Roles and responsibilities

Who should read this

Administrators who grant access and every user who participates in a filing.

Before you begin

Roles are assigned per organization. A separate table-level allowlist may narrow a member’s edit or review scope. A role never grants access to another organization.

Responsibilities

• Administrator: configures the organization, reporting entities, authority profiles, users, access, and filing cycles. Administrators can also perform preparation and review tasks.
• Preparer: imports or enters values, resolves findings, manages supporting evidence, and submits a filing for review.
• Reviewer: reviews an assigned filing, comments, requests changes, and approves and locks it when their review scope covers the filing.
• Read-only user: can inspect permitted filing information but cannot change the filing.

Separation of duties

Where your policy requires independent review, use different preparer and reviewer accounts. Administrator capability does not replace your organization’s approval policy.

Expected result

Each person has the least access needed for their task, and the assigned reviewer can review all required tables.

How to verify

An administrator opens Review and audit, checks the member list and table access, then asks each user to confirm that expected controls are visible and restricted controls are unavailable.

Common problems

• A reviewer cannot approve when they are not the assigned reviewer.
• A reviewer cannot approve when their review allowlist omits a selected table.