Can this document be signed electronically?

Yes. Electronic signatures are valid under the ESIGN Act (15 U.S.C. ch. 96) and UETA where applicable, provided intent, consent, signer attribution, and record retention are met.

When is notarization required?

Notarization is rarely required for internal audit resolutions, but state or contractual provisions may mandate it for specific remedies; check state rules where the underlying matter affects recorded instruments.

How long must we retain the signed record?

Follow applicable federal standards (e.g., IRS three-year baseline under IRC §6501(a)) and industry rules such as HIPAA six-year retention (45 CFR §164.530(j)); extend retention where contracts or state law require it.

What authentication level should we use?

Use stronger authentication (SMS, KBA, or SSO) for high-risk findings. The level should match the consequence of a signature error or repudiation risk.

What happens if the signer’s name does not match records?

Mismatched signer names can create attribution disputes; verify government or corporate IDs and correct name fields before final execution to avoid invalidation.

Can we amend a signed resolution?

Yes. Create a clearly labeled amendment or follow-on resolution signed by the same authorized parties; preserve the original document and the amendment in your records.

Electronic Signature
Templates
Miscellaneous
Audit Resolution Document

Audit Resolution Document

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

AUDIT RESOLUTION DOCUMENT

This Audit Resolution Document (the "Resolution") is entered into as of by and between Organization Name: and Auditor/Firm Name: .

WHEREAS

WHEREAS, Auditor conducted an audit identified as Audit Reference Number covering the period beginning through , which identified certain findings described below.

WHEREAS, the parties desire to resolve the findings and agree on corrective actions, payment adjustments, and a schedule for completion in accordance with the terms of this Resolution.

SCOPE OF WORK

The Scope of Work to implement the agreed corrective measures, perform any required re-testing, and document closure of audit findings is set forth below and in any attachments incorporated by reference.

Scope of Work (describe tasks, deliverables, and acceptance criteria)

CORRECTIVE ACTION PLAN

The parties agree that the following corrective actions shall be undertaken to address each finding. Each corrective action shall include a responsible party and a target completion date. Additional corrective items may be appended as attachments and become an integral part of this Resolution.

Finding 1 — Description Corrective Action

Responsible Party:

Target Completion Date:

Finding 2 — Description Corrective Action

Responsible Party:

Target Completion Date:

Finding 3 — Description Corrective Action

Responsible Party:

Target Completion Date:

PAYMENT TERMS

If the audit resulted in an assessed amount, the parties agree to the following payment terms. Amounts not paid when due shall accrue interest and may be subject to collection costs as provided below.

Amount Assessed (if any) Payment Due Date Payment Schedule / Method

Late Fee (percentage per month):

Flat Late Fee (optional):

Payment disputes must be raised in writing within days of invoicing. Failure to timely dispute shall constitute acceptance of the invoiced amounts.

TERM AND TERMINATION

This Resolution shall commence on and shall continue in full force until unless earlier terminated in accordance with its terms.

Either party may terminate this Resolution for material breach by the other party upon provision of written notice and a cure period of . Notice of termination shall be effective if the breaching party fails to cure within the stated period.

CONFIDENTIALITY

Each party shall treat as confidential all non-public information and materials disclosed in connection with the audit and corrective actions. Confidential information shall not be disclosed to third parties except as required by law or with prior written consent of the disclosing party. The obligations of confidentiality shall survive termination of this Resolution for a period of years.

GOVERNING LAW

This Resolution shall be governed by and construed in accordance with the laws of the State of , without regard to conflict of laws principles. Venue for any dispute arising under this Resolution shall lie in the courts of that State.

ENTIRE AGREEMENT

This Resolution, including any attachments and schedules, constitutes the entire agreement between the parties with respect to the subject matter hereof and supersedes all prior and contemporaneous agreements, representations, and understandings, whether oral or written. No amendment shall be effective unless in writing and signed by authorized representatives of both parties.

ACKNOWLEDGMENT

By signing below, the undersigned representatives certify that they are authorized to bind their respective parties, acknowledge receipt of a copy of this Resolution, and agree to the corrective actions, payment terms, and schedules set forth herein.

