AUDIT AND COMPLIANCE MONITORING WORKFLOW

Created by ChecklistGuro (https://checklistguro.com)

[ ] Fetch Active Audit Universe: Retrieve all active entities and departments from the Compliance Data Model that are due for audit.
[ ] Initialize Audit Record: Create a new Audit Entry in the Audit Logs model to track the start of the new monitoring cycle.
[ ] Assign Auditor to Scoping: Create a task for the Compliance Officer to define the scope and parameters of the upcoming audit.
[ ] Retrieve Previous Findings: Fetch all 'Open' or 'High Risk' findings from previous audit entries to use as a baseline.
[ ] Calculate Risk Score: Execute a formula based on the number of previous findings, department size, and recent incident reports.
[ ] Update Audit Risk Profile: Update the Risk Score field within the specific Audit Entry record.
[ ] Field Inspection Task: Create a task for the Field Auditor to perform on-site inspections and checklist completion.
[ ] Fetch Evidence Documents: Retrieve all uploaded evidence entries and document links associated with the audit scope.
[ ] Sum Total Non-Compliance Issues: Aggregate the count of 'Failed' checklist items to determine the total volume of non-compliance.
[ ] Log Audit Findings: Update the Audit Entry with the summarized findings and the final calculated risk score.
[ ] Remediation Task Creation: Create a task for Department Heads to address the identified non-compliance issues.
[ ] Notify Stakeholders of Audit Results: Send an email summary of the audit findings to the Compliance Committee and Department Heads.
[ ] Generate Compliance Audit Report: Generate a formal PDF/HTML report summarizing the audit scope, findings, and risk level.
[ ] Create Remediation Plan Entry: Create a new entry in the Remediation Tracking model for the identified gaps.
[ ] Urgent Violation Alert: Send an SMS notification to the Chief Compliance Officer if a 'Critical' risk level is detected.
[ ] Cleanup Temporary Worksheets: Delete temporary draft entries or transient calculation records used during the audit process.

--- END OF TEMPLATE ---
Transform this text into a digital, automated, and trackable mobile app!
Visit: https://checklistguro.com/workflow-templates/task-management/audit-and-compliance-monitoring-workflow
(Click "Install Template" to launch your digital inspection tool immediately)