Encore OS — Documentation

Overview

This guide covers how to plan, conduct, and manage audits including scheduling, team management, checklist creation, finding documentation, corrective action tracking, and readiness assessment.

Required Role: Compliance Officer or Organization Admin

Initial Setup

1. Configure Module Settings

Navigate to GR → Settings

Configure Audit Management settings:

Enable/disable audit reminders
Set default reminder days for upcoming audits (14, 7, 3 days)
Set finding due date reminder intervals
Set corrective action reminder intervals

Save your settings

2. Define Audit Types

The system includes standard audit types:

Internal, External, Regulatory, Accreditation, Financial, Operational

Custom types can be configured in module settings if needed.

Planning & Scheduling Audits

Creating a New Audit

Navigate to GR → Audits

Click New Audit

Complete the planning form:

FieldDescriptionRequiredTitleClear audit nameYesTypeInternal, External, Regulatory, etc.YesScheduled StartPlanned start dateYesScheduled EndPlanned end dateYesScopeWhat will be auditedYesLead AuditorPrimary auditorYesSitesSites included in auditNoDepartmentsDepartments includedNoNotesAdditional planning notesNo

Click Create Audit

Audit Lifecycle

Planned → In Progress → Completed
              ↓
          Cancelled

Best Practices for Planning

Schedule in advance: Give staff time to prepare

Define clear scope: Document what will and won’t be reviewed

Assign experienced lead: Choose lead auditors with relevant expertise

Consider timing: Avoid peak operational periods

Notify stakeholders: Send advance notification to affected areas

Managing Audit Teams

Assigning Team Members

Open the audit detail page

Go to the Team tab

Click Add Team Member

Select the employee

Choose their role:

Lead Auditor: Primary responsibility for audit
Auditor: Participates in audit activities
Observer: Watches but doesn’t conduct review
Subject Matter Expert: Provides expertise for specific areas

Team Roles & Responsibilities

Role	Responsibilities
Lead Auditor	Plans audit, assigns tasks, manages findings, signs off on completion
Auditor	Conducts reviews, documents findings, interviews staff
Observer	Learns audit process, may assist with documentation
SME	Provides technical expertise when specialized knowledge is needed

Creating Audit Checklists

Generating from Compliance Requirements

Open the audit detail page

Go to the Checklist tab

Click Generate from Requirements

Select regulatory body and categories to include

The system creates checklist items from GR-03 requirements

Creating Custom Checklist Items

Go to the Checklist tab

Click Add Item

Enter:

Description: What to verify
Category: Grouping for the item
Requirement Link: Optional link to GR-03 requirement

Click Add

Checklist Item Status

Status	Meaning
Pending	Not yet reviewed
Compliant	Item verified, no issues
Non-Compliant	Issue identified
Not Applicable	Doesn’t apply to this audit

Executing Audits

Starting an Audit

Open the audit

Click Start Audit to change status to “In Progress”

The actual start date is recorded

Documenting Reviews

For each checklist item:

Review the requirement or standard

Gather evidence of compliance

Interview staff if needed

Update the item status

Add notes documenting your observations

Real-Time Documentation

Document observations as you go
Take photos if applicable
Note staff interviewed
Reference documents reviewed
Record both compliant and non-compliant findings

Completing an Audit

Ensure all checklist items are addressed

Document all findings

Assign corrective actions for non-compliant items

Click Complete Audit

Enter the actual end date

Add summary notes

Recording Audit Findings

Creating a Finding

From the checklist item or audit detail page

Click Record Finding

Complete the form:

FieldDescriptionRequiredTitleBrief descriptionYesDescriptionDetailed explanationYesSeverityCritical, Major, Minor, ObservationYesCategoryClinical, Safety, HR, etc.YesChecklist ItemLink to checklist itemNoRequirementLink to GR-03 requirementNoDue DateWhen resolution is expectedYesAssigned ToPerson responsible for resolutionNo

