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V9 Assurance – Administrators Guide

DOCUMENTATION

Copyright 2015 The Practice Engine Group Ltd. All Rights Reserved

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CHANGE HISTORY

ORIGINAL DOCUMENT AUTHOR: MICHELLE HARRIS

DATE: JAN 2010

AUTHOR DATE CHANGE

MICHELLE HARRIS OCTOBER 2011 UPDATE TO 8.3

MICHELLE HARRIS JULY 2012 UPDATE TO 8.3.4

MICHELLE HARRIS NOVEMBER 2012 UPDATE TO 8.4.1

MICHELLE HARRIS SEPTEMBER 2014 UPDATE TO V9

MICHELLE HARRIS JANUARY 2016 UPDATE TO 9.3


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CONTENTS

Change History ........................................................................................................................................ 2

Overview ................................................................................................................................................. 5

The Main Steps ....................................................................................................................................... 6

Request ............................................................................................................................................... 6

Validation ............................................................................................................................................ 6

Questionnaires .................................................................................................................................... 6

Gatekeeping ........................................................................................................................................ 7

The Request Process ............................................................................................................................... 7

Creating New Assurance Requests ..................................................................................................... 7

Request Details ................................................................................................................................... 7

Person/ Organisation Details .......................................................................................................... 7

Attributes ........................................................................................................................................ 8

Relationships ................................................................................................................................... 8

Engagement Details ........................................................................................................................ 9

Adding Additional People and Organisations ................................................................................... 12

Submitting Requests ......................................................................................................................... 12

My Assurance Requests .................................................................................................................... 12

Requests created from Prospects ..................................................................................................... 12

Assurance Request Administration ....................................................................................................... 13

The Validation Process .......................................................................................................................... 13

Validation Options ............................................................................................................................ 14

My Offices Request Validations ........................................................................................................ 14

Take Ownership ................................................................................................................................ 14

Questionnaires ...................................................................................................................................... 15

All Outstanding Questionnaires ........................................................................................................ 15

The Gatekeeping Process ...................................................................................................................... 16


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Customising the Assurance Screens ..................................................................................................... 17

Assurance Request Setup.................................................................................................................. 17

Questionnaire Administration .............................................................................................................. 18

Creating and Editing Questionnaires ................................................................................................ 18

Edit Questionnaire ........................................................................................................................ 18

Preview Questionnaire.................................................................................................................. 18

Edit Questions ............................................................................................................................... 19

Edit Applies To Details................................................................................................................... 20

Delete Questionnaire .................................................................................................................... 21

Creating and Editing Questions......................................................................................................... 22

Appendix A – Available Fields in the Request Screens ......................................................................... 24

Person details .................................................................................................................................... 24

Organisation Details .......................................................................................................................... 24

Engagement Details (Client) ............................................................................................................. 25

Appendix B - Additional Information .................................................................................................... 26

Messages ........................................................................................................................................... 26

When a request has been submitted for validation ..................................................................... 26

When validation has taken place .................................................................................................. 26

When the GateKeeping process has taken place.......................................................................... 26

When a timed questionnaire is near expiry or has expired .......................................................... 27

When all mandatory questionnaires relating to a client have been approved ............................ 27

Staff Dashboard ................................................................................................................................ 27


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OVERVIEW

This document is aimed at Practice Engine administrators and anyone involved in the process of

creating contacts and clients.

The Assurance functionality within Practice Engine is designed to support and enhance the

procedures that your Practice will now have in place in response to the Money Laundering

Regulations 2007 (for the UK) which came into force in December 2007. It also helps ensure that

before a client is created that all the required information has been gathered and reviewed.

Assurance is where all new contacts and clients are created, following the Practice Engine™ rule that

all clients are contacts but not all contacts are clients. The contact details consist of basic but

essential information which includes the name, address and telephone number etc. If the contact is

also a client, further details need to be added and linked to the contact details. These details are

called engagement details. Engagement details include the client code (account number), the

partner or manager controlling the account.

The creation of a contact and/or client takes place in these four areas: Request, Validation,

Questionnaires and GateKeeping. Each of these areas is also a level of permission within Assurance.

