Workflow Audit

Generate audit trail specifications for regulatory compliance in insurance and financial services. Use when designing audit logging for FINRA, state insurance department, SOX, or internal compliance requirements.

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Workflow Audit Trail Design

Design comprehensive audit logging for regulatory compliance:

  1. Regulatory scope: Which regulations apply? (FINRA, state insurance, SOX, GDPR, internal policy)
  2. Required events: Map every workflow action to an audit event (created, assigned, viewed, approved, rejected, modified, deleted)
  3. Required fields per event: timestamp (UTC), actor (user ID + role), item ID, before/after values, IP address, session ID
  4. Retention period: How long must audit records be retained? (typically 7 years for financial services)
  5. Access controls: Who can query the audit log? Read-only for compliance, no delete capability
  6. Export format: CSV, JSON, or direct to SIEM

Output: audit event catalog, data schema, retention policy spec, and access control matrix.

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