An audit can be considered as a project with an start date and end date. We might want to audit or certify multiple items using an audit. For example, in a Q1 audit you might want to certify, external partner identify as well as member of certain high risk management roles. These items are specified in one or more recertification policies. As a project might have multiple deliverables an audit can have multiple recertification policies associated with it. We can create recertification policies of different types in the EmpowerID system and these policies are reusable.
Business role and location membership policy is to certify the membership of a business role and location. For the recertification, an audit is created, which generates business requests that are sent for approval. The engine bundles the recertification items into business requests based on the object itself. Therefore in this case the business role and location is the bundle for the business request and its members are items.
In EmpowerID, an audit is a logically named user-defined object for identifying or grouping recertification tasks and running the recertification policies that generate them. After creating an audit, you can add one or more recertification policies to it. When the audit runs, it creates a recertification task for each item in the policy. Business role and location membership policy are to certify the membership of a business role and location. We will create an audit and add a business role and location membership type recertification policy.
Pre-requisite for recertification policies, audit compilation and fulfilment of business requests.
To create an audit
On the navbar, expand Compliance and select Recertification.
Select the Audits tab on the Recertification page and click + icon to Create Audit.
Enter the name, display name, and description.
Select location from the location tree. The location of the audit has no impact on business logic. Location is required so that we can delegate who can see, edit or delete it.
Select the audit owner. This is the person responsible for running this audit. The owner of the audit will be initiator of the corresponding business requests. The audit owner will get notifications when the business requests are approved or rejected.
Select the started date and due date. An audit it is like a project with an start data and an end date.
Is Template: The audit may be a one time audit or a template. For example, if it is every 90 days contractor access audit, we may not want to create a new audit every 90 days, rather we should create this kind of audit as template. A template audit can be specified with schedule like daily, monthly, weekly and custom interval. A new audit is created automatically at specified interval by cloning the templated audit.
Click on the Save button. This will create a new entry in audit table in the the SQL database.
Click on the '+' icon to add the recertification policy on the audit details page.
Select the recertification policy from the recertification dropdown.
Select the fall-back assignee and click on Save.
Click on the 'Enable' checkbox for the audit and click on the Save button. When you enable an audit, the recertification engine considers that the audit as completely configured and ready. Thus the recertification engine looks at the audit and compiles it to generate recertification approval tasks.
Navigate to the audit tab and search for the above audit.
The audit is displayed in the list.
Compilation status shows as compilation completed. Business Request = No of the Group in the recertification policy.
Validate that these Business Requests are visible in MyTasksLogin to MyTasks (Tasks and Requests -->My Task App)
In the top left, filter by 'To Do'
Search by the Audit Name
Validate that any of the potential approvers of the business requests can action itLogin to MyTasks -> In the top left, filter by 'To Do' -> Search by the Audit Name.
Validate that fulfilment runs successfully for the business requestsClick on the link below the name of the business request in the above image.
It will open a pop-up window.
Verify that the Fulfilment status is “Fulfilment Succeeded.”
Note: You can also check the fulfillment status of a business request under Request Item Tracking.
...