The use of controlled access rights means that the process of requesting and creating new

contacts/clients can be made available to all staff members at various levels of authorisation. For

example, All Staff members can create a new request, but only Managers, Partners or Administrators

can validate them.


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THE MAIN STEPS

REQUEST

The Request is the most basic level or stage within Assurance. It is also the first step in creating a

new contact and/or client. Any staff member with the Request permissions can create a new

request by entering the necessary information into the online request form which is then submitted

for Validation.

Once a request has been submitted it must be validated to appear within any contact/ client*

searches.

VALIDATION

Validation is the second stage within Assurance. When a staff member has submitted a

contact/client request the request is listed in Validations. Staff with Validation rights can then select

these to validate. A validator must review the information entered within the submission and

decide whether to approve, reject or return it back to the requester for amendment.

If the request is rejected it cannot be amended and resubmitted.

If the request is incomplete it can be returned to the requester so that additional information can be

added or amendments made and can then be resubmitted for validation.

If the request is approved the contact details are created in the database. If the submitted request

included a new client then the approved request is passed back to the requester for any attached

questionnaires to be completed. If questionnaires are not being used, or time limited

questionnaires are being used, the client is created upon the request being validated.

QUESTIONNAIRES

Questionnaires only apply to the creation of Clients. They are an optional feature within Practice

Engine.

Questionnaires can be used to capture and store Money Laundering Information or any other

information that is required at the time of the creation of the client. There are 3 types of

questionnaires that are available – Mandatory, Time Limited and Non Mandatory. The type of

questionnaire that is used will determine when a client becomes valid.

The information needed to complete the questionnaires is fully configurable and is user defined. As

many questionnaires as required can be created for this purpose and can be dependent on services

that are engaged against the prospective client or other defined criteria.

Note: A new client will only appear in the client search if all necessary validations have been

approved. This will also depend on whether Questionnaires are being used.


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GATEKEEPING

Gatekeeper is the highest stage possible in Assurance and only becomes applicable if Questionnaires

are being used. Once the requester has completed all mandatory questionnaires, the GateKeeper

must review the information entered and decide to approve, reject or return it for amendment.

Upon approval of all mandatory questionnaires the requested client details are created in the

database.

THE REQUEST PROCESS

CREATING NEW ASSURANCE REQUESTS

New requests can be created from the New Contact/ Client page of the Assurance menu. This page

opens to display a blank Request form.

Practice Engine works on the principle that – All clients are contacts but not all contacts are clients.

From this, all requests will start with the basic contact details of either the person or organisation,

and if that entity is a client, will give the option to add the engagement details.

Options are available to add a Person or an Organisation to the request. Selecting either option will

load the Details page for the entity.

REQUEST DETAILS

All templates contain a number of pages of basic information:

Contact Details on People and Organisations

Attributes

Relationships

Engagement details, Engagement Attributes, Staffing, Services and Source details

The CRM and Engagement details can be configured to user requirements through the Admin menu.

Please refer to the Assurance Request Setup section later in this document for further information.

PERSON/ ORGANISATION DETAILS

The Person/ Organisation details pages allow the input of contact information for the selected entity

type. The available fields vary depending on whether the entity is a person or organisation.

Mandatory fields are outlined in red.

It is important to Save any changes to information using the Save button at the bottom of the form.

Please see Appendix A for a list of fields that can be configured to show on these pages.

Once all of the Details have been completed and saved, additional tabs will be displayed to enter the

Attributes, Relationship and any Engagement details.


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ATTRIBUTES

The attribute pages allow you to attach any attributes that may be relevant to the contact or

engagement. The available attributes are user defined.

The attributes will be grouped/ displayed by Attribute page. If no attributes are being displayed, click

onto the Attribute page name to expand the grouping of attributes.

Save any changes made to the attributes for the request using the Save button which will appear

once information has been entered against an attribute.

RELATIONSHIPS

This page allows relationships to be defined between the contact and either existing contacts on the

database or contacts within the request.

Relationship details and preferred connections can be set.

Clicking onto the Add Relationship button opens a Relationship Details dialog. Select to either create

a relationship to an existing contact (one already on the database).or to a new contact (one from

within the request).

