GR Audit Management - Admin Guide

Documentation Index

Fetch the complete documentation index at: https://docs.encoreos.io/llms.txt

Use this file to discover all available pages before exploring further.

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Overview

Required Role: Compliance Officer or Organization Admin

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Initial Setup

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1. Configure Module Settings

1. Navigate to GR → Settings
2. 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
3. Save your settings

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2. Define Audit Types

• Internal, External, Regulatory, Accreditation, Financial, Operational

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Planning & Scheduling Audits

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Creating a New Audit

1. Navigate to GR → Audits
2. Click New Audit
3. Complete the planning form:

4. Click Create Audit

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Audit Lifecycle

Planned → In Progress → Completed
              ↓
          Cancelled

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Best Practices for Planning

1. Schedule in advance: Give staff time to prepare
2. Define clear scope: Document what will and won’t be reviewed
3. Assign experienced lead: Choose lead auditors with relevant expertise
4. Consider timing: Avoid peak operational periods
5. Notify stakeholders: Send advance notification to affected areas

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Managing Audit Teams

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Assigning Team Members

1. Open the audit detail page
2. Go to the Team tab
3. Click Add Team Member
4. Select the employee
5. 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

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Team Roles & Responsibilities

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Creating Audit Checklists

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Generating from Compliance Requirements

1. Open the audit detail page
2. Go to the Checklist tab
3. Click Generate from Requirements
4. Select regulatory body and categories to include
5. The system creates checklist items from GR-03 requirements

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Creating Custom Checklist Items

1. Go to the Checklist tab
2. Click Add Item
3. Enter:
   • Description: What to verify
   • Category: Grouping for the item
   • Requirement Link: Optional link to GR-03 requirement
4. Click Add

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Checklist Item Status

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Executing Audits

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Starting an Audit

1. Open the audit
2. Click Start Audit to change status to “In Progress”
3. The actual start date is recorded

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Documenting Reviews

1. Review the requirement or standard
2. Gather evidence of compliance
3. Interview staff if needed
4. Update the item status
5. Add notes documenting your observations

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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

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Completing an Audit

1. Ensure all checklist items are addressed
2. Document all findings
3. Assign corrective actions for non-compliant items
4. Click Complete Audit
5. Enter the actual end date
6. Add summary notes

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Recording Audit Findings

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Creating a Finding

1. From the checklist item or audit detail page
2. Click Record Finding
3. Complete the form:

4. Click Create Finding

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Finding Severity Guidelines

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Finding Status Workflow

Open → In Remediation → Resolved → Closed

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Managing Corrective Actions

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Creating a Corrective Action

1. From a finding, click Create Corrective Action
2. Or navigate to GR → Audits → Corrective Actions → New
3. Complete the form:

4. Click Create

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Corrective Action Workflow

Pending → In Progress → Completed → Verified

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Tracking Progress

1. Navigate to GR → Audits → Corrective Actions
2. Filter by:
   • Status (Pending, In Progress, Completed, Verified)
   • Priority
   • Responsible Party
   • Due Date
   • Audit
3. Review progress notes and updates

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Verifying Completion

1. Review the resolution notes
2. Examine attached evidence
3. Verify the finding is properly addressed
4. Update status to Verified
5. Close the associated finding if fully resolved

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Audit Readiness Assessment

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Pre-Audit Readiness

1. Navigate to GR → Audits → Readiness
2. Click Start Readiness Assessment
3. Select the upcoming audit
4. System generates readiness checklist

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Readiness Dashboard

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Gap Analysis

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

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Preparing Evidence Packages

1. From the readiness dashboard, click Prepare Evidence
2. Select the regulatory requirements to include
3. System compiles:
   • Linked policies
   • Training records
   • Compliance check history
   • Supporting documents
4. Export as PDF or organize for auditor access

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Evidence Management

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Linking Evidence to Findings

1. Open the finding detail page
2. Go to the Evidence tab
3. Click Add Evidence
4. 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
5. Add description of how it addresses the finding
6. Click Link

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Evidence for Resolution

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

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Audit Reporting

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Available Reports

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Generating Reports

1. Navigate to GR → Audits
2. Open the audit or click Reports
3. Select report type
4. Choose filters (date range, severity, status)
5. Export as PDF or CSV

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Notifications & Reminders

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Automated Reminders

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Configuring Reminders

1. Navigate to GR → Settings
2. Under Audit Management:
   • Toggle reminder types on/off
   • Adjust reminder intervals
   • Set escalation rules
3. Save settings

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Best Practices

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Audit Planning

1. Create annual audit calendar to plan ahead
2. Rotate auditors to get fresh perspectives
3. Document scope clearly to set expectations
4. Allow adequate time for thorough review
5. Prepare staff with advance notice

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During Audits

1. Be objective and document everything
2. Verify with evidence not just verbal confirmation
3. Interview multiple people to corroborate findings
4. Document positives as well as gaps
5. Prioritize findings by risk and impact

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After Audits

1. Create corrective actions immediately while findings are fresh
2. Set realistic due dates based on complexity
3. Follow up regularly on outstanding actions
4. Verify resolutions don’t just accept completion claims
5. Conduct root cause analysis for recurring issues

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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

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Troubleshooting

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Common Issues

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Getting Help

1. Check this documentation
2. Contact your system administrator
3. Submit a support ticket

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Related Guides

• 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