Audit and Compliance Monitoring Workflow

Inicio del flujo de trabajo/proceso.

Retrieve all active entities and departments from the Compliance Data Model that are due for audit.

Create a new Audit Entry in the Audit Logs model to track the start of the new monitoring cycle.

Create a task for the Compliance Officer to define the scope and parameters of the upcoming audit.

Fetch all 'Open' or 'High Risk' findings from previous audit entries to use as a baseline.

Execute a formula based on the number of previous findings, department size, and recent incident reports.

Update the Risk Score field within the specific Audit Entry record.

Create a task for the Field Auditor to perform on-site inspections and checklist completion.

Retrieve all uploaded evidence entries and document links associated with the audit scope.

Aggregate the count of 'Failed' checklist items to determine the total volume of non-compliance.

Update the Audit Entry with the summarized findings and the final calculated risk score.

Create a task for Department Heads to address the identified non-compliance issues.

Send an email summary of the audit findings to the Compliance Committee and Department Heads.

Generate a formal PDF/HTML report summarizing the audit scope, findings, and risk level.

Create a new entry in the Remediation Tracking model for the identified gaps.

Send an SMS notification to the Chief Compliance Officer if a 'Critical' risk level is detected.

Delete temporary draft entries or transient calculation records used during the audit process.

Fin del flujo de trabajo/proceso.