If selecting a new contact, select the contact from the drop down list. If selecting an existing contact,

search for the contact by typing the name into the contact field.

Choose the connection type for the relationship – the options available here will depend on the type

of contact selected.

Enter a title for the relationship – this could be the same as the connection type or different.

The Relationship number can be used to enter a link to other systems – this is for informational

purposes only.

The Notes field can be used to add additional information regarding the relationship. The

Relationship date will be auto populated with the current date.

Check the Preferred checkbox to indicate that the relationship is to be set as a preferred connection.

Save any changes made to the relationship details. Repeat the process for all relationships that are

required.


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ENGAGEMENT DETAILS

The Engagements page can be accessed by clicking onto the Engagements tab. It collects information

such as Client Details, Engagement Attributes, Services, Jobs, Staffing and Source Details.

CLIENT DETAILS

The Client Details form contains information such as client code, engagement partner, engagement

manager etc. Mandatory fields are outlined in red.

The client code can be auto generated by clicking onto the Generate button. This will create the next

available code based on the predefined format. It will not take into account any codes that are being

used on other requests that have not been validated.

Enter all Engagement Details that are required and click onto the Save button to activate the

additional tabs.

Additional Engagements can be added by clicking onto the Create Multiple Engagements link. This

provides the opportunity to add an additional engagement to the entity.

Please see Appendix A for a list of fields that can be configured to show on this page.

ATTRIBUTES

This page displays the engagement attributes for the client. The available attributes are user

defined.

Save any changes made to the attributes for the request using the Save button.

SERVICES

Allows for services to be added and configured for the engagement. By default the service will

inherit the engagement partner/ manager, but this information can be changed.

Click onto the Add Service button – this will allow any service to be added and the service

information to be edited at the same time. Alternatively, select Add All from the selection list to add

all available services to the engagement.

Ensure that all additions and changes are saved by clicking onto the Save button before moving to a

different tab.

Field Description

Service: Select the service to be added.

Partner: The service partner. This defaults to the engagement partner. Another partner can be selected from the dropdown list.

Manager: The service manager. This defaults to the engagement manager. Another manager can be selected from the list.


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In Charge: The staff member in charge of the service, defaults to the engagement manager but can be changed. Enter the name of the staff member to be used and select from the listed options.

Department: The department the service belongs to.

Budget: The budget allocated to the service.

Hours: The amount of hours to be charged to this service.

Provision: Any provisions made for the service.

Recurring: This is ticked if the service is recurring.

Active: Activates or disables the service from the clients account. If this box is un-ticked, time cannot be charged to this service for the selected client.

Started: The date that time can first to be charged to the service for the selected client.

Charge Band: Select the default service charge band from the dropdown list. This charge band will be pre-selected within the timesheet entry page when this service is chosen to input time against. A ‘No Default’ option can be selected if a default charge band is not required.

Rate Type: A feature at the Client, Service and Job level that will calculate WIP values based upon the set Rate Type. There are three possible rate types that can be applied:

Standard (default) – this will apply the staff members charge rate to any WIP on the Client, Service or Job.

% of Standard – this will apply a percentage value to any WIP on the Client, Service or Job. This allows for the WIP to be either discounted or charged at a premium without being dependent upon the staff member having an appropriate charge rate.

Flat Rate – this will apply a flat charge rate to any WIP regardless of the staff member’s charge rate.

JOBS

The Jobs tab allows Jobs to be created for the services that have been added to the engagement.

Click onto the Add Job button to open the Job dialog.

Select the Service that the job is to be created for. Select the associated template that is required.

This will populate the job name but can be edited as required.

The Partner, Manager and In Charge will default from the Service partner and manager but can be

changed.

Make any further changes that may be required to the dates and save the details using the Save

button at the top of the form. Repeat for all jobs that are required for the Engagement.


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STAFFING

This page allows staffing other than the Engagement, Service or Job level Partners/ Managers to be

defined. The relationships that are available for this page are dependent upon them being created

within Categories Etc.

SOURCE DETAILS

The source details page allows information about where the client came from to be collected. The

available information is:

Field Description

Date: The date that the client was gained. This will auto populate with the current date.

