Workflow Template

Internal Audit Workflow

End-to-end internal audit process: intake of audit details, fieldwork with findings and rating, management response from the area manager, report finalisation, head of audit approval with rework loop, follow-up verification of corrective actions with re-check loop, and closure notifications.

Internal audit teams need a consistent, visible process for moving audits from intake through fieldwork, management response, reporting, approval and follow-up, particularly where multiple business areas and stakeholders are involved. This workflow structures the full internal audit lifecycle: a request form captures the audit brief, the lead auditor records fieldwork findings and a rating, the area manager provides a management response with agreed corrective actions, the head of audit reviews and approves the final report with a rework loop if needed, and corrective actions are verified with a re-check loop before the audit is closed. Lead auditors, area managers and the head of audit are each brought in at the relevant stage, with status, findings and outcomes tracked on the audit record throughout.

Business Outcomes

Supports a consistent, repeatable structure for every internal audit raised
Helps give stakeholders visibility of audit status at each stage via the record timeline
Reduces manual chasing by routing report approval and corrective action verification automatically
Makes it easier to track management responses and agreed corrective actions against target dates
Streamlines closure communication to both the lead auditor and area manager

Workflow Steps

Steps

1
Create Audit Recordcreate record
Registers the submitted audit as a new audit record.
2
Set Status: Plannedupdate record
Marks the audit status as Planned.
3
Email Lead Auditor Acknowledgementsend email
Sends the lead auditor an acknowledgement with the audit reference number.
4
Set Status: Fieldworkupdate record
Marks the audit status as Fieldwork.
5
Fieldwork: Record Findingscreate task
Lead auditor performs fieldwork and records findings, the number of findings, and the overall rating.
6
Save Fieldwork Resultsupdate record
Persists the findings, number of findings, and overall rating to the audit record.
7
Set Status: Management Responseupdate record
Marks the audit status as Management Response.
8
Request Management Responserequest external input
Emails the area manager the findings and asks for their management response and agreed corrective actions, waiting for their reply.
9
Save Management Responseupdate record
Persists the area manager's response and agreed corrective actions to the audit record.
10
Set Status: Report Finalisationupdate record
Marks the audit status as Report Finalisation while the final report is prepared.
11
Finalise Audit Reportcreate task
Lead auditor prepares and uploads the final audit report, due in 5 days.
12
Save Audit Reportupdate record
Persists the uploaded final audit report to the audit record.
13
Head of Audit Report Approvalrequest approval
Head of audit reviews and approves or rejects the finalised audit report.
14
Route Report Approval Outcome
Routes based on whether the head of audit approved or rejected the report.
approval_status: "approved"→Set Status: Follow-up
approval_status: "rejected"→Return Report for Revision
Default→End
15
Return Report for Revisionrestart from step
Restarts the workflow from the report finalisation task so the lead auditor can revise the report.
16
Set Status: Follow-upupdate record
Marks the audit status as Follow-up once the report is approved.
17
Verify Corrective Actionscreate task
Lead auditor checks whether the agreed corrective actions have been implemented and records the outcome with notes.
18
Save Verification Outcomeupdate record
Persists the verification outcome and notes to the audit record.
19
Route Verification Outcome
Routes based on whether the corrective actions were verified.
verification_outcome: "Verified"→Set Status: Closed
verification_outcome: "Not verified"→Re-check Corrective Actions
Default→End
20
Re-check Corrective Actionsrestart from step
Restarts the workflow from the verification task because the corrective actions were not verified.
21
Set Status: Closedupdate record
Marks the audit status as Closed.
22
Email Closure Noticesend email
Emails the lead auditor and the area manager that the audit is closed.
23
Email Closure Notice to Area Managersend email
Emails the area manager that the audit is closed.

