How to Manually Create or Update an Evidence Record

1. Go to the Evidence Library tab in the Compliance module

2. Select [Add New}

3. The following fields must then be populated: (see page screenshot below and explanation below, below)

Evidence Name and Description

• Evidence Name: A summary of the evidence record needed
• Evidence Description: Provide a detailed description of the evidence required. This information will be provided to the evidence owner as guidance to help ensure they upload the correct data

Evidence Start Date and End Date and Request Frequency

• Auditors require evidence to be up to date.
• As such they typically require a CREATION PERIOD and a COLLECTION PERIOD for the INITIAL AUDIT
• Thereafter evidence must be collected based upon frequency required (daily, monthly, quarterly, etc.)
• The Evidence Start and End Date refers to the creation period within which the evidence should have been created and/or reviewed and/or updated.
• While you can set the Evidence Start Date and End Date for a period in the future. The Document Request will send on the END DATE, as this signifies the end of the period in which the evidence can be created and the beginning of the COLLECTION PERIOD
• Follow the example below: FIRST TIME EXTERNAL AUDIT
  • Audit Review Period: July 01
  • Evidence Creation Period: Generally at least a 3 month period, so February 01 - May 31
  • Evidence Collection period: Generally 30 days given to evidence owners to provide evidence so June 01 - June 30
  • In this case the Start and End date should be as follows:
  • Start Date: February 01
  • End Date: June 01
• Follow the example below for: SUBSEQUENT, SURVEILLANCE, ANNUAL AUDIT
• The Evidence Start and End Date no longer need to be established
• The Frequency of the collection needs to be established using the drop down
• The system will collect evidence based on the Frequency selected.

Collection Method

• Select Manual to send a notification to an evidence owner
• Select Automated to engage an API integration and contact support@c1risk.com

Collection Due Days

You can adjust the time you allow the evidence owner to provide the evidence to you.

Primary Contact

The Primary is the evidence owner who will provide the evidence for verification. A notification will be sent to the evidence owner starting at midnight on the Evidence End Date and subsequently based upon the Request Frequency selected.

Additional Contacts

If there are collaborators who need to view or share this Evidence Record, they can be added here.

Approval Process

You can choose to add a review process to the Evidence Collection workflow. This will enable two possible additional steps:

1. You can use this as a check and balance to verify the evidence that is collected and either approve or reject it (rejecting re-opens the record with a comment to guide the evidence owner on new/additional evidence to provide.
2. You may add an additional reviewer or multiple reviewers to implement a review process where at least one, all, or all must approve in a specific order. In the case of the latter, the order is specified by adding the owners in order:

1. Example: If Mike approves first, then Jane, the Lynn is the final approval

1. Add Mike
2. Add Jane
3. Add Lynn

                        b. Each time one approves, the next person will be notified that they may now approve or reject.