Click Create Finding

Finding Severity Guidelines

Severity	Definition	Response Time
Critical	Immediate risk to health, safety, or compliance	24-48 hours
Major	Significant non-compliance requiring prompt attention	30 days
Minor	Gap that should be addressed but not urgent	90 days
Observation	Improvement opportunity, not a true deficiency	Optional

Finding Status Workflow

Open → In Remediation → Resolved → Closed

Managing Corrective Actions

Creating a Corrective Action

From a finding, click Create Corrective Action

Or navigate to GR → Audits → Corrective Actions → New

Complete the form:

FieldDescriptionRequiredFindingAssociated findingYesDescriptionWhat needs to be doneYesResponsible PartyWho will complete itYesDue DateDeadline for completionYesPriorityCritical, High, Medium, LowYesAction TypeCorrective, Preventive, ImprovementNo

Click Create

Corrective Action Workflow

Pending → In Progress → Completed → Verified

Tracking Progress

Navigate to GR → Audits → Corrective Actions

Filter by:

Status (Pending, In Progress, Completed, Verified)
Priority
Responsible Party
Due Date
Audit

Review progress notes and updates

Verifying Completion

When a corrective action is marked “Completed”:

Review the resolution notes

Examine attached evidence

Verify the finding is properly addressed

Update status to Verified

Close the associated finding if fully resolved

Audit Readiness Assessment

Pre-Audit Readiness

Before scheduled audits, use readiness assessment:

Navigate to GR → Audits → Readiness

Click Start Readiness Assessment

Select the upcoming audit

System generates readiness checklist

Readiness Dashboard

Metric	Description
Readiness Score	Percentage of items ready
Open Findings	Unresolved findings from prior audits
Pending Actions	Corrective actions not yet complete
Expiring Evidence	Certifications/documents expiring soon
Training Gaps	Required training not complete
Policy Acknowledgments	Pending acknowledgments

Gap Analysis

The readiness assessment identifies:

Missing or expired documentation
Outstanding corrective actions from prior audits
Incomplete training requirements
Pending policy acknowledgments
Compliance requirements at risk

Preparing Evidence Packages

From the readiness dashboard, click Prepare Evidence

Select the regulatory requirements to include

System compiles:

Linked policies
Training records
Compliance check history
Supporting documents

Export as PDF or organize for auditor access

Evidence Management

Linking Evidence to Findings

Open the finding detail page

Go to the Evidence tab

Click Add Evidence

Select evidence type:

Document: Upload or select file
Photo: Upload image
Policy: Link from GR-01
Training: Link from GR-02
Compliance Check: Link from GR-03

Add description of how it addresses the finding

Click Link

Evidence for Resolution

When resolving findings, ensure evidence demonstrates:

What action was taken
When it was completed
Who completed it
How it prevents recurrence

Audit Reporting

Available Reports

Report	Description
Audit Summary	Overview of audit with key metrics
Finding Report	All findings with status and details
Corrective Action Status	Progress on all corrective actions
Trend Analysis	Finding patterns over time
Readiness Report	Pre-audit readiness assessment

Generating Reports

Navigate to GR → Audits

Open the audit or click Reports

Select report type

Choose filters (date range, severity, status)

Export as PDF or CSV

Notifications & Reminders

Automated Reminders

The system sends automatic reminders for:

Reminder	When Sent	Recipients
Audit Upcoming	14, 7, 3 days before	Lead auditor, team
Audit Starting	Day of start	All team members
Finding Due	7, 3 days before	Assigned party
Finding Overdue	When past due	Assigned + supervisor
Corrective Action Due	7, 3 days before	Responsible party
Corrective Action Overdue	When past due	Responsible + supervisor

Configuring Reminders

Navigate to GR → Settings

Under Audit Management:

