Statuses
An audit moves through these statuses in order. A status marked Optional is not used on every record.
| Status | Who acts | What happens | Signature | Article |
|---|---|---|---|---|
| 1Draft | Lead Auditor, Additional Auditors, Hosts | The audit is created here. Sign to move it to Planned. | Yes | Create an audit |
| 2Awaiting Preliminary Reviewer sign-offOptional | — | — | — | How an audit moves from Draft to Closed |
| 3Planned | Lead Auditor, Additional Auditors, Hosts | The audit is scheduled for its Planned Date. Move it to In Progress, or straight to Audit Performed. | Yes | How an audit moves from Draft to Closed |
| 4In Progress | Lead Auditor, Additional Auditors, Hosts | Carry out the audit and add its findings. Move it to Audit Performed. | Yes | Add a finding to an audit |
| 5Audit Performed | Lead Auditor, Additional Auditors, Hosts | The audit work is done. Move it to Reported. | Yes | — |
| 6Reported | Lead Auditor, Additional Auditors, Hosts | Sign to close the audit. This is possible only when every finding of the audit is Closed. | Yes | — |
| 7Closed | — | The audit is finished. | — | How an audit moves from Draft to Closed |
Each finding on the audit's Findings tab has its own, shorter lifecycle. The audit can move from Reported to Closed only when every finding is Closed.
| Finding status | Who acts | What happens | Signature |
|---|---|---|---|
| Open | Responsible Users | Work on the finding, then sign to send it for approval. | Yes |
| Pending Approval | Hosts on an Internal audit; the Lead Auditor or an Additional Auditor on a Supplier audit | One of them signs to close the finding, or sends it back to Open with a reason. | Yes |
| Closed | — | The finding is done. | — |
Roles
Two kinds of role decide what you can do with an audit: your system role, and the roles you are named in on the audit.
System roles — set for each user
- Administrator
- A system role. Creates audits, edits them in Draft and deletes them. Moving an audit on needs an audit role.
- Supervisor
- A system role. Creates and deletes audits.
- Regular User
- A system role. Creates audits.
- Read Only User
- A system role. Cannot create audits.
Audit roles — named on each audit
- Lead Auditor
- Named on the audit. Moves it through its statuses, adds findings and can delete it.
- Additional Auditors
- Named on the audit. Move it through its statuses.
- Hosts
- Named on the audit: the audited side. Move it through its statuses; on an Internal audit, close or send back its findings.
- Responsible Users
- Named on each finding. Work on it and send it for approval.
Who can do what
The audit actions are the permissions the Permissions page shows, under Audits › Settings & Master. There you can read them, filter them by action and Export them; the page has no controls to change them. The finding actions are not on that page. A status name in a cell means the action is allowed in that status only. The audit roles apply to you only when you are named in them on the audit — or, for Responsible Users, on the finding.
| Your system role | Named on the audit | |||||||
|---|---|---|---|---|---|---|---|---|
| Action | Administrator | Supervisor | Regular User | Read Only User | Lead Auditor | Additional Auditors | Hosts | Responsible Users |
| Create an audit How to: Create an audit | Yes | Yes | Yes | No | Not a role on the audit for this action | Not a role on the audit for this action | Not a role on the audit for this action | Not a role on the audit for this action |
| Edit the audit details | Draft | No | No | No | Draft | Draft | Draft | Not a role on the audit for this action |
| Sign to move the audit on Closing from Reported needs every finding Closed. | No | No | No | No | DrafttoReported | DrafttoReported | DrafttoReported | Not a role on the audit for this action |
| Add a finding How to: Add a finding to an audit In the audit statuses your company allows under Audits › Settings & Master › Settings (Permissible Statuses For Finding Management). | No | No | No | No | In Progress, Audit Performed | In Progress, Audit Performed | In Progress, Audit Performed | Not a role on the audit for this action |
| Send a finding for approval How to: Send an audit finding for approval Signed. | No | No | No | No | No | No | No | Open |
| Approve a finding (Internal audit) How to: Close an audit finding From Pending Approval. One Host's signature closes the finding. | No | No | No | No | No | No | Yes | No |
| Delete an audit The person who created the audit can delete it too. | Yes | Yes | No | No | Yes | No | No | Not a role on the audit for this action |
If something is different
- No Host can close a finding that was sent back. When the finding returns for approval, the Host who sent it back sees no move in the Escalate panel, and the other Hosts are offered only "Escalate status back to Open". Contact Complere support (see Ask Complere support for help).