Findings & Requests

The Findings & Requests page displays all quality, safety, and security items assigned to you as a responsible person. These include corrective action requests arising from audit findings or incident reports, as well as information requests where your input is needed. The page helps you track what's due, what's been submitted, and what's been closed or cancelled.

The page displays your findings and requests in three tabs based on their current status. Switch between tabs to see active items requiring action, closed items you've completed, or cancelled items that were withdrawn.

Active tab (default view)

The Active tab shows all open findings and requests that require your response:

• Due items: Corrective actions and information requests with upcoming or overdue submission dates
• Pending review: Items you've submitted that are awaiting approval from the requestor or auditor
• Extension requests: Items where you've requested a deadline extension that's pending approval
• Submit buttons: Each row shows submission buttons for corrective actions or information as applicable

Closed tab

The Closed tab displays findings and requests that have been completed and approved:

• Approved submissions: Corrective actions or information you submitted that have been reviewed and approved
• Submission codes: Each closed item shows its submission code (e.g., CA2025060003 for corrective actions, RIN2503.001 for respondent information)
• Historical reference: Useful for reviewing past actions and maintaining compliance records

Cancelled tab

The Cancelled tab shows findings and requests that were withdrawn or cancelled:

• Withdrawn requests: Items the requestor decided were no longer needed
• Superseded findings: Findings that were replaced or merged with other findings
• Cancellation reason: Each cancelled item includes a reason explaining why it was withdrawn

Each tab displays a table with columns showing key information about your findings and requests. The columns vary slightly between the Active and Closed/Cancelled tabs.

Active tab columns

Closed/Cancelled tab columns

The Closed and Cancelled tabs show similar columns, but the first column changes:

• Submission column: Instead of "Submit" buttons, shows the submission code (e.g., "CA2025060003", "RIN2503.001") as a clickable button that opens the approved submission in read-only mode
• N/A for cancelled items: Cancelled items show "N/A" in the submission column since no submission was required
• All other columns: Remain the same as in the Active tab, providing context about the original finding or request

Use the search bar and filter panel to quickly locate specific findings or narrow down your list to items requiring immediate attention.

Search bar

The search box at the top-left allows you to search across multiple attributes:

• Request code: Search by corrective action request code (e.g., "REQ2506.009") or information request code (e.g., "RFI2505.003")
• Corrective action code: Search by submitted corrective action code (e.g., "CA2025060003")
• Respondent information code: Search by submitted respondent information code (e.g., "RIN2503.001")
• Audit code: Search by audit code (e.g., "AUD202506.18")
• Report code: Search by report code (e.g., "REP202507.16")
• Audit name: Search within audit names
• Report subject: Search within report subjects
• Compliance type: Search by compliance type (Quality, Safety, Security, Dangerous Goods)
• Requestor: Search by the name of the auditor or investigator who created the request
• Responsible person: Search by responsible person name

Hover over the information icon next to the search box to see the complete list of searchable fields. The search updates as you type with a brief delay.

Filter panel

Below the search bar, a filter panel provides additional filtering options:

Pagination

When you have many findings or requests, the table paginates results:

• Items per page: Choose how many items to display per page (16, 32, 64, or 128)
• Page navigation: Use Previous/Next buttons or jump directly to a specific page number
• Total count: The filter panel shows how many findings match your current filters

Pagination controls appear only when you have 16 or more items. Adjust your filters to narrow down results if you're looking for a specific finding or request.

When a finding requires you to develop and implement corrective actions, you'll see corrective action request (CAR) submission buttons in the Active tab. The type of submission depends on the finding's compliance type.

