Findings & RFI Register

The Findings & RFI Register displays a comprehensive table of all corrective action requests and information requests that you have created as an investigator, auditor, or quality manager. The page organises requests into three tabs (Active, Closed, Cancelled) and provides tools for creating standalone requests, reviewing submissions, managing extensions, and communicating with responsible persons.

The register organises all findings and information requests into three tabs based on their current lifecycle status. Each tab displays different information and actions relevant to that status.

The register includes powerful search and filtering capabilities to help you quickly locate specific findings or groups of requests based on various criteria.

Quick search

Advanced filters

Click to expand the filter section to access comprehensive filtering options:

Clear filters

To reset all filters and search, click the "Clear filters" button in the filter section. The table will reload showing all findings and requests.

In addition to findings created within audits, reports, or management of change processes, you can create standalone corrective action requests or information requests directly from this register. These are useful for addressing issues identified outside formal processes.

When to create standalone requests

Create a standalone corrective action request

1. Click "Add standalone action/RFI" at the top-right of the Active tab
2. Select "Request corrective action" from the dropdown menu
3. Complete the finding details:
   • Enter a descriptive name for the finding
   • Provide a detailed description of the issue or non-compliance
   • Select the compliance type (Quality, Safety, Security, or Dangerous Goods)
   • Identify the hazard (or mark as not applicable if no hazard is involved)
   • Perform or reference a risk assessment if required
   • Attach supporting documents if needed
4. Assign responsible person(s):
   • Choose whether to assign internal staff or external entity users
   • Select one or more responsible persons who will develop the corrective action
   • Set the initial due date for corrective action plan submission
5. Add team members (optional): Invite other investigators or auditors to collaborate on this finding
6. Save as draft or publish:
   • Save as draft to continue editing later without notifying responsible persons
   • Publish to send notifications and start the corrective action process

Create a standalone information request (RFI)

1. Click "Add standalone action/RFI" at the top-right of the Active tab
2. Select "Request information" from the dropdown menu
3. Complete the request details:
   • Enter a subject for the information request
   • Provide a detailed description of what information you need
   • Select the compliance type if applicable
   • Identify the related hazard if applicable
   • Define custom form fields if you need structured responses
4. Assign respondent(s):
   • Select internal staff or external entity users to provide the information
   • Set the initial due date for information submission
5. Add team members (optional): Invite collaborators to view responses
6. Submit the request: The request is sent immediately with notifications to respondents

When responsible persons submit corrective actions or information responses, those submissions appear in the Active tab with review buttons. Your role is to review the submissions and either approve them (closing the request) or reject them (requesting improvements).

Review a corrective action submission

1. Identify pending submissions: Look for findings with corrective action codes in the "Submission" column
2. Click the review button: Click the appropriate review button in the "Review" column:
   • Review plan: For short-term corrective action plans (CAP)
   • Review interim: For short-term completion and evidence (SCAI)
   • Review completion: For long-term completion and evidence (LCAI)
3. Review the submission details:
   • Read the corrective action plan description
   • Review implementation evidence if provided
   • Check effectiveness evaluation if required
   • Review any attached documents
   • Consider the submission date and any extensions granted
4. Make your decision:
   • Approve: If the corrective action is satisfactory and adequately addresses the finding
   • Reject: If the corrective action is inadequate, incomplete, or doesn't address the finding
5. Provide feedback:
   • Enter detailed comments explaining your decision
   • If rejecting, clearly explain what needs to be improved
   • Attach reference documents if needed
6. Submit your review: The responsible person receives your decision and feedback immediately

Review an information request response

1. Click the review button: Click "Review info" in the "Review" column for information requests with submissions
2. Review the information provided:
   • Read all narrative responses
   • Check form field responses if you defined custom fields
   • Review any documents attached by the respondent
3. Approve or reject:
   • Approve: If the information provided is complete and adequate
   • Reject: If more information is needed or clarification is required
4. Add comments: Provide feedback explaining your decision
5. Submit your review: The respondent is notified of your decision

Responsible persons can request deadline extensions for corrective actions or information requests when they need more time. Extension requests appear in the "Review" column and require your approval or rejection.

