Continue	Click 'Save and Continue' to save data entered so far. Saving at this point also allows any actions entered to be linked to a finding created in the steps above
Actions	Add any actions required as a result of the audit Click 'Add' Enter the action description Select the actionee Use the date selector tool to enter the due date Select the status of the action as either 'Open' or 'Closed' Select the finding to link the action to where relevant Upload any files relevant for the actionee Click 'Save' to save and close or 'Save and New' to enter an additional action
Persons Involved	Add any person's involved in the audit Click 'Add' Select the person involved from the drop-down list or by entering their name Select the type of person, for example client, contractor, employee Enter the details of the person's involvement Click 'Save' to save and close or 'Save and New' to enter an additional finding
Contractor Involved	Add any contractors involved in the audit Click 'Add' Select all contractors involved from the list of values Click 'Done'
Supplier Involved	Add any suppliers involved in the audit Click 'Add' Select all suppliers involved from the list of values Click 'Done'
Log of Finding	Add to the log of findings as they arise Click 'Add' Use the date selector tool to enter the date detected Enter a file note Click 'Save' to save and close or 'Save and New' to enter an additional log entry
Upload a File	Upload any files such a photographs for the Issue Click 'Add Document' Locate the document Click 'Open' Enter the file name and description as applicable Click 'Upload' Refer to the Uploading Files in Lucidity Modules user guide page for more details.