Vault - Audit Review Section

From now on, there will be a new section available in Vault for audit purposes under the name of Audit Reviews. This section will be devoted to specific users that will perform the job of an auditor. This means that they will have the possibility to complete a Questionnaire in real time for a specific user/agent via Vault while carrying out the audit process.


For each question in the Audit Questionnaire, a correlated violation will be associated. Each question/violation will have a predetermined action to be performed by the system.


If a single audit has too many triggers, an automatic agent deactivation will take place later on that day outside working hours. On the other hand, minor violations will send email notifications for follow up, but will not deactivate the agent. 


Procedure

After logging in Vault, auditors will have to click on the Quality Assurance option from the left menu. Once done, a list of subsections will become available, from which users will have to click on the one located at the very right under the name of Audit Reviews:

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Once there, auditors will be able to SEARCH for existing audits or CREATE a new one.

SEARCH AUDIT

Auditors will have three different boxes where they will be able to look up an audit already performed based on:

  • the audit Status, that has four variants: 

    •  Passed: All questions were answered successfully. This means that there were no issues during the audit process and there will be no need to perform a follow-up to the agent. 
    • Not Passed: The audit was found faulty due to a major violation. Since the status is decisive, the follow-up option will not be available and the user will remain active, unless there is a need to suspend or deactivate the user manually.
  •  
    • Failed: One or many questions require a follow-up, reason why the agent’s user will remain suspended. As previously explained, a follow-up will be required for these cases.
  •  
    • Not Found: The agent could not be found; therefore, no questions could be asked. This does not count as an audit. No follow-up needed.

  • the Creation Date, when the audit was submitted.
  • the agent’s name or last name, that can be introduced using the Filter by Keyword option.

As the image below shows, after performing a search, Vault will provide basic information of the audits that were pulled up. Each audit will have its own REVIEW ID number, as shown in the first column. The AGENT and AUDITOR names will be displayed later, as well as the START DATE when the audit was performed along with its STATUS. The STAGE section will allow users to leave a comment, if applicable. Finally, the ACTIONS column will present two different options:

  1. Follow-up: This option should be selected in case an auditor is interested in creating a new audit related to a previous one. By performing a follow-up, auditors will be able to determine if the agent’s behavior changed over time. There will be a maximum of 2 follow-ups per audit entry.
  2. If an audit is shown as Not Found, a new audit can be created by selecting the Create New option.

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CREATE NEW AUDIT

By pressing the  button, auditors will be able to start the audit process from scratch. In this section, users will be presented with a General tab where the Agent Information will be populated.

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The first step to start the audit process is to locate the agent. To do so, auditors will have to introduce either the agent’s name or last name. The following image illustrates how the available options will prepopulate while performing the search in the AGENT NAME box.

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If the search is successful, Vault will prepopulate the rest of the fields with the respective PROMO CODE, the VENDOR to which the agent is associated, and also the SUBCONTRACTOR.

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Once all the fields are complete, the auditor will be able to click on the ba6.png button to start the audit process. If the user selected is not the correct one, auditors will also have a CANCEL button available to go back to the previous step.

In the first section, auditors will be presented with a set of Yes/No questions that they will have to answer. Once done, the SUBMIT button located at the bottom right corner should be pressed.

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Audit Fail – Agent not present

In order to perform the audit, the agent must be present, reason why the first question will ask the auditor if they were able to locate the agent. If that is the case, the audit process can go on, but if the agent is not present, and the NO option is selected, the following message will be displayed.

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For these scenarios, the final audit status will change to Not Found, and the process will be finished. As shown in the left, after performing an audit, the Audit Result tab will become available, which shows the final audit status along with an Audit Summary, that displays the status for each of the audit criteria. The Report Card will also indicate the Agent Status after the audit was performed.

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Audit Passed

On the other hand, if the auditor answers the complete questionnaire and no triggers were activated, the Questionnaire will be saved, and the auditor will be informed as shown below. Auditors will also have the opportunity to leave a comment in the Additional Information section, in case there is something to point out. Apart from that, at the bottom section, auditors will find the UPLOAD FILE section, in case they are interested in uploading any document, picture, etc., that may be relevant to the audit process.

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Once the information is submitted, the audit process will be finished. The system will show a pop-up indicating all the actions that were taken during the process.

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This is how the Audit Result section will look like if the audit process is passed. The Report Card will indicate that the agent can resume work without any problems and their user status will remain Active.

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For an approval case, the Audit Summary section will show a Passed status for all the Audit Criteria. The COMMENTS / NOTES section will also display the message left by the auditor, if any.

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Event Log

Finally, if auditors wish to review the audit step by step, they will be able to do so by clicking on the third tab available, Event Log. As you can see, the Audit review entry from below shows how the audit was performed by a specific Auditor, on a specific Date, and got a specific Result.

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For audits that have not been passed, users will see in the event log the same information, but there will be an additional button, START FOLLOW UP, in case there is a need to create an additional audit in the near future.

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For scenarios where the agent fails the audit, Vault will show a status change, that in this case will be from Active to Suspended.

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Marketing Materials & Professional Behavior

If the Marketing Materials questions is answered with a No, a dropdown menu will become available for the auditor to introduce one of the options displayed below.

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There will also be a dropdown menu available in case the agent exhibited unprofessional behavior. Auditors will have the possibility to select the most suitable option for the specific scenario.

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Right after submitting the answers, auditors will have to describe the reason why the agent did not pass the audit process.

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As explained before, apart from the Comments section, auditors can upload documents, pictures, or any kind of evidence that may contribute to the audit process.

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In the Audit Summary section, users will see that the Proper Marketing Material or the Professional Behavior will be marked as Not passed.

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Although the Report Card section will show that the audit was not passed, the Agent Status will remain Active, which means that the agent can continue working.


Audit Fail – Selling for Multiple Providers

If the agent is found to be working for a provider different than SafeLink, the agent’s user will be deactivated, and there will be no need to continue with the questionnaire due to an infringement of SafeLink’s TOS.

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For this reason, the Report Card section will show the Audit Failed message, along with the Suspended Agent Status. The Audit Summary will also indicate that the audit was not passed due to the agent Selling for Multiple ETCs.

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As the following image indicates, if the audit needs to be marked with a Fail, a follow-up cannot be performed, and the audit will be reviewed to make sure that the agent’s user needs to be deactivated. Auditors will have to leave a comment if they want to continue and select the ba24.png option. On the contrary, if they want to resume the questionnaire, they can do so by pressing the RESUME QUESTIONNAIRE button.

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Whichever the reason provided by the auditor, the audit will be Marked as Failed by Auditor, and the agent’s user will get Suspended.

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Questionnaire Cancelation

If at any point of the Questionnaire, the auditor decides to stop the process, they will have to click on the CANCEL QUESTIONNAIRE button, located at the bottom left corner of it. If pressed, the following pop-up will be shown.

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As the image above shows, the auditor will have the chance to RESUME QUESTIONNAIRE, in case they wish to continue with the audit, but if otherwise, the ba28.png option should be selected.


Follow-ups

If a follow-up is performed successfully and the agent’s behavior has been corrected, auditors will have to complete the questionnaire marking all the correct answers. Once in the Report Card section, they will see the Audit Passed message. The Audit Summary will also indicate that the Professional Behavior has been corrected and will show a Passed status.

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Note: If auditors want to get detailed information about the audits, agents, status, etc., they will be able to do so by referring to the Insights section from Vault, where they will be able to export the information in a CSV format.

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