Audit Approval Workflow
The audit approval workflow separates audit preparation from review and completion. It helps organizations require an approval decision before a Compliance Officer completes an audit.
A Compliance Officer can enable or disable the workflow for future audits. For more information, see Audit Approval Workflow Settings.
When the workflow is enabled, audits follow a formal submission and approval process. An audit must be approved before a Compliance Officer can complete it.
When the workflow is disabled, future audits use a simplified process. These audits move from In Progress to Completed without a separate approver decision.
Completed audits are not changed when the workflow setting changes.
Compliance Role Separation
The workflow separates audit work, approval decisions, and supporting tasks.
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Compliance Officer - Creates and manages audits, assigns an approver, submits audits, completes approved audits, and reopens completed audits.
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Compliance Audit Approver - Reviews assigned audits and either approves or rejects them. An approver cannot edit audit content during review.
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Compliance Audit Supporter - Contributes to audit controls and supporting evidence. A supporter cannot submit an audit for approval.
Audit Workflow Lifecycle
A new audit starts in In Progress status. It becomes Ready for Submission after its controls and Audit Insights meet the submission requirements. Submitting the audit changes its status to Pending Approval. The assigned approver can approve or reject the audit. An approved audit can be completed. A rejected audit can be revised and resubmitted for another decision. A Compliance Officer can reopen a completed audit. The reopened audit must follow the approval process again before completion.
Pending Approval, Approved, Resubmitted, and Completed audits are locked against ordinary content changes. Approvers can review audit information, controls, and attachments without editing them.
Rejected and Reopened audits can be revised by a Compliance Officer. The available actions depend on the audit status and the user's Compliance 360 role.
The workflow cannot be enabled when an audit is In Progress. The workflow cannot be disabled when an audit is awaiting submission, review, approval, rejection, or resubmission. A reason is required when disabling it.