Approving Audit Results

OPTIONAL FEATURE - Contact your RizePoint representative to enable/disable the Audit Result 2.0 functionality to use this feature.

Some organizations require that submitted audit results be reviewed by multiple approvers before the results are processed in the RizePoint software. This is known as a multi-level audit approval process.  When Audit Result Approval 2.0 is enabled, it allows users who have been specified in an Audit Result Approval Rule to approve, disapprove, or delete submitted audit results in a sequence of approvers specified in the rule.

Audit Result Approval 2.0 is designed for admins who have authority to approve or disapprove audit results.

To approve or disapprove audit results:

    1. From the menu bar, select Audit > Audit Result Approval 2.0.

      A grid list of all audits to be reviewed by the logged-in user will display.

      Audit result  
      It is possible to configure the columns that display and the order in which they are arranged in the grid.  See Configure the Audit Result Approval Grid.
      Remember that audit results will display in this queue only if the results match criteria previously configured in an Audit Result Approval Rule.  See Create an Audit Result Approval Rule.
    2. Click on the audit Upload Date (underlined hyperlink).

      Upload date
      The audit results open in the Assessment Corrections window of the Audit Maintenance Tool.

      Audit results
    3. Review the results of the audit.  Notice that a user with the appropriate permissions will be able to edit data in the audit results, if necessary. See Audit Result Approval Permissions.
    4. If any changes are made to the audit results in the Assessment Corrections window, click SAVE & RETURN.

      SAVE and RETURN

      If no changes were made, simply click RETURN to return to the Audit Result Approval 2.0 grid.

      Return
    5. Click the check box(es) next to the audit results you wish to approve or disapprove.
      Check box
      Clicking the check box at the top of list will select all audit results to be approved or disapproved in one batch. Each audit that has been selected for approval or disapproval will be highlighted with a gray band.
    6. From the Audit Result Approval 2.0 options above the list of audit results, select the action to take from the following options:

      Audit Result Approval menu

MENU OPTION

DESCRIPTION
DELETE A dialog box requests confirmation that the user wants to delete the selected record. Pressing OK deletes the record from the list. Pressing CANCEL cancels the deletion.
APPROVE AUDITS When an audit result is approved, the result is removed from the logged-in user's approval list; it will then appear in the list of the next approver specified in the steps.
 
If the selected audit results are approved, an email notification is sent to the next person in the steps specified in the Audit Result Approval Rule. That person will receive the message that there are audit results waiting for approval in the queue. For example, if Approver #1  in a three-step approval process approves the audit results, an email notification will be sent to Approver #2 that there are audit results waiting to be approved. NOTE: Notifications are optional, and are set in the Audit Result Approval Rule.  
 
When the final approver in the approval process marks the audit results as "approved," the results advance and are displayed in the Audit Results Grid. To see the results, navigate from the main menu to AUDIT > VIEW AUDIT RESULTS.  
DISAPPROVE AUDITS When an audit result is disapproved, and the approval process is not at Step 1, the disapproved result will be removed from the logged-in user's list and will display in a previous approver's queue. The queue where the result is routed is dependent on the RESTART ON DISAPPROVAL check box. If the RESTART ON DISAPPROVAL check box has been enabled, the audit result will be routed back to the first step.  If the RESTART ON DISAPPROVAL check box has not been enabled, the audit result will be routed to the previous step. Additionally, the auditor will receive an email notification that the result has been disapproved.
 
If the selected audit results are disapproved, an email notification is sent either to the first approver in the Audit Result Approval Rule steps, or to the previous approver in the steps.  The person who receives the email notification is determined by whether or not the RESTART ON DISAPPROVAL check box was selected during the creation of the Audit Result Approval Rule. See Specifying the Steps for Audit Result Approval. NOTE: Notifications are optional, and are set in the Audit Result Approval Rule.
 
If audit results are disapproved at the first step, the audit results remain in the first approver's Audit Result Approval 2.0 queue in status "Disapproved" until they have been approved and moved into the approval process, or manually deleted by a Step 1 approver.  

 

To edit audit result data:

  1. Go to Audit > Audit Result Approval 2.0. A grid list of all audits to be reviewed by the logged-in user will display.
  2. Click on the Upload Date (underlined hyperlink). The audit results open in the Assessment Corrections window of the Audit Maintenance Tool.
  3. From the Assessment Corrections window, click the EDIT pencil next to the data to be edited.

    Edit pencil
  4. Edit the data as needed.
    Edits can be made anywhere an edit pencil is visible. However, if an approver needs to include notes in the audit results, it is recommended that comments and/or notes be placed in the Audit Level Notes section.


Audit Level Notes section

  1. Click SAVE & RETURN.

    Save and Return

    Notice the appearance of the EDIT pencil:

      • A white pencil White edit pencil appears beside data that has not been edited.

      • A yellow pencil Yellow edit pencil indicates that an edit has been made.

  2. Click RETURN.  The Audit Result Approval 2.0 grid will display.

ref: AuditApproval2