Combined submissions

Some compliance types require a combined submission containing all elements together:

1. Click "Submit CA" button: The button appears in the Submit column for the corrective action request
2. Submission window opens: A comprehensive form opens where you provide all corrective action details
3. Complete required sections:
   • Corrective Action Plan (CAP): Describe the immediate actions you'll take to address the finding
   • Short-term Corrective Action Investigation (SCAI): Explain the root causes you've identified
   • Long-term Corrective Action Investigation (LCAI): Detail the systemic changes you'll implement to prevent recurrence
4. Attach evidence: Upload supporting documents, photos, training records, or other evidence
5. Set implementation dates: Specify when you plan to complete each action
6. Submit for review: Once complete, click "Submit" to send your corrective action for approval

Separate submissions

Other compliance types allow or require separate submissions for each phase:

• Multiple submit buttons: You'll see separate buttons for "Submit CAP", "Submit SCAI", and "Submit LCAI"
• Phased approach: Submit the corrective action plan first, then investigations as you complete them
• Individual due dates: Each phase has its own due date, typically staggered to allow time for implementation and analysis
• Sequential approval: The requestor reviews and approves each submission independently
• Flexible timing: You can submit phases as you complete them rather than waiting for all sections

Corrective action window

The corrective action submission window includes these sections:

After submission

Once you submit a corrective action:

1. Submission created: Your corrective action receives a unique code (e.g., "CA2025060003")
2. Requestor notified: The auditor or investigator receives a notification to review your submission
3. Status changes: The finding moves to "Pending Review" status on your Active tab
4. Review process: The requestor reviews your submission and may approve it or request changes
5. If changes requested: You'll receive a message explaining what needs revision. Update your submission and resubmit.
6. If approved: The finding moves to your Closed tab and is marked complete

Information requests (RFIs) ask you to provide specific information, clarification, or documentation. These are typically less formal than corrective action requests and require a simpler response.

Submitting respondent information

To respond to an information request:

1. Click "Submit Info" button: The button appears in the Submit column for information requests
2. Information window opens: A form displays showing what information is being requested
3. Review the request: Read the description carefully to understand exactly what's needed
4. Provide your response: Enter your information in the text fields or form fields provided
5. Attach documents: Upload any supporting documents, spreadsheets, reports, or photos requested
6. Submit: Click "Submit" to send your respondent information for review

Information request types

Information requests can come from various sources:

After submitting information

Once you submit respondent information:

• Submission code assigned: Your response receives a unique code (e.g., "RIN2503.001")
• Requestor reviews: The auditor or investigator examines your submitted information
• May request more: If your response doesn't fully answer the request, you may receive a message asking for additional details
• Approval: Once satisfied, the requestor approves your information and the request moves to Closed

If you need more time to complete a corrective action or provide requested information, you can request a deadline extension through the page.

When to request an extension

Consider requesting an extension when:

• Unforeseen delays: Unexpected circumstances prevent you from meeting the original deadline
• Scope increase: The corrective action turns out to be more complex than initially anticipated
• Resource constraints: Required personnel, equipment, or materials aren't available within the original timeframe
• Dependencies: Your action depends on someone else's work or external factors beyond your control
• Better quality: You need more time to develop a thorough, effective solution rather than rushing a suboptimal one

Requesting an extension

To request a deadline extension:

1. Click "Request Extension" button: Appears in the Submit column next to the normal submission button
2. Extension request window opens: A form displays with fields to document your request
3. Provide justification: Explain clearly why you need more time and what circumstances led to the need
4. Propose new deadline: Suggest a realistic new completion date that gives you adequate time
5. Attach supporting evidence: Upload any documents that support your request (e.g., supplier delays, resource schedules)
6. Submit request: Click "Submit" to send your extension request to the requestor
7. Await approval: The finding remains on your Active tab with a "Pending Extension Review" indicator

Extension types

Depending on the submission type, you may need different extension types:

• Combined extensions: For findings requiring combined submissions, request extends all three phases (CAP, SCAI, LCAI) together
• CAP extensions: Request extension specifically for the Corrective Action Plan submission
• SCAI extensions: Request extension for Short-term Corrective Action Investigation
• LCAI extensions: Request extension for Long-term Corrective Action Investigation
• Information request extensions: Request extension for respondent information submission

Extension approval process

After you submit an extension request:

1. Requestor notified: The auditor or investigator receives an alert about your extension request
2. Review: They evaluate your justification and proposed new deadline
3. Decision: The requestor approves or rejects your request, with comments explaining their decision
4. If approved: The finding's due date updates to the new deadline you requested
5. If rejected: You receive a message explaining why and must either submit by the original deadline or discuss alternatives
6. Multiple requests: If needed, you can request additional extensions, though repeated requests may raise concerns

The messaging feature in the "Message requestor" column allows two-way communication with auditors, investigators, and other requestors. Use messaging to clarify requirements, provide updates, coordinate actions, or discuss concerns.

