Audit Workflow Review and Comments

Audits and workpapers using an advanced workflow with reviewers added to a stage can now utilize an advanced review experience that includes a review modal, review comments, and review history. Prior to a review stage, auditors can submit for review, and in the review stage, approvers can approve or reject the work performed by the auditor and add comments. The new Workflow and Approval tab on the Details screen can be used to view a full history of reviews and comments.

When an approver is added to an advanced workflow stage and that stage is triggered, a Approval Needed email will be sent to the approver. This email indicates that the user is needed to approve or reject the audit or workpaper in the current stage.

This procedure will help approvers review and accept or reject audits and workpapers. These steps begin once the approver receives the Approval Needed email.

To submit an audit or workpaper for review

Once an auditor has completed work on an audit or workpaper, they can submit the record to the approver for review using the Submit for Review button. In order to do this, the workflow must currently be one stage prior to an approval stage.

  1. On the Details screen, click the Submit for Review button.
    The Transition Stage modal appears.
    The Transition stage modal showing options to submit the audit or workpaper for review.
  2. Click the Confirm button to send the Approval Needed email to the approver assigned to the approval workflow.

To approve or reject the audit or workpaper

Approvers assigned to an approval workflow stage can approve or reject the work completed on an audit or workpaper. Once the audit or workpaper is submitted to the approver for review, the approver will receive an Approval Needed email.

  1. Click the View button in the Approval Needed email. The Details screen will appear.
  2. On the Details screen, click the Review button. The Review modal will appear.
  3. Complete the fields. For more information, see Review Modal Screen Reference.
  4. Click the Submit button. Your review result and comments will be added to the Workflow and Approval tab. The review comments will also appear on the Comments pane on the Audit and Workpaper Details screen.

    Example of review comments displayed in the Comments pane on the Audit and Workpaper Details screen.

Review Modal Screen Reference


Review modal showing Approve and Reject options and a Comments field for entering feedback.
Field
Description
Please select the result to complete the review

Select Approve or Reject.

Comments

Enter comments you have about the approval or rejection of the audit or workpaper.

To change the review

Approvers have the ability to change the review result after it is initially sent.

  1. On the Details screen, click the Change Review button. The Review modal will appear.
  2. Complete the fields as needed.
  3. Click the Submit button. Your review result and comments will be added to the Workflow and Approval tab.

To view the Workflow and Approval tab

The Workflow and Approval tab provides a history of all review comments. The tab only appears if the audit or workpaper is using an advanced workflow with an approval stage configured. Access to view the Workflow and Approval tab is granted via the Workpaper Workflow Approval permission for workpapers and the Audit Workflow Approval for audits.

Users with the Audit Manager or Auditor role can navigate to this tab and view the history of the approvals and comments added.

  1. On the Audit Management menu, select Audits or Workpapers.
  2. Open the audit or workpaper in which you would like to view the Workflow and Approval tab.

    The Details screen appears.

  3. On the Details screen, select the Workflow and Approval tab to view the current approval status and history.
    The Workflow and Approval tab on the Audit Details screen showing approval status and history.
    Note:

    The Workflow and Approval tab will not have data until the review has been completed.

Advanced Workflow FAQ

Will assigned approvers receive an email notification?

Yes, approvers will receive the Approval Needed email when they are assigned as an approver.

Is there a limit on the number of approvers I can add to a single workflow stage?

No. There is no limit to the number of approvers you can add to a workflow stage.

Can I view the approval history of all approvers for each stage of the workflow?

Yes, users can view the complete audit history of a workflow that includes details of all approvals and rejections by the approvers. This Audit History appears on the Workflow and Approval tab. The Workflow and Approval tab only appears if you are using an advanced workflow.

If a workflow is reverted to a previously approved stage, will I have to approve again?

Yes, you will receive the Approval Needed email.

What happens if I reject an audit or workpaper?

If you reject an audit or workpaper as an approver, an email will be sent to the auditor. The workflow stage will not advance automatically.

Who can view the Review button?

Only current stage approvers of the document can see this button.

What permissions do I need to configure in order to approve a workflow and add comments?

The permissions associated with this feature are:

  • Workpaper Workflow Approval

  • Audit Workflow Approval