Audit Findings

Audit findings are the core output of any audit. The findings management system allows auditors to record non-conformities, observations, and other issues discovered during an audit, track their resolution, and maintain a complete evidence trail.

What You Can Do

• Create findings with detailed categorization and evidence
• Filter and search findings by status, severity, category, and type
• View finding details including description, evidence, root cause, and attachments
• Add comments to findings for discussion and clarification
• Dispute findings when auditees disagree with a finding
• Accept findings to automatically create linked CAPAs

Finding Types

Type	Description
Non-Conformity	A failure to meet a specified requirement
Non-Compliance	A failure to comply with regulatory requirements
Observation	A noted condition that could lead to a non-conformity
Positive Finding	A noteworthy good practice observed during the audit

Severity Levels

Each finding is assigned a severity level that determines its visual priority:

Severity	Indicator	Description
Critical	Red badge	Immediate risk to product quality, patient safety, or regulatory compliance
Major	Orange badge	Significant deviation that requires prompt corrective action
Minor	Blue badge	A lesser deviation that should be addressed but poses limited immediate risk
Observation	Gray badge	An area for potential improvement, not a formal non-conformity

Categories

Findings can be categorized to aid in trending and analysis. Categories include non-conformity types, process areas, and other classification schemes configured in the system.

Creating a Finding

1. Open the audit detail page and navigate to the Findings tab
2. Click Create Finding
3. Fill in the finding form:

Finding Form Fields

Field	Required	Description
Title	Yes	Brief summary of the finding
Description	Yes	Detailed explanation of what was observed
Category	Yes	Classification of the finding
Severity	Yes	Critical, Major, Minor, or Observation
Finding Type	Yes	Non-Conformity, Non-Compliance, Observation, or Positive Finding
ISO Classification	No	Reference to specific ISO clause or standard
Location	No	Physical location where the finding was identified
Process Area	No	The process or department involved
Standard Reference	No	Specific standard or regulatory reference
Evidence	No	Description of the objective evidence collected
Root Cause	No	Initial root cause analysis
Contributing Factors	No	Factors that contributed to the finding
Immediate Actions	No	Any immediate containment actions taken
Corrective Action Required	No	Whether a formal corrective action is needed (checkbox)
Proposed Corrective Action	No	Suggested corrective action
Responsible Person	No	Person assigned to address the finding
Target Completion Date	No	Deadline for resolution
Evidence Attachments	No	Supporting documents, photos, or files

4. Click Submit to save the finding

Tip

Attach evidence files directly to the finding during creation. This keeps all supporting documentation linked to the specific finding for easy retrieval during reviews and follow-up audits.

Findings List

The findings list displays all findings for an audit in a card-based grid layout. Each finding card shows:

• Finding number and title
• Severity and status badges
• Dispute status (if applicable)
• Finding type badge
• Category and reporter name
• Location and process area (if provided)
• Target completion date
• Attachment and comment counts

Filtering Findings

Use the filter panel above the findings grid to narrow results:

• Search by title, description, finding number, location, or process area
• Status filter: Open, In Progress, Resolved, Closed
• Severity filter: Critical, Major, Minor, Observation
• Category filter
• Finding Type filter: Non-Conformity, Non-Compliance, Observation, Positive Finding

Finding Detail Page

Click on a finding to open its detail page with three tabs:

Overview Tab

Displays the complete finding information in two columns:

• Finding Details — Description, category, severity, status, finding type, location, process area, evidence, and root cause
• Quick Info — Reporter name, reported date, responsible person, and target completion date

Comments Tab

A threaded comment system for discussion on the finding:

• Click Add Comment to post a new comment
• Comments display the author name, date, and type badge (Comment, Dispute, Response, or Status Update)
• Comments may include file attachments
• Edit and delete actions are available for authorized users

Attachments Tab

Displays all evidence attachments linked to the finding, with download capabilities.

Accepting a Finding

When a finding is in Open status and has no active dispute:

1. Open the finding detail page
2. Click Accept Finding
3. Confirm the action in the dialog

Note

Accepting a finding automatically creates a CAPA (Corrective and Preventive Action) linked to the finding. This ensures that accepted findings are tracked through to resolution.

Finding Statuses

Status	Description
Open	Finding has been recorded and is awaiting review
In Progress	Corrective actions are being implemented
Resolved	Corrective actions are complete, pending verification
Closed	Finding is fully resolved and verified

Permissions

Action	Required Role
View findings	Any user with audit access
Create findings	Admin, QA Team, Lead Auditor
Edit findings	Admin, QA Team, Lead Auditor
Accept findings	Any authorized user (when finding is open with no dispute)
Dispute findings	Auditees (when finding is open with no prior dispute)

Related Topics

• Dispute Resolution — How to dispute and resolve findings
• Audit Reports — Include findings in audit reports