Review and sign off work

You can sign off on a paper you have prepared or checked and assign it to another person as the next checker.

How it works

Once you have all the relevant information documented on a page, you can sign off on their work and assign it to another person on your team to have them review it. The person assigned as the next reviewer will receive an email notification informing them of the page being reviewed.

Checking levels

There are three review levels:

Control checker description
Creator prepares the information on a page or creates a draft
Detail checker prepares a detailed review of the preparer’s work
General control examiner makes a superior check of the creator’s work

sign-offs and page types

You can sign off on two types of pages as a creator , detail checker or general checker:

  • Pages for individual elements Displays information about a particular element, e.g. B. an individual exemplary procedure
  • Pages with summaries Displays a list of elements, z. B. A list of best practices

Pages for individual elements

After the creator has signed off a single element page, the page is write-protected. This gives you control over the sign-off and review process as you complete individual items.

When you sign off on a determination on the Resubmission and Settlement sub-tab, existing actions are also write-protected. However, you can still post comments within existing actions on the Update Action tab within an action.

Example pages for individual items
  • Planning file
  • Exemplary procedure
  • Test plan
  • Test
  • Findings information
  • Resubmission& Settlement
  • Retest information
  • Results file

Pages for summaries

When you sign off on a summary page, individual items are not read-only.

Signing off on the Test Plan page does not make individual test plans read-only. Similarly, signing off on the risk control matrix does not write-protect individual risks and controls.

Example of pages for summaries
  • Risk Control Matrix
  • Best practices
  • Test Plans
  • Testing

How sign-offs affect the percentage of test completion

When you sign off on work in an exam, the exam completion percentage increases . However, not all sign-offs affect the audit conclusion percentage:

  • Sign offs on the pages for summaries work affects the percentage of exam completion.
  • Sign-offs on pages for individual elements do not have an effect Percentage of audit completion off.

Constraints and considerations

  • You cannot sign off on individual risks or controls You can, however, sign off on the risk control matrix.
  • Sign-offs of individual narratives affect the overall percentage of test completion You cannot sign-off all narratives at once, but you can sign-off individual narratives. Signing off on individual write-ups increases the percentage of audit completion.

Review work

If you are assigned as a control reviewer and you notice errors or omissions during the review, you can create a task to be performed by the creator. Tasks are typically used as review notes or comments.

For more information, see Assigning items.

Sign-off workflows for different teams

The sign-off and review process can be customized for any team size or QA workflow.

Small teams

All users with access to the audit can designate themselves as the Next Control Auditor. If you are the only person on the team, you can remove your own sign-offs and keep the information on one page gg. update.

For teams consisting of two people, one person can sign off as both the creator and the detail checker and assign the other person as the general checker.

More exam cycles

Even after three levels of review have been signed off, you can continue to assign a next reviewer. This can be helpful if you find an error after the final sign-off and reassign the item to that person so they can take back their sign-off, fix the error, and perform the sign-off again.

Some organizations have an additional level of review (usually called quality assurance) that takes place after a sign-off has occurred. You can also assign these staff members as the next reviewers to conduct the final review.

Examples

The examples in this section are interrelated. The first tab shows the beginning of the scenario.

Scenario

Cathy, a staff reviewer, documents the results of a review process. Once she has prepared the information, she sends her work to Simon, her supervising examiner for review.

Process

Cathy records the outcome of the audit process and logs two findings. She then signs off on the exam process as the creator and sets Simon as the next examiner:

Result

Simon receives an email notifying him to review the audit process.

Scenario

Simon clicks the link in the email notification and begins reviewing the review process. Recognizes that the results documentation is not as comprehensive as it could be and suggests that Cathy provide more information.

Process

Simon removes Cathy’s sign-off as creator , creates a task as a review annotation, and assigns the task to Cathy. Cathy receives an email notification of the review annotation, updates the results information as requested, and signs off again as the preparer. Again, Cathy establishes Simon as the next reviewer.

Result

Simon reviews the now updated procedure, signs off as a detail control reviewer, and now assigns Michelle, the review manager, as the next reviewer.

Scenario

Michelle clicks the link in the email notification and begins reviewing the review process. During the review, Michelle learns of the new information that affects the documented results.

Process

Michelle removes sign-off as the preparer , creates a task as a review note, and assigns the task to Cathy.

Result

Cathy receives an email notification of the review comment, updates the results information as requested, and once again signs off as the preparer. Cathy restarts the review and sign-off workflow by setting Simon as the next reviewer:

Simon signs off on the review process and sets Michelle as the next reviewer:

Finally, Michelle signs off as the general reviewer:

Permissions

Sign off as creator

"Subject Manager" and "Subject User" can sign off as creator on any page. Contributing testers can only sign off as creators on control tests for which they have write access.

After the sign-off by the creator

Once the preparer signs off on the page, it becomes read-only and the review workflow is limited as follows:

    Users with the role of "subject manager", "subject user" and "supervising management" can set the next control reviewer if they have been assigned by the creator as the next control reviewer.

Since users with the Supervising Management role can only view published findings, it is not possible to assign them as the next control reviewer to sign off on findings.

Remove sign-offs

  • Only a user with the role "subject manager" Can remove creator or detail control tester sign-off and allow page to be updated.
  • Subject users must be assigned as the next control reviewer in order to remove the creator’s sign-off.
  • When the preparer sign-off is removed, the detail and general control reviewer sign-offs are automatically removed as well.
  • Only users with the role of "subject manager," "subject user," and "supervising management" can remove their own sign-offs.

Sign off as a detail or general control reviewer

Only "subject managers" can act as detail or general reviewers before the after the creator signs off .

Users with the role of "Professional User" and "Supervising Management" can sign off as the Detail Control Reviewer or the General Control Reviewer if the Originator has signed off and that user has been assigned as the next reviewer.

Sign off work and assign next reviewer

You can sign off on a paper you prepared or reviewed and assign it to another person as the next reviewer.

    Do one of the following:
    • Sign-off as preparer
    • Sign-off as detail control reviewer
    • Sign off as the general control reviewer

    Result Your sign-off is recorded on the page and the next control reviewer is notified of the review assignment via email.

    Sign-offs of determinations are also displayed on the Determination List page in the Table column Sign-offs. Each sub-tab sign-off (determination information, resubmission and settlement, and retest information) is marked with a padlock icon.

    Remove sign-offs

    Remove a markup from a page.

      Do one of the following:

      Result The sign-off will be removed.

      Remove sign-offs

      You can cancel the sign-off in order to make further updates to the information on a page.

        Perform one of the following steps:

        To cancel the sign-off of a statement, click on Cancel sign-off in the yellow banner .

        Result The sign-off is removed, and you can update the information on the page.

        Manage reviews

        You can manage all reviews assigned to you across multiple reviews.

          . Click on the Reviews tab .

        A list of reviews sorted alphabetically by title will be displayed.

        The lock indicates that the section containing the review has been checked out by another user with offline projects or HighBond for iPad and the review is read-only.

        • Search for reviews, or apply the review filter to narrow down the list of reviews.
        • Sort reviews by clicking next to the column title.

        Result You can check the information on the page and sign it off afterwards.

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