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Best Practice l CAP Tracker Workflow & Audit Finalization

Last updated January 8, 2026

Best practice for managing audit findings and Corrective Action Plans (CAPs) across the Audit Tool and CAP Tracker. Following this flow ensures a clean audit trail, avoids data inconsistencies, and reduces rework when findings are finalized.

Once findings are sent to the CAP Tracker, the audit is treated as final. Any later changes made in the Audit Tool will not update existing CAPs.

Audit Tool Workflow

All review, discussion, and refinement of findings should occur before exporting to the CAP Tracker.

  1. Request Additional Documentation (Info Request)
  1. Collect missing evidence or clarification from the delegate.
  1. Send Preliminary Findings (Optional)
  1. Share a preliminary findings report with the delegate.
  2. Allow time for responses, clarifications, or disputes.
  1. Review Responses and Adjust Findings
  1. Incorporate feedback from: Info Request responses and Preliminary Findings responses
  2. Update findings as needed within the Audit Tool.
  1. Finalize the Audit
  1. Confirm findings are accurate, complete, and approved.
  2. This is the final version intended for remediation tracking.
  1. Export Final Findings to CAP Tracker
  1. Only finalized findings should be sent to CAP Tracker.
  2. At this point, the audit is treated as final.

CAP Tracker Workflow

Once findings are exported, all remediation activity should occur exclusively within the CAP Tracker.

  1. Begin from the Final Audit Assessment
  1. CAPs are generated directly from finalized audit findings.
  1. Send CAPs to Delegate
  1. The delegate receives CAP assignments for remediation.
  1. Manage CAP Closure
  1. CAPs are closed through the CAP module as: Remediated or Removed (if no longer applicable).

Important Notes

  • Once findings are exported to the CAP Tracker
  • The audit is considered final.
  • Changes made later in the Audit Tool will not update existing CAPs.
  • The behavior is intentional and maintains
  • A clean audit trail
  • Historical accuracy of remediation records

Current Platform Limitation

  • Re-exporting findings to update existing CAPs is not supported.
  • Bulk deletion of CAPs is not currently supported.

If CAPs have not yet been sent to the delegate, the recommended approach is:

  1. Delete the CAPs from CAP Tracker
  1. This resets the remediation state.
  1. Re-export Findings from the Audit Tool
  1. Export the finalized version of findings as new CAPs.

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