Source: The source through which the client was gained e.g. marketing campaign etc. This is a category-controlled field that is set within Categories Etc.

Introduced by: This field allows the name of an existing contact or staff member who introduced the client to be entered. When entering the name an auto fill list will appear that will allow the required contact or staff member to be selected.

Reason: A drop down list, from Categories Etc, displaying the reason for gaining the client.

Details: Any other details regarding the gain of this client can be entered here.

Prior Accountants: Accountancy practice the client was either using previously or is using at present.

Recurring Fee: The amount of any recurring fees the client is charged.

Special Fee: The amount of any special fees the client is charged.

Referral Fee Payable: This is ticked if the contact/client in the Introduced By field is to be paid a referral fee.

Payee: The person the referral fee is payable to. Enter the name of the payee and select from the list that will be displayed.


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ADDING ADDITIONAL PEOPLE AND ORGANISATIONS

Additional people and organisations can be added at any time by clicking onto the Add Person or

Add Organisation buttons.

SUBMITTING REQUESTS

Once a request has all of the necessary information it can be submitted using the Submit button

ready for validation.

Any partial requests will be saved until they are submitted. Any changes that have been made but

not saved using the Save button will not be saved.

MY ASSURANCE REQUESTS

The My Assurance Requests page is an area that allows you to access any saved or submitted

requests. It can be found on the Assurance menu.

Saved requests can be loaded for editing by clicking onto the contact name or can be deleted using

the Delete option from the Action menu next to each request.

Submitted requests can be viewed by clicking onto the Request name.

Requests can be searched for using the search field at the top of the page

REQUESTS CREATED FROM PROSPECTS

When an opportunity is marked as closed on a new prospect, Practice Engine will convert the

prospect details into an Assurance Request. This request will be saved in the Assurance Requests list

for the person who created the prospect and can be edited, submitted and validated in the same

way as any other request.


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ASSURANCE REQUEST ADMINISTRATION

The Assurance Request Administration page can be accessed from the Assurance menu. It can be

used to review and access all requests – saved, submitted and approved.

Clicking onto the name of the request will access a review page that details the people, organisations

and clients that have been requested. It is also possible to view the details of any of the elements of

the request. For Engagement details it is also possible to view and complete any associated

questionnaires.

THE VALIDATION PROCESS

The validations area can be accessed from the Validate Request page in the Assurance menu. It

provides access to all submitted requests.

The ‘Validations’ page consists of three tabs:

Tab Description

All: Displays all Requests awaiting validation.

Mine: This displays all validations that the user who is logged in has been working on.

Unassigned: This displays all the requests that have not yet been looked at by any of the validators. Once an unassigned request is selected (by clicking the description) it will, in future, be listed in that staff members validations list.

To open the request that requires validation click on the Request Name or the Validate action.

The validator can review each section of the request and make any changes that may be required.

Clicking onto the Take Ownership action will assign the validation of the request to the logged in

user.


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VALIDATION OPTIONS

Following the review of the request, the validator has the following options:

Button Description

Approve: If all the required information has been entered correctly, and any similarities if they existed have been investigated, the submission can be validated by clicking the Approve button. The submitted contact data will be entered into the database.

Return to Requestor:

If the information submitted is incomplete or incorrect, the submission can be returned to the requester and more information added or amended as appropriate. The reason for the request being returned must be entered into the 'Information Required field' and then the Return button can be clicked. It is possible to add further notes into the Notes field.

Reject: If the information in the request is incorrect or an existing contact is duplicated, the reject option can be used. The reason for the request being rejected must be entered into the Rejection Reason field and then the Reject button can be clicked. It is possible to add further notes into the Notes field.

Clicking Approve, Reject or Return will return to the main Validations page.

MY OFFICES REQUEST VALIDATIONS

The office validation page shows all current submitted requests from staff members in the same

office as the person that is currently logged in and is completed in the same way as the ‘Validation

section’.

TAKE OWNERSHIP

If the need arises to change the staff member validating the request, it can be done though the Take

Ownership action on the Validation pages or through the Unassign Request Validations page under

the Assurance menu. Once the Request has been unassigned it can be validated by any validator.

