Workflow Template

Audit Finding Remediation Workflow

Tracks an audit finding from initial recording through remediation, evidence submission, review, and closure. The compliance owner records the finding, severity, responsible owner, and remediation plan with a due date. The responsible owner completes remediation and submits evidence; if the due date cannot be met, an extension decision is escalated. A reviewer validates evidence and either closes the finding or reopens it for further remediation, looping back to the owner. The finding owner is notified by email on closure or reopening.

When audit findings sit scattered across spreadsheets and email threads, remediation deadlines slip quietly, evidence gets lost, and reviewers can't tell which findings actually closed. The Audit Finding Remediation Workflow gives every finding a single record with status, owner, severity, and due date, routing it automatically through remediation, extension requests, and evidence review. Compliance teams get a clear audit trail from open to closure, cutting down the manual chasing that turns simple findings into overdue risks.

Business Outcomes

Reduces time findings sit unresolved by routing remediation and reviews automatically
Improves visibility into overdue findings through consistent status tracking
Supports faster extension decisions by escalating due date conflicts immediately
Helps reviewers validate evidence consistently before closure or reopening
Strengthens audit trail quality with automatic notifications on closure and reopening

Workflow Steps

Steps

1
Create Audit Finding Recordcreate record
Registers the audit finding with severity, owner, and remediation plan.
2
Set Status to Openupdate record
Marks the finding as Open at creation.
3
Set Remediation Due Date on Recordset due date
Applies a 14-day due date to the record for SLA tracking.
4
Responsible Owner Completes Remediationcreate task
Responsible owner performs remediation, confirms feasibility of the due date, and submits evidence.
5
Set Status to Awaiting Evidenceupdate record
Updates status once evidence has been submitted, prior to feasibility routing.
6
Route on Due Date Feasibility
Checks whether the responsible owner indicated the due date cannot be met.
can_meet_due_date: "No"→Request Extension Decision
can_meet_due_date: "Yes"→Set Status to Under Review
Default→Set Status to Under Review
7
Request Extension Decisionrequest approval
Escalates to a compliance manager to decide whether to grant a due date extension.
8
Route on Extension Decision
Branches based on whether the extension was approved or rejected.
approval_status: "approved"→Update Due Date and Status for Extension
approval_status: "rejected"→Set Status to Under Review
Default→End
9
Update Due Date and Status for Extensionupdate record
Records the extension outcome and moves the finding back to remediation with the extended timeline.
10
Apply Extended Due Dateset due date
Extends the record's due date by 14 additional days to accommodate the extension.
11
Restart Remediation with Extended Timelinerestart from step
Restarts the remediation task now that an extension has been granted.
12
Set Status to Under Reviewupdate record
Marks the finding as under review while the reviewer validates the submitted evidence.
13
Reviewer Validates Evidencecreate task
Reviewer examines submitted evidence and records a decision: Closed or Reopened.
14
Route on Reviewer Decision
Branches to closure or reopens the finding for further remediation.
review_decision: "Closed"→Set Status to Closed
review_decision: "Reopened"→Set Status to Reopened
Default→End
15
Set Status to Closedupdate record
Marks the finding as closed following successful validation.
16
Notify Finding Owner of Closuresend email
Emails the finding owner that the audit finding has been validated and closed.
17
Set Status to Reopenedupdate record
Marks the finding as reopened due to insufficient evidence.
18
Notify Finding Owner of Reopeningsend email
Emails the finding owner that the finding was reopened due to insufficient evidence.
19
Restart Remediation After Reopenrestart from step
Restarts the remediation task so the responsible owner can address the reviewer's feedback.

Fields

Finding Title*
Finding Description*
Severity*
Finding Owner Name*
Finding Owner Email*
Responsible Owner Name*
+9 more fields

Forms

Audit Finding Intake

8 fields

Data Views

All Audit Findings

finding_title, severity, responsible_owner_name, finding_status +1 more

Dashboard Widgets

Findings OverviewFindings by SeverityRemediation Pipeline

Recommended integrations

Setup the following integrations to extend workflow capability.

Send email in the workflow
AWS SES

audit finding remediationaudit action trackingaudit findingcompliance remediationcorrective action

Similar Workflows

internal audit corrective action root cause analysis

Similar Categories

governance compliance quality management

FAQs

What happens if the responsible owner can't meet the remediation due date?

The workflow routes the finding on due date feasibility and triggers an extension decision step before the deadline passes. A designated approver reviews the extension request, and if approved, the workflow updates the due date and status automatically, restarting remediation with the new timeline. If the extension is declined, the finding stays flagged as overdue for follow-up.

Can this handle a finding that gets reopened multiple times?

Yes. If a reviewer rejects submitted evidence, the workflow sets the status to Reopened, notifies the finding owner by email, and loops the finding back to the remediation step. This cycle can repeat as many times as needed until the reviewer validates the evidence and closes the finding.

What if we have multiple findings with different severity levels?

Each finding is recorded as its own instance with its own severity, owner, and due date, so high-severity findings can be tracked and escalated independently of lower-priority ones. You can customise notification timing or escalation rules by severity directly in the workflow builder.

How long does it take to get this workflow running?

Publishing the template takes just a few minutes inside assess.one, and your team can start recording findings immediately after. There's no installation or lengthy implementation project — the workflow is live and running as soon as you publish it.

Who needs access to this workflow?

Typically the compliance owner, the responsible owner assigned to remediate the finding, and the reviewer who validates evidence all need access. Roles, permissions, and who sees which steps can be configured directly in assess.one to match your team's structure.

Can we customise the approval and escalation logic?

Yes, every step — including who approves extension requests, how evidence is reviewed, and what notifications go out — can be edited directly in the platform. You're not locked into the default routing; adjust roles, conditions, and notification triggers as your compliance process evolves.

What happens at the evidence review decision point?

Once the responsible owner submits evidence, the status moves to Under Review and the reviewer evaluates it against the remediation plan. Based on the reviewer's decision, the workflow either sets the finding to Closed and notifies the owner, or reopens it and sends the finding back through remediation.

Does this support compliance and audit trail requirements?

The workflow maintains a status history across recording, remediation, review, and closure, giving auditors a traceable record of what happened and when. Because every status change and notification is logged within assess.one, teams have a consistent record to reference during internal or external audits.

What if a finding needs a completely different remediation path than the template default?

You can add, remove, or reorder steps in the workflow to match specific finding types, such as adding a legal review step for regulatory findings. Since customisation happens directly in assess.one, changes take effect immediately without needing a separate development request.

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