Approval Request Process in Detail

When an investigator assigns a finding for an alert item an additional approval step may be required.

The conditions that have to be met can be defined in the Customizing. For example, if an alert item with a high risk value (> EUR 2,000) is closed without investigation, the system will start a workflow to establish at least a dual control principle.

Overview

The basic approval request process is the following:

  1. Finding needs to be approved

    The finding of an alert item has been identified as needing approval.

  2. Investigator requests approval

    The investigator requests an approval on the Decision section of the alert.

    The approver can be assigned manually (if customized) or determined by the system.

    If required, the request can be canceled.

  3. Approver approves or rejects approval request

    An approver is informed about new approval requests.

    The approver accepts or rejects the approval request in the My Approvals inbox, and comments the finding.

    Approval-related information is displayed on the Decision and Documentation section on the alert UI.

    If the approver rejects an approval request, the investigator is informed.

  4. Investigator closes the alert item

    When the investigator saves an alert item that has been approved, the alert item is closed.

    If required, the alert can be reopened.

See Examples: Approval Process in Detail

Good to Know

  • Alert Worklist

    • If an approval is required, the alert item can only be closed after the approval has been given.

    • If an approval request is rejected, the investigator has to request an approval again after making the required changes or rework.

    • Once the approval is requested the finding cannot be changed. To change the finding, the approval request has to be canceled.

    • Once the approval for an item has been given and all the alert items have been closed, that is, the alert is closed, you must reopen the alert if you want to change the finding.

    • Manually created alerts are also checked if an approver is required.

    • In the Alert Worklist the investigator can set the decision and release several alerts at the same time, but only alerts that do not need an additional approval can be closed.

    • The approvers' decision including the notes are displayed as Note on the Documentation section of the alert.

    • The investigator of an alert item can select the approver directly on the Decision section of the alert (if this is allowed, according to the Customizing).

    • If the system cannot determine an approver, the investigator can enter any user as approver.

    • Approval-related information, such as the Approval Status and the Approval Request Log, is displayed on the Decision section.

  • Notifications

    • If an approval is needed, the approver is informed by e-mail about new approval requests in the approval list.

    • All approvers that are determined by the system are informed via e-mail.

    • If the approval is rejected, the investigator is informed by e-mail.

  • Approvals

    • If an approval is required, but the system cannot determine an approver, the Approver field will be visible, so that the approver can be assigned directly on the Decision section.

    • The approval request is displayed in the approval list of all responsible approvers as long as one or several approvals are still pending.

    • If the number of approvers found by the system is less than the number of approvers that are required according to the Customizing, the system adapts (reduces) the number of approval steps accordingly. This can be the case before the workflow starts, or after each approval step.

Approval Status During the Approval Process

The following table shows the possible values for the Approval Status, which is displayed on the Decision section on the Alert UI.

Approval Status

Description

 

If an approval has not yet been requested or if no approval is needed, the alert item has no Approval Status.

Pending

If the approver hasn’t given their approval yet, the status is Pending. (If more than one approver is required, the status remains Pending as long as some approvals are still outstanding.)

Canceled

If the investigator cancels the approval request, the status will be Canceled.

Approved

If all the required approvers have approved, the status will be Approved.

Rejected

If even one approver rejects it, the status will be Rejected. This overrules other approvals that have been given before.

More Information

Approval Requests for Alert Item Findings

My Approvals

Handling Errors in the Approval Request Process