Attachments (list any supporting documents or schedules)

Organization Name:

By:

Date:

Auditor/Firm Name:

By:

Date:

What an Audit Resolution Document Is and When It’s Used

An Audit Resolution Document formally records audit findings, management responses, and agreed remediation steps following an internal or external audit. It consolidates the finding description, root cause analysis, corrective actions, assigned owners, and deadlines into a single record used for tracking, regulatory responses, and evidence of compliance. In U.S. contexts this document can be executed electronically where ESIGN (15 U.S.C. ch. 96) or UETA apply, provided intent, attribution, consent, and retention are satisfied. Properly completed, it supports follow-up audits and demonstrates timely corrective action to regulators and stakeholders.

Why a Clear Audit Resolution Document Matters

A well-structured Audit Resolution Document creates an auditable trail linking findings to concrete remediation, owners, and timelines. It reduces ambiguity during regulatory review, supports litigation readiness, and helps internal teams track closure. When signed and retained correctly, the document is stronger evidence of compliance efforts under federal rules such as ESIGN and, where applicable, UETA.

Who Typically Prepares and Signs This Document

The Audit Resolution Document is used by teams responsible for compliance, risk, and operations to document and close audit items.

Internal audit teams — prepare findings, coordinate responses, and track remediation progress across departments.
Compliance officers and legal counsel — validate corrective actions, confirm regulatory alignment, and sign approvals when required.
Business unit managers — accept ownership of remediation tasks and provide evidence of completion to auditors and stakeholders.

Completed and retained copies become part of the organization’s compliance record and may be provided to regulators, external auditors, or stakeholders.

Step-by-Step: Completing an Audit Resolution Document

Follow a consistent sequence from intake through closure to ensure completeness and defensibility of the resolution record.

01

Gather Evidence: Collect audit working papers, logs, and documentation before drafting remediation items.
02

Draft Resolutions: Translate findings into measurable corrective actions with owners and deadlines.
03

Obtain Approvals: Route to compliance and business owners for review and signature.
04

Track and Close: Monitor progress until evidence shows successful remediation, then mark the item closed.

Configuring an Online Audit Resolution Workflow

Set up the template, authentication, and retention rules in your e-submission platform before sending documents to signers.

Field	Configuration
Template	Create a reusable template with required fields and validation rules.
Assigned Signers	Define signer roles and order; include alternate signers if needed.
Authentication	Choose email, SMS code, or stronger KBA per risk level.
Notifications	Set reminder cadence and escalation contacts for overdue approvals.

From Draft to Record: Typical Audit Resolution Routing

A clear routing path reduces friction and ensures audit responses are timely and traceable.

Prepare Document: Import template, complete fields, attach supporting evidence.
Assign Signers: Identify reviewers and approvers in role-based order.
Sign Electronically: Signers authenticate and apply electronic signatures; capture audit trail.
Archive Record: Store the signed document and audit log in the records repository.

Technical Considerations for Sharing and Signing

Ensure the platform you use supports required formats, authentication levels, and integrations needed for your workflow.

File formats: PDF, DOCX supported
Integrations: Salesforce, NetSuite, Google Workspace
Authentication: Email, SMS, KBA, SSO

Key Timelines and Typical Deadlines to Track

Track response and remediation deadlines at creation so that ownership and follow-up are unambiguous.

Initial Response Due:

Typically within 30 days of receiving the audit report.

Remediation Plan Due:

Commonly required within 60 days with specific actions and owners.

Implementation Target:

Set target completion, often 90 days from plan approval.

Follow-up Review:

Schedule verification audit within 3–6 months after closure.

Retention Start:

Retention begins on the document execution date or closure date.

Common Preparation Errors to Avoid

Incomplete remediation descriptions that lack measurable success criteria and verification steps, which delay closure and invite additional findings.
Missing or inconsistent dates and identifiers, causing difficulty reconciling the resolution with the original audit scope and evidence.
Unsigned approvals or ambiguous signatory authority, which can invalidate the record during regulatory review or litigation.
Failing to attach supporting evidence or logs, weakening the demonstrable proof of completed corrective actions.

Consequences of Incorrect or Incomplete Resolution Records

Regulatory Fines: Civil penalties or administrative fines may follow.

