Conducting an Audit: Answering the Questions

The possible answers to an audit question are "Yes," "No," and "Other." Clicking "Other" will display more answer options, a list that may vary by jurisdiction but will always include "Mark as Pending." 

"Mark as Pending"

This option is intended to give auditors the flexibility of temporarily not answering a question until they've had time to do some research. The idea is that the auditor is going to come back to this question after seeking input from a co-worker, retrieving a document, reviewing the cited regulations, or some other task that allows them to answer the question with a definitive "Yes" or "No."

The key to this answer option is that it is temporary. You intend to return to the audit and answer it at a later time.

Note: Questions marked as Pending will need to be answered yes or no prior to finalizing the audit. If you attempt to finalize your audit with questions still marked as pending, you'll be prompted to change the answer(s) first. Sometimes, changing the answer will prompt a new subset of questions and you'll be sent back into the audit to answer the new questions generated. 

"I Have a Waiver"

The "Other" option might include answers that are unique to the regulations in some states. Massachusetts, for example, has a waiver process that allows licensees to be exempt from certain regulations. In the screenshot above, the licensee's limited access area may not meet the requirements of the regulation, but they successfully applied for and received a waiver that allows them to continue operating. In this case, the user would choose "I Have a Waiver" and the system would treat it as a compliant answer. As a best practice, we encourage users to upload their waiver as backup.

Other states have other unique answer options. There are extensions, exemptions, alternative provisions, etc. Our system is flexible enough to handle virtually every scenario through this "Other" option.

The "Not Applicable" button

We work really hard to avoid asking you questions that are not applicable to your specific operation. However, regulations can be very complex and your business may have unique characteristics that weren't accounted for by regulators. Inevitably, you're going to run into a question that simply does not apply to your situation. In these cases, just use the "Not Applicable" button.

This answer option requires that we share a cautionary note. If the app presents you with a question, it is because we believe there is a regulation that applies to 99% of the businesses in your jurisdiction with your license type. As a result, the "Not Applicable" button should be used sparingly. The app assumes that if you mark a question as Not Applicable, you are knowledgeable about the circumstances that make the question not applicable.