Approve or reject an extension request

1. Click "Review ext." in the Review column for items with pending extension requests
2. Review the extension request:
   • Read the justification provided by the responsible person
   • Check the requested new due date
   • Review any supporting documents
   • Consider the history of previous extensions if any
3. Decide on the request:
   • Approve: If the justification is reasonable and the new date is acceptable
   • Reject: If the justification is inadequate or the extension is not warranted
   • Modify the date: You can approve with a different date than requested
4. Add your comments: Provide feedback on your decision
5. Submit your review: The responsible person is notified of your decision

Findings saved as drafts can be edited before being published to responsible persons. Once published, you can still modify certain details, but changes are more limited to avoid disrupting active work.

Edit a draft finding

1. Identify draft findings: Look for yellow "Draft" buttons in the "Edit request" column in the Active tab
2. Click the Draft button: The finding window opens with all details editable
3. Make your changes: Modify any field including description, compliance type, hazard, responsible persons, or due dates
4. Save or publish:
   • Save as draft to continue editing later
   • Publish to finalise the finding and notify responsible persons

Edit a published finding or request

1. Click the edit button: Blue edit button in the "Edit request" column for published items
2. Make limited edits: You can modify:
   • Finding or request description
   • Responsible persons (add or remove)
   • Due dates
   • Attached documents
   • Team members
3. Save your changes: Responsible persons are notified of significant changes

If you have full access to a finding or information request, you can submit corrective actions or information on behalf of responsible persons. This is useful when a responsible person needs assistance or is unavailable.

Submit a corrective action on behalf

1. Click the submit button: In the "Submit on behalf" column, click the relevant button (Plan, Interim, or Completion)
2. Complete the submission: Fill in all required fields as if you were the responsible person
3. Submit: The submission is recorded under the responsible person's name but shows you as the submitter
4. Review (if required): Another investigator or auditor with full access must review and approve the submission

Submit information on behalf

1. Click "Submit info" in the "Submit on behalf" column for information requests
2. Provide the information: Complete all response fields and attach documents
3. Submit: The information is recorded under the respondent's name
4. Review: Another team member must review and approve if required

The messaging system allows you to communicate directly with responsible persons about specific findings or information requests. Messages are attached to each request and visible to all team members and responsible persons.

Send a message

1. Click the messages button: In the "Messages" column, click the message icon with the unread count badge
2. View message history: All previous messages in the conversation are displayed
3. Type your message: Enter your message in the text box
4. Attach documents (optional): Add supporting files if needed
5. Send: The message is sent immediately to all responsible persons and team members

Message notifications

When to use messaging

You can cancel findings or information requests that are no longer needed, and you can reactivate cancelled requests if circumstances change.

Cancel a finding or request

1. Click the cancel button: Red cancel button in the rightmost column of the Active tab
2. Enter a cancellation reason: Provide a clear explanation for why you're cancelling the request
3. Confirm: The finding or request moves to the Cancelled tab
4. Notifications sent: Responsible persons are notified that the request has been cancelled

Reactivate a cancelled request

1. Go to the Cancelled tab
2. Find the request to reactivate
3. Click the restore button: Grey restore button in the "Activate" column
4. Confirm: The request moves back to the Active tab
5. Notifications sent: Responsible persons are notified that the request is active again

Generate PDF reports for individual findings or information requests, or export the entire register to Excel for analysis.

Export individual items

Export the register to Excel

1. Apply filters (optional): Use search and filters to show only the items you want to export
2. Click the Excel button: At the top-right of the table, click the Excel export button
3. Download the file: The Excel file downloads with all visible findings and requests
4. Analyse in Excel: Use pivot tables, charts, and formulas for reporting and analysis

The register table displays different columns depending on which tab you're viewing. Here's what each column means and how to use it.

Understanding the key fields, statuses, and terminology used in the Findings & RFI Register.

Finding and request types

Compliance types

Submission statuses

Review button labels

Access to the Findings & RFI Register and its features depends on your role and permissions within the quality, safety, and security management system.

Who can view this page

Who can create standalone requests

Who can edit findings and requests

Who can review submissions

The Findings & RFI Register integrates with several other pages in the quality, safety, and security management system.