8. Audit Application Forms and Workflows

In the sections of the manual that follow, we will be delving into the various forms and workflows of the Audit application.

Generally, the workflows of the Audit application can be divided into four supersets :

1. Define Evidence and Tests

This workflow consists of two primary stages: Define an Evidence Requirement and Define a Test.

2. Define Requirements

This workflow consists of a two primary stages: Define a New Requirement and Select Test. Both stages are accomplished in the New Requirement form.

3. Define Audits

This workflow consists of three primary stages: New Audit Definition, Review the Audit Definition, and Modify the Audit Definition.

** Although the Modify the Audit Definition form is part of the workflow, it is only issued if the audit definition is rejected by the reviewer.

4. Plan & Execute Audits

This workflow is consists of seven primary stages: New Audit Plan, Schedule Audit, Assign Auditors, Assign Collectors, Confirm Schedule, Execute Audit, and Review & Approve Audit Results.

** Although the Assign Collectors form is part of the workflow, it is only issued if an audit requirement is linked to a test.
** Likewise, the Collect Evidence workflow (described in more detail below) is only included in this workflow if an audit requirement is linked to a test.

The Plan & Execute Audits workflow encompasses two other workflows:

• Collect Evidence
  • This workflow is triggered only if an audit requirement is linked to a test—that is, a test with assigned evidence.
  • It consists of two primary stages: Collect Evidence and Review Collected Evidence.
    
• Attach Documents
  • This workflow is triggered only if a document request has been issued (in the Conduct Requirement Result form).
  • It consists of a single stage: Attach Documents.