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Module: GR-04 Audit Management
Audience: All Staff
Last Updated: 2025-12-14
Overview
The Audit Management module helps your organization prepare for, conduct, and track the results of internal and external audits. This guide covers how to understand audits, view findings, and manage corrective actions assigned to you.
Getting Started
- Navigate to GR → Audits from the main menu
- View upcoming and recent audits affecting your site or department
- Check your assigned corrective actions on the dashboard
What You’ll See
| Section | Description |
|---|
| Upcoming Audits | Audits scheduled for your site in the next 30 days |
| Active Audits | Audits currently in progress |
| Recent Findings | Findings from recent audits |
| My Corrective Actions | Actions assigned to you for resolution |
Understanding Audit Types
| Type | Description | Who Conducts |
|---|
| Internal | Self-assessment by your organization | Internal audit team |
| External | Third-party evaluation | External auditors |
| Regulatory | Government agency inspection | State/Federal inspectors |
| Accreditation | Standards body evaluation | CARF, Joint Commission, etc. |
| Financial | Financial records review | CPAs, external accountants |
| Operational | Process and procedure review | Internal or external teams |
Understanding Audit Status
| Status | Meaning |
|---|
| Planned | Audit is scheduled but not yet started |
| In Progress | Audit is actively being conducted |
| Completed | Audit has finished, findings documented |
| Cancelled | Audit was cancelled and will not proceed |
Understanding Finding Severity
When auditors identify issues, they are classified by severity:
| Severity | Meaning | Impact |
|---|
| Critical | Immediate risk to safety, compliance, or operations | Requires immediate action |
| Major | Significant issue requiring prompt attention | Must be addressed within 30 days |
| Minor | Smaller issue that should be corrected | Address within 90 days |
| Observation | Opportunity for improvement | Optional but recommended |
Understanding Finding Status
| Status | Meaning |
|---|
| Open | Finding identified, corrective action not yet started |
| In Remediation | Actively being addressed |
| Resolved | Issue has been fixed, pending verification |
| Closed | Finding fully resolved and verified |
Your Role in Audits
Before an Audit
- Review relevant policies assigned to you
- Complete required training before the audit date
- Gather documentation if requested by your supervisor
- Know your responsibilities for audit day
During an Audit
- Be available if auditors request to speak with you
- Answer honestly when interviewed
- Provide requested documents through proper channels
- Follow normal procedures - auditors want to see typical operations
After an Audit
- Review findings that affect your area
- Complete assigned corrective actions on time
- Implement changes as directed by supervisors
- Report progress on your assigned actions
Managing Your Corrective Actions
Viewing Your Actions
- Navigate to GR → Audits → Corrective Actions
- Filter by Assigned to Me to see your tasks
- Or check the GR Dashboard for pending actions
Corrective Action Status
| Status | Meaning |
|---|
| Pending | Action created but not yet started |
| In Progress | You are actively working on it |
| Completed | You have finished the action |
| Verified | Compliance officer has verified your work |
Updating Your Progress
- Click on the corrective action
- Click Update Status or Add Progress Note
- Describe what you’ve done
- Attach evidence if applicable
- When finished, mark as Completed
Evidence for Corrective Actions
Provide proof that the issue is resolved:
| Evidence Type | Examples |
|---|
| Documents | Updated policies, procedures, forms |
| Photos | Before/after images of physical changes |
| Training Records | Completed training certificates |
| Attestations | Signed acknowledgments of changes |
Audit Notifications
Types of Notifications You May Receive
| Notification | When | Action Needed |
|---|
| Audit Scheduled | Audit announced for your site | Be prepared |
| Corrective Action Assigned | You’re assigned a task | Review and begin work |
| Due Date Reminder | 7 and 3 days before due | Complete your action |
| Overdue Alert | Past due date | Immediate attention needed |
| Verification Complete | Your action was verified | Informational |
Responding to Notifications
- Click the notification to see details
- Review the corrective action or finding
- Take required action before the due date
- Update progress in the system
Audit Readiness
Self-Assessment
Before scheduled audits, you may be asked to:
- Complete readiness checklists for your area
- Verify documentation is current and accessible
- Confirm training is up to date
- Report any concerns to your supervisor
Preparing Your Area
- Keep documentation organized and accessible
- Ensure posted information is current
- Follow all policies and procedures consistently
- Address known issues before the audit
FAQ
I was assigned a corrective action but I don’t understand it
Contact your supervisor or the compliance officer who created the action. They can clarify expectations and provide guidance.
The due date for my corrective action is unrealistic
Contact your supervisor immediately. Due dates can sometimes be extended if there’s a valid reason, but this must be approved before the due date passes.
I completed my corrective action but it still shows “Pending”
Make sure you updated the status in the system:
- Open the corrective action
- Update status to Completed
- Add completion notes
- Attach evidence if required
The compliance officer will then verify and close it.
How are audits different from compliance checks?
| Audits | Compliance Checks |
|---|
| Comprehensive review | Single requirement review |
| Conducted periodically | Ongoing monitoring |
| Multiple findings at once | One status per check |
| Often by external parties | Usually internal |
Who can I ask for help with audit preparation?
- Your direct supervisor
- Site compliance officer
- Organization compliance administrator
- Department lead for your area
Need Help? Contact your compliance officer or system administrator.
