Audit Lifecycle Overview

The Audit and Observation lifecycle is a linear workflow progression that begins in the Targeted state and ends in one of four Closed states. Outlined below is an overview of each of state, purpose, and next steps.

  1. Targeted
    • Overview: the audit is fully editable, no users have performed any work on the audit
    • Purpose: this state informs users that a new audit is coming up and should be scheduled
    • Next steps: As soon as a Start Date is populated, the audit will move to Scheduled
  2. Scheduled
    • Overview: the audit is fully editable, no users have performed any work on the audit
    • Purpose: this state informs users that a new audit is coming up and has been scheduled
    • Next steps: Begin filling out the Audit Details, Audit Report, and Observations tabs
  3. Execution
    • Overview: the audit is fully editable
    • Purpose: Users can quickly identify that this audit is currently in progress and users are working on the Audit Details, Audit Report, and Observations
    • Next steps: To move into the next state, a user will need to launch the Audit Report: Publish Final Report workflow from the Workflow tab
  4. Awaiting Approval
    • Overview: the audit is locked, users will only be able to change the status of Observations, add attachments, or log comments
    • Purpose: this state gives audit report reviewers the opportunity to review the details of the final audit report
    • Next steps: The Publish Final Report workflow users will need to review and sign-off on the audit report details
  5. Published Final Report
    • Overview: the audit is locked, users will only be able to change the status of Observations, add attachments, or log comments
    • Purpose: this state lets the auditors know that the audit report is ready to send to the auditees
    • Next steps: From the audits: full table, a user will need to click on the Published Final Report hyperlink text in the State column. The user will then select Manually Change the Audit Status
  6. Pending Auditee Response
    • Overview: the audit is locked, users will only be able to change the status of Observations, add attachments, or log comments
    • Purpose: this state notes that the audit report has been sent to the auditees and the auditors are waiting on a response
    • Next steps: From the audits: full table, a user will need to click on the Pending Auditee Response hyperlink text in the State column

Following the Pending Auditee Response state, depending on the user's selection, there are four potential states:

  • Close Audit but Leave Observations Alone
  • Close Audit and All Open Observations
  • Close Audit with No Response from Auditee
  • Close Audit with Unacceptable Response from Auditee  

All of these states allow users to continue to upload additional attachments or log comments.

Was this article helpful?
0 out of 0 found this helpful
Have more questions? Submit a request

Comments

0 comments

Please sign in to leave a comment.