Fields

Show all 19 fields

FormAudit Planning Intake

Lead Auditor Name*· Text
Lead Auditor Email*· Email
Audit Title*· Text
Audit Scope*· Long text
Audit Criteria*· Long text
Business Area*· Text
Planned Start Date*· Date
Planned End Date*· Date
Area Manager Name*· Text
Area Manager Email*· Email

TaskFieldwork: Record Findings

Findings*· Long text
Number of Findings*· Number
Overall Rating*· Choice

TaskFinalise Audit Report

Final Audit Report*· File upload

TaskVerify Corrective Actions

Verification Outcome*· Choice
Verification Notes· Long text

Other fields

Audit Status*· Choice
Management Response*· Long text
Agreed Corrective Actions and Target Dates*· Long text

Lead Auditor Name*
Lead Auditor Email*
Audit Title*
Audit Scope*
Audit Criteria*
Business Area*

Forms

Audit Planning Intake

10 fields

Data Views

Audit Overview

audit_title, business_area, overall_rating, number_of_findings +1 more

Dashboard Widgets

Audits by Audit Status

Recommended integrations

Setup the following integrations to extend workflow capability.

Send email in the workflow
AWS SES

internal auditaudit workflowcompliance auditaudit managementaudit findings

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Similar Categories

Quality Management Risk Management

FAQs

What does this workflow record at each stage of the audit?

The audit record captures the initial intake details from the request form, then fieldwork findings, the number of findings and the overall rating once fieldwork is complete. It also stores the area manager's management response and agreed corrective actions and target dates, the uploaded final audit report, and the verification outcome and notes from follow-up. The record's status field and timeline reflect each stage the audit has passed through, from Planned to Closed.

Who is involved in running an audit through this workflow?

The lead auditor submits the initial request, records fieldwork findings, prepares the final audit report and later verifies corrective actions. The area manager provides the management response and agreed corrective actions by email, without needing an account, and the head of audit reviews and approves or rejects the finalised report. Each of these tasks is assigned to the relevant workspace member or sent as a form to the named contact.

What happens if the head of audit rejects the final report?

If the head of audit rejects the report, the workflow routes back to the report finalisation step so the lead auditor can revise and re-upload the audit report. The audit stays in Report Finalisation status until a revised report is submitted and reviewed again. This rework loop repeats until the report is approved before the audit can move to Follow-up status.

What happens if corrective actions are not verified?

If the verification outcome shows corrective actions as not verified, the workflow routes back to the verification task so the lead auditor can re-check the corrective actions. Each verification attempt, along with its outcome and notes, is saved to the audit record. This re-check loop continues until the corrective actions are recorded as verified, at which point the audit can proceed to closure.

How do we change this workflow to match our own audit process?

A workspace can change any step by describing the change in plain English or by editing the steps directly in the workflow editor. This includes adjusting the request form fields, changing status labels, or altering how approval and verification outcomes are routed. Earlier versions of the workflow are kept, so changes can be reviewed alongside the version in use.

How are the area manager and lead auditor kept informed without needing an account?

The area manager and lead auditor take part through forms emailed to them at the relevant stages, such as the management response request and closure notices, without ever needing to log into a workspace account. Acknowledgement and closure emails reference the audit's reference number so participants can track its progress. All email communication is handled through the platform's built-in email, or through a workspace's own connected AWS SES account if configured.

How is progress on an audit tracked while it is in progress?

Each audit is a record with a reference number, a current status such as Fieldwork, Management Response, Report Finalisation, Follow-up or Closed, and a timeline showing what has happened at each step. Table views and dashboards in the workspace show all audit records grouped by status, making it straightforward to see where each audit stands. Workspace activity related to the audit is also logged.

What triggers the audit moving to Closed status?

The audit moves to Closed status once corrective actions have been verified, meaning the verification outcome routing confirms the actions as verified rather than not verified. At that point, the workflow sends closure notices by email to both the lead auditor and the area manager. The Closed status and the full history of the audit remain visible on the record's timeline afterward.

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