Workflow Template

Audit Finding Remediation Workflow

Tracks an audit finding from initial logging through remediation, extension requests, evidence review, and closure, coordinating the audit owner, responsible owner, audit committee, and reviewer until the finding reaches a final closed or reopened-and-reclosed state.

Audit teams lose track of findings scattered across spreadsheets, email chains, and someone's inbox, so nobody can say with confidence which items are overdue or who is holding things up. This workflow logs each finding as a record the moment it's submitted, then moves it through remediation, extension approval, evidence review, and closure automatically routing tasks to the responsible owner, audit committee, or reviewer at each stage. The result is a single reference-numbered record per finding with a visible status and timeline, so the audit owner always knows where things stand without chasing anyone.

Business Outcomes

Reduces time spent manually tracking finding status across spreadsheets and email
Makes extension requests and audit committee decisions visible on the record instead of buried in email
Helps responsible owners see exactly what evidence and remediation is expected of them
Supports faster handoffs between audit owner, responsible owner, audit committee, and reviewer
Keeps a timeline of every remediation attempt, extension, and review decision for each finding

Workflow Steps

Steps

1
Create Audit Finding Recordcreate record
Registers the submitted audit finding as a new record.
2
Set Status to Openupdate record
Sets the finding status to Open at creation.
3
Email Acknowledgement to Audit Ownersend email
Sends the audit owner an acknowledgement with the finding's reference number.
4
Email Finding Details to Responsible Ownersend email
Sends the responsible owner the finding, the agreed remediation plan, and the target date.
5
Responsible Owner: Complete Remediationcreate task
Responsible owner records remediation progress, evidence, and requests an extension if needed.
6
Save Remediation Progressupdate record
Persists the remediation progress, evidence, proposed date, and extension reason to the record.
7
Route on Remediation Progress
Routes to extension handling or evidence validation depending on the reported progress.
remediation_progress: "Extension needed"→Set Status to Extension Requested
remediation_progress: "Completed"→Set Status to Validating
Default→End
8
Set Status to Extension Requestedupdate record
Sets the finding status to Extension Requested.
9
Audit Committee: Approve or Reject Extensionrequest approval
The audit committee reviews and decides on the proposed extension.
10
Route on Extension Decision
Routes based on the audit committee's approval or rejection of the extension.
approval_status: "approved"→Apply Approved Extension Date
approval_status: "rejected"→Return to Responsible Owner
Default→End
11
Apply Approved Extension Dateupdate record
Saves the proposed date as the new target date since the extension was approved.
12
Return to Responsible Ownerrestart from step
Restarts from the responsible owner's remediation task, whether the extension was approved or rejected.
13
Set Status to Validatingupdate record
Sets the finding status to Validating once remediation is marked complete.
14
Reviewer: Validate Evidencecreate task
Reviewer validates the remediation evidence and decides to close or reopen the finding.
15
Save Review Decisionupdate record
Persists the reviewer's decision and comments to the record.
16
Route on Review Decision
Routes to reopening or closure depending on the reviewer's decision.
review_decision: "Reopened"→Set Status to Reopened
review_decision: "Closed"→Set Status to Closed
Default→End
17
Set Status to Reopenedupdate record
Sets the finding status to Reopened.
18
Responsible Owner: Further Remediationcreate task
Shows the reviewer's comments and asks the responsible owner to record further remediation and evidence.
19
Save Further Remediationupdate record
Persists the further remediation actions and evidence to the record.
20
Return to Validationrestart from step
Restarts from the reviewer validation task to re-check the further remediation.
21
Set Status to Closedupdate record
Sets the finding status to Closed.
22
Email Closure Noticesend email
Emails the audit owner and the responsible owner that the finding is closed.
23
Email Closure Notice to Responsible Ownersend email
Emails the responsible owner confirming the finding is closed.