Contract Risk: Breach of contract claims or loss of funding.

Repeat Findings: Auditors may reopen or expand scope.

Legal Exposure: Weakened defense in enforcement proceedings.

Operational Impact: Business interruption from unresolved control failures.

Reputational Harm: Stakeholder trust and market confidence erode.

Real-World Examples of Audit Resolution Use

These concise examples show how organizations document and close audit findings using structured resolution records.

Tech Data — Executive Summary

Company consolidated vendor access controls into a single remediation plan with owners and dates.

The plan named a single owner per control.
Over six months the documented steps and signed approvals shortened subsequent audits and provided clear evidence to external reviewers that corrective actions were completed.

Fertility Centers of Illinois — Compliance Case

Clinic recorded a PHI access finding and required specific process changes and training.

Training and access logs were assigned to IT and HR.
The signed resolution with attached attendance and log exports satisfied the external auditor and prevented escalation to enforcement action.

Security and Compliance Essentials for Signed Records

Encryption (In Transit): TLS 1.2/1.3

Encryption (At Rest): AES-256

Certifications: SOC 2 Type II

Regulatory Coverage: HIPAA (BAA required)

Electronic Sign Law: ESIGN and UETA compliant

FDA / Records: 21 CFR Part 11 support

Practical Tips to Ensure Accurate and Efficient Completion

Adopt consistent practices to reduce errors and speed closure of audit items.

Standardize Templates

Use a single approved template across the organization with required fields and validation to reduce omissions and ensure completeness; version-control templates to track changes and approvals.

Use Role-Based Approvals

Define signer authority levels in advance so signers understand responsibilities; require primary and backup approvers for critical remediation steps to avoid stalls.

Attach Verifiable Evidence

Link logs, screenshots, invoices, or training records directly to the resolution entry so reviewers can verify completion without needing additional requests.

Preserve Audit Trail

Ensure the signing platform captures authentication, timestamps, IP addresses, and action history so the resolution is defensible during regulator or legal review.

Typical eSignature Vendor Comparison for Audit Resolution Workflows

Platform choice affects authentication, bulk send, HIPAA support, and envelope limits; signNow is listed first for comparison purposes.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	Yes, 7-day trial	Varies by vendor	Varies by vendor	Varies by vendor	Varies by vendor
Bulk Send	Yes	Yes	Yes	Yes	Yes
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No
Envelope Cap	No cap	100 envelopes/user/year	Varies	Varies	Varies

Typical Signatories and Their Roles

Audit Manager

The Audit Manager prepares the resolution, coordinates evidence, and certifies that findings and remediation steps reflect audit workpapers; they typically sign to attest accuracy and completeness and route for approvals.

Business Unit Lead

The Business Unit Lead accepts responsibility for remediation execution, confirms resource availability and timelines, and signs to acknowledge ownership; their signature assigns accountability for completing the corrective actions.

Frequently Asked Questions About Audit Resolution Documents

Answers to common questions on validity, signatures, storage, and common errors when preparing these documents.

Need help? Contact support

Can this document be signed electronically?
Yes. Electronic signatures are valid under the ESIGN Act (15 U.S.C. ch. 96) and UETA where applicable, provided intent, consent, signer attribution, and record retention are met.
When is notarization required?
Notarization is rarely required for internal audit resolutions, but state or contractual provisions may mandate it for specific remedies; check state rules where the underlying matter affects recorded instruments.
How long must we retain the signed record?
Follow applicable federal standards (e.g., IRS three-year baseline under IRC §6501(a)) and industry rules such as HIPAA six-year retention (45 CFR §164.530(j)); extend retention where contracts or state law require it.
What authentication level should we use?
Use stronger authentication (SMS, KBA, or SSO) for high-risk findings. The level should match the consequence of a signature error or repudiation risk.
What happens if the signer’s name does not match records?
Mismatched signer names can create attribution disputes; verify government or corporate IDs and correct name fields before final execution to avoid invalidation.
Can we amend a signed resolution?
Yes. Create a clearly labeled amendment or follow-on resolution signed by the same authorized parties; preserve the original document and the amendment in your records.

be ready to get more

Join over 28 million airSlate SignNow users

Sign Now