AI workflows for audits and document control.

Keeping the quality system auditable: document control, audit evidence and quality reviews.

Who does this work

  • Document controller
  • Quality manager
  • Quality systems specialist

5 workflow templates ready to adapt, and 9 workflows identified.

Updated

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Examples of the workflows identified
  1. Check a deliverable package before issue
  2. Consolidate review comments into one resolution list
  3. Find obsolete controlled documents still in use
  4. Review a sample of completed work against the quality checklist
  5. Trace what a revision or proposed change affects

The workflows identified

Marked illustrative: an example of the work, identified, with no workflow template yet.

Check a deliverable package before issueLists missing review records, revisions that disagree between index, register and documents, and out-of-date references before a package is issued.Workflow templateConsolidate review comments into one resolution listGathers the comments that reviewers, clients or testers returned on a draft, sample or deliverable into one list, merges duplicates, keeps conflicting comments open for the owner and records how each is resolved.Workflow templateFind obsolete controlled documents still in useCompares the master document list with copies and versions in use, showing out-of-date or withdrawn copies, missing approvals and withdrawal evidence.Workflow templateReview a sample of completed work against the quality checklistSelects or takes a sample of finished work files and tests each against the quality checklist, linking evidence and listing missing items, absent sign-offs and findings.Workflow templateTrace what a revision or proposed change affectsCompares a revised document, policy, protocol or design with the version before, and lists the records, procedures, people and reviewers the change reaches, for the owner to approve.Workflow template
Check a study site's document packA checklist of available documents, version discrepancies, missing signatures and follow-up owners before a review.Illustrative · not built yet
Draft the response to an audit findingDrafts a response linking the requirement, evidence, proposed correction, cause work and due dates to the actual finding.Illustrative · not built yet
Find who needs training on a changed documentMatches roles to an approved document change and shows required briefings, training evidence and unresolved coverage.Illustrative · not built yet
Plan the quality audit programProposes an audit schedule from process risk, prior findings, changes and auditor independence.Illustrative · not built yet

Workflow templates

Audit evidence indexThe quality lead gets an index of everything an audit has asked to see: each request linked to the document that answers it, its version and owner, the records found and the gaps. The quality owner decides what is shared; nothing is certified or sent.Workflow templateCompleted engagement file reviewThe quality partner gets a worksheet that tests finished engagement files against the firm's own checklist: each item linked to the engagement letter, workpaper or sign-off that answers it, with any open finding, and the missing evidence listed. The quality partner confirms findings and assigns remediation.Workflow templateDeliverable issue completeness checkAs a calculation, report or drawing package nears issue, the quality reviewer or document controller gets a checklist: missing review records, revisions that disagree between the index, the register and the title block, and citations of out-of-date calculations. Issue stays with the engineers.Workflow templateEngineering change affected records indexWhen an engineering change request enters review, the document controller gets one index: the assemblies, revisions, stock and open purchase orders the change reaches in the exports supplied, and a question for each owner wherever the records are unclear.Workflow templateObsolete copy checkThe quality lead gets the master document list set against the copies found at each point of use: which copies are out of date, which withdrawn documents are still held, and what proof of withdrawal exists. The document owner withdraws and replaces copies; nothing is changed.Workflow template

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Where to go next

All of quality managementEvery area of the function, with workflow templates and examples.Map your team in the PlannerPut this work in your plan, with the roles that do it.

Other areas of quality management