Note: A rejected request cannot be amended and re-submitted.


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QUESTIONNAIRES

If questionnaires are being used, then they are created and available for completion by the

requestor once the Request has been validated. They only apply to Engagements.

There are several ways to access the questionnaires – all are available from the Assurance menu:

Assurance Request Administration

My Outstanding Questionnaires

All Outstanding Questionnaires The Assurance dashlet on the Staff Dashboard also provides access to any questionnaires for the requestor.

Questionnaires can be viewed by clicking onto the questionnaire name to open it.

The list of questions to be answered will be displayed. Mandatory questions are shown in red. Once

all questions have been answered, click the Submit button or click the Save button if the

questionnaire is to be completed later.

When the Submit button is clicked, the Questionnaires page will be displayed again and the

submitted questionnaire will be omitted from the list.

As each questionnaire is submitted it is passed to the GateKeeper for approval. For mandatory

questionnaires, the client is not created until the questionnaire has passed the Gatekeeping stage.

ALL OUTSTANDING QUESTIONNAIRES

The All Outstanding Questionnaires page displays all questionnaires that are outstanding regardless

of the requestor.


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THE GATEKEEPING PROCESS

All submitted questionnaires are listed under Gatekeeping page of the Assurance menu and are

viewed by clicking on the questionnaire name or the Open Questionnaire link.

A gatekeeper can only see questionnaires where they are part of the approval group for that

questionnaire.

The GateKeeper must decide to Approve, Return to Requestor or Reject the questionnaire

depending on the information that has been entered.

Button Description

Approve: If all the required questions have been entered correctly the questionnaire can be validated by clicking the Approve button.

Return to Requestor:

If the questionnaire submitted is incomplete or incorrect it can be returned to the requester for amendment. Enter details of the 'Information Required' and click the Return button. It is possible to add further notes into the Notes field.

Reject: If the questions have been answered incorrectly and as a result the client cannot be created under any circumstances the questionnaire can be rejected. The reason for rejection must be entered into the Rejection Reason field and then the Reject button clicked. It is possible to add further notes into the Notes field.

Clicking the Approve, Reject or Return button will return to the main GateKeeping page

Once all questionnaires flagged as Mandatory have been approved the client record will be created

in the live database and their account activated.

Note: A rejected questionnaire cannot be amended and re-submitted. If a mandatory

questionnaire is rejected then all other questionnaires relating to the request will also be rejected.


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CUSTOMISING THE ASSURANCE SCREENS

The Assurance Request screens can be customised to show many of the fields that are contained

within the main Contact Details and Client Details screens. This allows the system to emulate the

New Client Forms that many firms use.

It is good practice to tailor the assurance screens to gather the important information for the firm.

This encourages information to be completed as well as avoiding the need to enter some details

through the assurance request and some details through the main contact or client details pages.

ASSURANCE REQUEST SETUP

The Assurance Request Setup page is found on the System Maintenance section of the Admin menu

and controls what fields will be displayed on the Person Details, Organisation Details and

Engagement details pages of the assurance request.

Each of the steps is displayed in three tabs along the top.

Person

Organisation

Client

The available fields are displayed in the left window. The Selected fields are displayed in the right

window.

Move the required fields into the chosen panes by right clicking on the field and selecting to Add.

Right click on the field and additional options will appear in the context menu allowing the field to

be moved Up or Down, Edited or Deleted back to the Available Fields list.

Selecting Edit will allow the field’s properties to be edited as described below:

Field Description

Prompt: This is the label the field will be given on page.

Input Width: The width of the input field.

Input Height: The height of the input field.

Multi-line: Dictates whether the field will allow multiple lines of text to be entered.

PE Required: Is this field required by Practice Engine™?

User Required: This field is required by the user, regardless of PE’s requirement?

Value List: This will allow the input of a list of values or selection of a category controlled list.

Validation Expr: This field allows for a validation expression to be used to determine an input mask for the field.

Error Message: If the field is not entered and is a requirement, the error that will be displayed is entered here.


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Click the OK button to save changes or the Cancel button to exit without saving changes.

