Audit Report — Internal Audit Report Generation Pipeline

Workflow

Phase 1: Preparation (performed directly by the orchestrator)

1. Extract from user input:
   • Audit target: Department, process, system, project
   • Audit type: Regular/Special/Follow-up
   • Audit context: Regulation changes, incidents, scheduled review
   • Applicable criteria (optional): Related laws, policies, industry standards
   • Existing materials (optional): Previous audit results, existing checklists
2. Create the _workspace/ directory in the project root
3. Organize the input and save to _workspace/00_input.md
4. If existing materials are provided, copy to _workspace/ and determine whether to skip the relevant phase
5. Determine the execution mode based on the request scope

Phase 2: Team Assembly and Execution

This workflow is sequential by default. Audit processes have strong step-by-step dependencies, limiting parallelization opportunities.

Inter-team communication flow:

• scope completes → sends audit criteria/risk assessment to checklist, criteria/rating framework to findings
• checklist completes → sends checklist result framework to findings
• findings completes → sends findings/root causes to recommendation, finding IDs/ratings to tracking
• recommendation completes → sends recommendations/implementation plans/deadlines to tracking
• tracking integrates all information to generate the tracking ledger

Phase 3: Comprehensive Report Generation

The orchestrator generates the final comprehensive audit report:

1. Verify all files in _workspace/
2. Generate comprehensive report at _workspace/06_final_report.md:
   • Executive summary (1 page)
   • Audit scope and methodology
   • Findings summary and detail
   • Recommendation summary
   • Implementation tracking plan
3. Cross-validation:
   • Every finding has a corresponding recommendation
   • Every recommendation has an implementation deadline and owner
   • The tracking ledger includes all findings
   • Risk ratings are consistently applied
4. Report the final summary to the user

Execution Modes by Scope

Leveraging existing materials: When the user provides existing checklists, findings, etc., copy to _workspace/ and skip the corresponding agent.

Data Transfer Protocol

Error Handling

Test Scenarios

Normal Flow

Prompt: "Create an IT department information security internal audit report. Audit access control, change management, and backup areas based on ISO 27001." Expected Results:

• Scope: ISO 27001-based 3 areas, risk assessment, audit schedule
• Checklist: 15-25 control items per area, test procedures, evidence requirements
• Findings: 4C framework, root cause analysis, impact assessment
• Recommendations: SMART-based corrective actions, priority matrix
• Tracking ledger: All findings tracked, escalation procedures, closure criteria

Existing File Flow

Prompt: "Create improvement recommendations and tracking ledger from this findings list" + findings file Expected Results:

• Existing findings copied to _workspace/03_audit_findings.md
• Recommendation mode: recommendation + tracking deployed
• Recommendations and tracking ledger generated from findings

Error Flow

Prompt: "Do a company-wide internal audit, I don't know what to look at" Expected Results:

• scope suggests general internal control areas (financial, IT, operations, compliance)
• Requests user to select priorities
• Proceeds with reduced scope on selected areas
• Report includes "Future comprehensive audit roadmap"

Agent Extension Skills