Fields

Show all 18 fields

FormAudit Finding Intake

Audit Owner Name*· Text
Audit Owner Email*· Email
Responsible Owner Name*· Text
Responsible Owner Email*· Email
Audit Name*· Text
Finding*· Long text
Severity*· Choice
Agreed Remediation Plan*· Long text
Target Date*· Date

TaskResponsible Owner: Complete Remediation

Remediation Progress*· Choice
Remediation Evidence· File upload
Proposed New Target Date· Date
Reason for Extension· Long text

TaskReviewer: Validate Evidence

Review Decision*· Choice
Reviewer Comments· Long text

TaskResponsible Owner: Further Remediation

Further Remediation Actions*· Long text
Further Remediation Evidence· File upload

Other fields

Finding Status· Choice

Audit Owner Name*
Audit Owner Email*
Responsible Owner Name*
Responsible Owner Email*
Audit Name*
Finding*

Forms

Audit Finding Intake

9 fields

Data Views

Audit Findings

audit_name, finding, severity, target_date +1 more

Dashboard Widgets

Findings by Status

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 Workflow Corrective Action Workflow Root Cause Analysis Workflow

Similar Categories

Governance & Compliance Quality Management

FAQs

What happens if the responsible owner needs more time to remediate a finding?

When the responsible owner marks their progress as 'Extension needed' on the remediation task, the workflow sets the finding's status to Extension Requested and routes it to the audit committee for a decision. The proposed new target date and reason for the extension are saved to the record so the committee can review them. If approved, the new target date is applied automatically and the responsible owner is sent back to the remediation task.

What if the audit committee rejects the extension request?

If the audit committee rejects the extension, the workflow routes the finding straight back to the responsible owner's remediation task without changing the target date. This means the original target date stands and the responsible owner is prompted to continue remediation under the existing plan. The rejection decision is captured as part of the finding's timeline.

Can this handle a finding that gets reopened after the reviewer checks the evidence?

Yes. If the reviewer's decision on the evidence validation task is 'Reopened', the workflow sets the status to Reopened and sends the reviewer's comments to the responsible owner along with a task to record further remediation actions and evidence. Once that's submitted, the workflow returns to the reviewer validation task to re-check the new evidence, and this cycle can repeat until the finding is closed.

What happens at the evidence review stage?

Once remediation is marked complete, the status changes to Validating and a reviewer task is created to validate the submitted evidence. The reviewer records a Decision and Comments, which are saved to the record. Depending on the decision, the finding either moves toward closure or is routed back to the responsible owner as Reopened.

Who is involved in progressing a finding from open to closed?

Four roles interact with a finding: the audit owner and responsible owner (both notified by email and, for the responsible owner, given tasks), the audit committee (who approve or reject extension requests), and a reviewer (who validates evidence and decides to close or reopen). Tasks are assigned to workspace members, and customers such as the audit or responsible owner take part through emailed forms without needing an account.

What if the responsible owner completes remediation without needing an extension?

If the reported remediation progress is 'Completed' rather than 'Extension needed', the workflow skips the extension handling steps entirely and routes directly to setting the status to Validating. From there, a reviewer task is created to validate the submitted evidence. This keeps straightforward completions moving without unnecessary detours.

Can we customise the severity levels or fields captured on the request form?

Yes. A workspace can describe the change it wants in plain English, or edit the workflow steps directly in the workflow editor, to adjust fields like Severity, add extra questions to the request form, or change the wording of emails. Earlier versions of the workflow are kept, so changes can be reviewed or rolled back if needed.

What does the audit owner see once a finding is closed?

When the finding reaches Closed status, the workflow emails a closure notice to both the audit owner and the responsible owner, with a separate confirmation email also sent to the responsible owner. The finding's record retains its full timeline, including any remediation attempts, extension decisions, and review outcomes, so the full history stays visible after closure.

How do we know where a finding currently stands without asking around?

Every finding is a record with a status such as Open, Extension Requested, Validating, Reopened, or Closed, along with a reference number and a timeline of what has happened. Table views and dashboards show findings grouped by status, so teams can see at a glance which findings are overdue, awaiting committee decisions, or ready for closure.

Ready to use this workflow?

Create a free account and customise this workflow for your business.