QUESTIONNAIRE ADMINISTRATION

Questionnaires are an optional feature of the Assurance process. They can be used to ensure that

specific criteria have been passed before the Client is created. They do not apply to Contacts.

CREATING AND EDITING QUESTIONNAIRES

The questionnaires that are used in the Assurance process are created and maintained from the

Questionnaires page on the Admin menu. It is here that questionnaires can be created and tailored

to fit all requirements and can be flagged as mandatory questionnaires or to be required upon the

assignment of certain services to the new client.

A list of existing all questionnaires will be displayed. This list will also show non assurance related

questionnaires.

New Questionnaires can be created by clicking onto the New Questionnaire button, which will

display a dialog box containing fields where a description can be added, the width and height of the

questionnaires can be set, a watermark can be applied to the questionnaire and the questionnaire

can be marked as active.

Existing questionnaires can be maintained by right clicking and accessing the context menu attached

to each questionnaire. The options that are available are Edit Details, Preview Questionnaire, Edit

Questions, Edit Applies To Details and Delete Questionnaire.

EDIT QUESTIONNAIRE

Selecting this option allows the main description, size, watermark and Active? to be edited.

PREVIEW QUESTIONNAIRE

This option will display the questionnaire and its associated questions.

Note: The watermark should be the file name of the image to be used as the watermark. The

image must reside in the <PracengRoot>\Images folder on the server.


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EDIT QUESTIONS

This page allows questions to be associated with questionnaires as well as the ability to edit existing

questions that are attached to the questionnaires.

The initial display shows questions already attached to the questionnaire. Right clicking on an

existing question gives the options to either edit the question or delete the question from the

questionnaire.

A new question is added by clicking onto the New Question button. A Select Question dialog

window will be displayed.

A question from the master question list can be selected by clicking onto it – the Add Question

dialog will be displayed to allow the question details to be configured as described below:

Field: Description

Question: The text of the question.

Field Order: The order that the question will appear on the questionnaire.

Mandatory: Marks whether the question has to be answered.

Expected Value: If the question has been marked as mandatory it is possible to insert the value/ answer. that is expected

Required Question: The required question can be used to indicate that this question should only be enabled if the Required Question has been answered.

Required Value: If the required question has been set, then this field can be used to make the question available only if the required value has been met.

Equals or Not

Equals:

A tick in this checkbox indicates that the answer to this question must equal the required value.

Alternatively a new question can be created by clicking onto the Create New Question button. A

Create New Question dialog window will be opened. Please refer to the section Creating and Editing

Questions for further information.


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EDIT APPLIES TO DETAILS

Selecting Edit Applies To Details from the context menu gives the option to add Applies To details to

the questionnaire. Clicking onto the New Applies To button will display the Edit Applies To Details

dialog:

GENERAL

The options on this tab allow the configuration of how and when the questionnaire is to be used.

Field: Description

Applies To: Options include Draft Fees, Assurance, Client, Contact, Staff and Jobs. Currently only Clients, Jobs, Fees and Assurance apply.

Conditional: Indicates that the questionnaire is conditional. This means that the questionnaire will only be displayed is the condition specified in the Condition text box is fulfilled.

Condition: The condition that has to be met in order for the questionnaire to be displayed. This must be written as a SQL statement that returns a value of 1 if the condition is met. Please contact Support for further assistance.

Mandatory: Indicates whether this questionnaire requires approval. Options that are available include Mandatory, Time Limited and Non Mandatory.

Not Mandatory: This option means, upon validation of the contact details, the questionnaire will be attached to the client request, awaiting completion, its completion, however, is not mandatory and the client request can still be approved by the GateKeeper even if the questionnaire has not been completed.

Mandatory: The Mandatory option makes the completion of the questionnaire mandatory, the client request cannot be approved by the GateKeeper until all requirements have been fulfilled.

Time Limited: This option is almost across between the two other options. The client request can be approved by the GateKeeper, even if the questionnaire has not been completed, but the completion of the questionnaire is still mandatory. The Time Limit option puts a timeline on the approval of the client request, if, after the relevant number of days that the questionnaire has still not been completed, the clients account status will be ‘locked‘, suspending all work on the client until the questionnaire requirements have been met.