Toggle reminder types on/off
Adjust reminder intervals
Set escalation rules

Save settings

Audit type, scope, finding category, finding severity, and audit evidence type are powered by picklists under the gr.audit.* namespace. The platform ships defaults so audit forms work out of the box, but you can tailor the options to match your audit program and accrediting bodies. Common audit picklists to customize:

Picklist	Where it appears
`gr.audit.type`	New Audit → Audit type
`gr.audit.scope`	New Audit → Scope
`gr.audit.finding_category`	Audit finding form → Category
`gr.audit.finding_severity`	Audit finding form → Severity
`gr.audit.evidence_type`	Audit evidence form → Evidence type

To customize:

Navigate to Settings → Picklists (/settings/picklists).

Filter or search for the gr.audit.* picklist you want to edit.

If the picklist shows the System badge, select Duplicate to Org to create an editable copy.

Add, rename, reorder, or deactivate items as needed.

Save your changes — audit forms pick up the new values immediately.

Status values (audit lifecycle, finding status) and numeric scoring scales stay fixed because they drive workflow logic. The full list of governance picklists and their default values is in the Picklist Reference.

Best Practices

Audit Planning

Create annual audit calendar to plan ahead

Rotate auditors to get fresh perspectives

Document scope clearly to set expectations

Allow adequate time for thorough review

Prepare staff with advance notice

During Audits

Be objective and document everything

Verify with evidence not just verbal confirmation

Interview multiple people to corroborate findings

Document positives as well as gaps

Prioritize findings by risk and impact

After Audits

Create corrective actions immediately while findings are fresh

Set realistic due dates based on complexity

Follow up regularly on outstanding actions

Verify resolutions don’t just accept completion claims

Conduct root cause analysis for recurring issues

Common Pitfalls to Avoid

Incomplete findings: Document all details including evidence reviewed
Vague corrective actions: Be specific about what needs to be done
Unrealistic timelines: Allow enough time for proper resolution
Missing verification: Always verify before closing findings
No trend analysis: Look for patterns across audits

Troubleshooting

Common Issues

Issue	Solution
Can’t create audit	Verify compliance officer role
Checklist not generating	Ensure requirements exist in GR-03
Can’t assign corrective action	User must be in organization
Reminders not sending	Check module settings
Report not generating	Check date filters

Getting Help

For technical issues:

Check this documentation

Contact your system administrator

Submit a support ticket

Audit User Guide - For all staff
Compliance Admin Guide - Compliance tracking
Policy Admin Guide - Policy management
Training Admin Guide - Training management
GR Documentation Index - GR module overview

Need Help? Contact your system administrator.

​Overview

​Initial Setup

​1. Configure Module Settings

​2. Define Audit Types

​Planning & Scheduling Audits

​Creating a New Audit

​Audit Lifecycle

​Best Practices for Planning

​Managing Audit Teams

​Assigning Team Members

​Team Roles & Responsibilities

​Creating Audit Checklists

​Generating from Compliance Requirements

​Creating Custom Checklist Items

​Checklist Item Status

​Executing Audits

​Starting an Audit

​Documenting Reviews

​Real-Time Documentation

​Completing an Audit

​Recording Audit Findings

​Creating a Finding

​Finding Severity Guidelines

​Finding Status Workflow

​Managing Corrective Actions

​Creating a Corrective Action

​Corrective Action Workflow

​Tracking Progress

​Verifying Completion

​Audit Readiness Assessment

​Pre-Audit Readiness

​Readiness Dashboard

​Gap Analysis

​Preparing Evidence Packages

​Evidence Management

​Linking Evidence to Findings

​Evidence for Resolution

​Audit Reporting

​Available Reports

​Generating Reports

​Notifications & Reminders

​Automated Reminders

​Configuring Reminders

​Customizing Dropdown Values

​Best Practices

​Audit Planning

​During Audits

​After Audits

​Common Pitfalls to Avoid

​Troubleshooting

​Common Issues

​Getting Help

​Related Guides