Opening a message thread

To send or view messages:

1. Click the message button: The button shows an envelope icon with a badge indicating unread message count
2. Badge colours: Red badge = you have unread messages from the requestor. Green badge = all messages read.
3. Message window opens: Displays the full conversation history with the requestor
4. Compose message: Type your message in the text field at the bottom
5. Send: Click "Send" to deliver your message immediately

When to use messaging

Messaging is appropriate for:

Message best practices

To ensure effective communication:

• Be specific: Reference exact finding codes, submission phases, or requirements you're asking about
• Professional tone: Messages are part of the official record and may be reviewed by management
• Timely responses: Reply to requestor messages within 1-2 business days when possible
• Attach context: If referencing documents or data, attach them or explain where they can be found
• Summarise conversations: After verbal discussions, send a message summarising what was agreed

Each finding and information request in your table links to additional details that provide context and help you understand what's being asked of you.

Finding details

To view full finding details:

1. Click finding code button: In the "Finding/Request" column, click the button showing the finding code (e.g., "F2511.007")
2. Finding window opens: A read-only window displays comprehensive finding information
3. Key details shown:
   • Finding description: Detailed explanation of the non-compliance or issue identified
   • Compliance type: The quality, safety, or security category of the finding
   • Hazards and risks: Identified hazards linked to the finding and their risk assessments
   • Evidence: Photos, documents, or notes the auditor/investigator collected
   • Linked corrective actions: Your submitted corrective actions if any exist
4. Close window: Click the X or "Close" button to return to your findings list

Information request details

Information requests have a similar detail view:

• Request description: Clear explanation of what information is being requested and why
• Form fields: If the request uses a structured form, you'll see what fields you need to complete
• Due date: The deadline by which your information is needed
• Linked submissions: Your respondent information submission if you've already responded

Source details (if authorised)

Click the source code in the "Source" column to view the originating document:

Standalone findings

Some findings show "Standalone" in the Source column:

• Not linked to audit or report: Created independently to address an observed issue
• Direct finding: May come from management observations, routine inspections, or proactive quality reviews
• No source details: Clicking "Standalone" won't open additional context since there's no parent document

Each finding, request, and submission receives a unique code that helps track items throughout their lifecycle. Understanding these codes helps you reference specific items in messages, reports, and discussions.

Finding and request codes

Submission codes (after you respond)

Status indicators and badges

Throughout the page, you'll see various status indicators:

• Active (green): Item is open and requires your action
• Pending Review (yellow): You've submitted a response that's awaiting approval
• Extension Requested (orange): You've requested a deadline extension that's pending approval
• Closed (grey): Item has been approved and completed
• Cancelled (red strikethrough): Item was withdrawn or is no longer required

The page includes an "Insights" button that allows you to generate reports and analyse your findings and requests. This feature helps you understand trends, track performance, and identify areas requiring attention.

Opening the insights report

To generate an insights report:

1. Click "Insights" button: Located in the top-right corner of the table header (golden bar)
2. Insights window opens: Shows report generation options and filters
3. Select report type: Choose "Findings & Requests Report" from the dropdown
4. Apply filters: Optionally filter by date range, compliance type, or status
5. Generate report: Click "Generate" to create the report
6. View or download: The report opens in a new tab or downloads as a PDF

Report contents

The Findings & Requests report typically includes:

• Summary statistics: Total counts of active, closed, and cancelled items
• Detailed listing: Table showing all findings and requests with key details
• Status breakdown: Charts showing distribution across different statuses
• Compliance type analysis: Grouping by quality, safety, security, or dangerous goods
• Source analysis: Breakdown by audit, report, MoC, or standalone findings
• Timeline: When findings were created and when you responded