ChecklistGuro Audit Case Management Workflow
Streamline your compliance oversight with our Audit Case Management Workflow. Automate end-to-end audit lifecycle tracking, from initial risk assessment and evidence collection to final reporting and remediation. Eliminate manual errors, ensure regulatory adherence, and gain real-time visibility into every audit trail with a structured, scalable, and transparent process designed for high-stakes investigative accuracy.
Start
Start des Workflows/Prozesses.
1. Initialize Audit Case
Create a new entry in the 'Audit Case' data model to begin the audit lifecycle.
2. Fetch Audit Checklist Template
Retrieve the standardized audit checklist associated with the specific audit type.
3. Assign Auditor
Create a task for the assigned Auditor to review the initial case details.
4. Set Case Status to 'In Progress'
Update the Audit Case entry status to reflect that the field investigation has started.
5. Retrieve Evidence Records
Get all related 'Evidence' entries linked to the current Audit Case.
6. Calculate Total Non-Compliance Score
Sum the 'Severity Points' from all non-compliant findings identified during the audit.
7. Calculate Risk Rating
Apply a formula based on the Total Non-Compliance Score and the Department Risk Factor to determine the overall Case Risk Level.
8. Assign Findings Review
Create a task for the Compliance Manager to review the aggregated findings and calculated risk.
9. Update Case Risk Level
Update the Audit Case data model with the newly calculated Risk Rating.
10. Notify Auditee of Findings
Send an email to the Department Head containing a summary of the identified non-compliance issues.
11. Create Corrective Action Plan (CAP) Task
Create a task for the Auditee to submit a remediation plan if the risk level is High or Critical.
12. Generate Final Audit Report Entry
Create a permanent record in the 'Audit Reports' data model summarizing the completed case.
13. Generate PDF Audit Summary
Generate a formal PDF report based on the data from the Audit Case and its findings.
14. Send Final Report to Stakeholders
Send the generated Audit Summary report to the Executive Committee via email.
15. Close Audit Case
Update the Audit Case status to 'Closed' and timestamp the completion date.
Ende
Ende des Arbeitsablaufs/Prozesses.
Start des Workflows/Prozesses.
Create a new entry in the 'Audit Case' data model to begin the audit lifecycle.
Retrieve the standardized audit checklist associated with the specific audit type.
Create a task for the assigned Auditor to review the initial case details.
Update the Audit Case entry status to reflect that the field investigation has started.
Get all related 'Evidence' entries linked to the current Audit Case.
Sum the 'Severity Points' from all non-compliant findings identified during the audit.
Apply a formula based on the Total Non-Compliance Score and the Department Risk Factor to determine the overall Case Risk Level.
Create a task for the Compliance Manager to review the aggregated findings and calculated risk.
Update the Audit Case data model with the newly calculated Risk Rating.
Send an email to the Department Head containing a summary of the identified non-compliance issues.
Create a task for the Auditee to submit a remediation plan if the risk level is High or Critical.
Create a permanent record in the 'Audit Reports' data model summarizing the completed case.
Generate a formal PDF report based on the data from the Audit Case and its findings.
Send the generated Audit Summary report to the Executive Committee via email.
Update the Audit Case status to 'Closed' and timestamp the completion date.
Ende des Arbeitsablaufs/Prozesses.
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