Phase Management
Phases provide structured progression through the engagement lifecycle. Each phase can have milestones, required approvals, and gate checks that must pass before the engagement can advance.
What Are Phases?
A phase is a container for a stage of the engagement. By default, engagements follow four phases:
| Phase | Purpose |
|---|---|
| Planning | Define scope, assign team, set timeline |
| Fieldwork | Execute audit — workpapers, testing, evidence |
| Reporting | Draft and finalize the audit report |
| Wrap-Up | Close engagement, archive, lessons learned |
Phase Lifecycle
Phase Fields
| Field | Type | Description |
|---|---|---|
name | String | Phase name (e.g., "Planning", "Fieldwork") |
description | Text | Phase description and objectives |
order | Integer | Sequence order within the engagement |
status | String | PENDING, IN_PROGRESS, AWAITING_APPROVAL, COMPLETED, BLOCKED |
planned_start_date | Date | Target start date |
planned_end_date | Date | Target end date |
actual_start_date | Date | When work actually started |
actual_end_date | Date | When work actually completed |
approvals_required | Integer | Number of approvals needed to complete (default: 1) |
approvals_received | Integer | Current approval count |
gate_check_passed | Boolean | Whether all gate checks passed |
methodology_template_id | Integer | Optional link to a methodology template |
Milestones
Milestones are specific deliverables or checkpoints within a phase.
Creating a Milestone
- Open the phase from the Phases tab
- Click + Add Milestone
- Fill in:
| Field | Required | Description |
|---|---|---|
| Title | ✅ | What needs to be delivered |
| Description | Optional | Detailed requirements |
| Due Date | Optional | Target completion date |
| Owner | Optional | User responsible |
Milestone Statuses
| Status | Description |
|---|---|
| PENDING | Not yet started |
| IN_PROGRESS | Work underway |
| COMPLETED | Milestone achieved |
| OVERDUE | Past due date without completion |
| CANCELLED | No longer required |
Approvals
Requesting Phase Approval
When all work in a phase is complete:
- Click Request Approval on the phase
- Select the approver(s) — Manager or CAE
- The phase moves to AWAITING_APPROVAL
- Approvers receive a notification
Approving / Rejecting
Approvers see the request in their Signoff queue:
| Decision | Effect |
|---|---|
| Approve | approvals_received increments. When it reaches approvals_required, phase → COMPLETED |
| Reject | Phase returns to IN_PROGRESS with reviewer comments |
Multi-Approver Workflows
Set approvals_required > 1 for phases requiring multiple sign-offs:
approvals_required = 2
→ Both Manager AND CAE must approve
→ Phase only completes when approvals_received = 2
Gate Checks
Gate checks are configurable quality gates tied to methodology templates:
- Planning gate: Are scope and objectives defined? Team assigned? Timeline set?
- Fieldwork gate: Are all key control tests completed? Evidence collected?
- Reporting gate: Is the draft report reviewed? Findings finalized?
The gate_check_passed field and gate_check_result JSON record the outcome.
Phase Timeline View
The Phases tab in the engagement detail view shows:
- A Gantt-like timeline of planned vs. actual dates
- RAG status indicators (Red/Amber/Green) based on schedule variance
- Milestone completion dots along the timeline
Permissions
| Action | Auditor | Manager | CAE |
|---|---|---|---|
| View phases | ✅ | ✅ | ✅ |
| Create phases | ❌ | ✅ | ✅ |
| Update phase status | ❌ | ✅ | ✅ |
| Create milestones | ✅ | ✅ | ✅ |
| Complete milestones | ✅ Assigned | ✅ | ✅ |
| Request phase approval | ❌ | ✅ | ✅ |
| Approve/reject phases | ❌ | ✅ | ✅ |