AUDIT PREPARATION AND COMPLIANCE WORKFLOW

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

[ ] Retrieve Audit Scope & Documents: Fetch all relevant compliance documents and predefined audit scopes from the Compliance Data Model.
[ ] Update Audit Status to 'In Progress': Update the status of the selected Audit Entry to 'In Progress' to signal the start of the preparation phase.
[ ] Assign Document Reviewer: Create a task for the Compliance Officer to review all retrieved documents for accuracy and completeness.
[ ] Fetch Checklist Items: Retrieve the standard compliance checklist items associated with the specific audit type.
[ ] Internal Gap Analysis Task: Create a task for the Department Head to perform a gap analysis against the retrieved checklist.
[ ] Calculate Compliance Score: Calculate the current readiness percentage based on completed checklist items vs total items.
[ ] Summarize Non-Compliance Findings: Aggregate the count of all 'Failed' status items from the Gap Analysis entries.
[ ] Create Deficiency Log: Create a new entry in the Deficiencies Data Model for every high-risk gap identified.
[ ] Assign Remediation Task: Create a task for the relevant Process Owner to address the identified deficiencies.
[ ] Update Risk Rating: Update the Risk Level in the Audit Entry based on the aggregate number of critical findings.
[ ] Notify Stakeholders of Audit Date: Send an email to all department heads containing the finalized audit schedule and required preparations.
[ ] Generate Pre-Audit Readiness Report: Create a final summary report containing the compliance score, gap analysis, and remediation plan.
[ ] Urgent Alert for Critical Gaps: Send an SMS alert to the Compliance Director if any 'Critical' level deficiencies are detected.
[ ] Cleanup Temporary Drafts: Delete temporary/draft entries used during the preparation phase to maintain data cleanliness.

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