Mandatory Days: For Time Limited questionnaires only. This sets the number of days that the approval group has got to approve the questionnaire.

Approval Levels: Questionnaires can have up to 3 levels of approval. Select whether the questionnaire requires approval or not, and how many levels of approval are required.


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RECURRING

The options available on this tab indicate whether the questionnaire is for single use or should recur.

Field: Description

Recurring: Indicates whether the questionnaire is recurring.

Recurring Interval: Indicates the number of months/ years as the recurring interval.

Recurring Period: Set whether the recurring interval is months or years.

Recurring Mandatory: Indicates whether the recurring instances of the questionnaire should be Mandatory, Time Limited or Non Mandatory.

Recurring Mandatory

Days:

For Time Limited questionnaires only. This sets the number of days that the approval group has got to approve the questionnaire.

APPROVAL

This tab provides the option to set the approval for the Questionnaire if the Approval level on the

General tab has been set to be approved.

Right click under the Level, Title and Group headings. A context menu will be displayed with the

option to Add an Approval level. A dialog with the following options will be displayed:

Field: Description

Approval Title: Enter a title for the approval level

Approval Level: Set the approval level to which it will apply

Approval Group: Set the group that is to approve the approval level

Email on Submit: An email address or multiple email addresses can be entered. On submission of the questionnaire, the designated email addresses will receive an email notification.

Default wording type: Select any default wording to be used in the email notification. These are created in Categories Etc

Default Wording: Once the default wording type has been selected, associated wording will be available to select.

DELETE QUESTIONNAIRE

This option will delete the questionnaire from the system. Questionnaires should not be deleted if

they have been used against clients, they should be marked as Inactive instead.


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CREATING AND EDITING QUESTIONS

This page allows master questions to be created and maintained for all questionnaires.

New questions can be created by clicking onto the New Question button.

Field: Description

Category: Indicates the area that the question applies to. These areas can be defined with Categories Etc > Categories >Question Categories

Question: The question description.

Data Type: This is the type of data that is to be given in answer to the question. ‘Bit’ and ‘Image’ will affect the options listed in the Input Type field.

Data Size: Depending on which Data Type has been selected this option can be irrelevant, but if a Data Type such as ‘Text’ is selected, the answer can be required to be limited to a maximum number of characters.

Input Type: This option governs what type of field is available for the answer to be entered into and the options available in this list depend on what Data Type has been selected. Almost all Data Type selections result in ‘TextBox’ and ‘Dropdown’ Input Type selections to be available. If ‘bit’ has been selected as a Data Type, the options available in the Input Type will be ‘Checkbox’ and ‘Dropdown’. If ‘Image’ has been selected as the Data Type, the option available in the Input Type will be ‘Browse’ (allowing the user to browse for an image in order to answer the question).

Input Width: This value represents the width of the input field where the answer is to be entered/selected. The standard value is 200.

Input Height: This value represents the height of the input field where the answer is to be entered/selected. The standard value is 20.

Multiple Lines: If the input can contain several lines of text and the input field is to wrap the text, this check box should be ticked.

Value Type: If a ‘Dropdown’ box has been selected as an Input Type, this option determines where the values that populate the box are derived from. The available options are displayed below.

Category: If the Values in the list are derived from a category in the Categories Etc section, select the Value Type ‘Category’ and enter the name of the relevant category into the Value List.

Value List: It is possible to create a value list within the question details, select ‘Value List’ as the Value Type and enter the values into the Value List field. The format must be of the form: Answer 1 ; Answer 1 ; Answer 2 ; Answer 2 ;

SQL Query: If the values in the list are derived from the results of an SQL query, select ‘SQL Query’ in the Value Type and enter the name of the relevant SQL Query into the Value List.

Value List: See descriptions of Value Type for further details.

Validation If ‘Textbox’ was the Data Type selected, this field will become active to accommodate the required expression (if any) that will validate the text


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Expression: inputted into the field. E.g. if the text that is to be entered into the field is to have two characters then a backslash then three further characters, the relevant expression value can be entered into this field to ensure the data entered applies to this rule.

Existing questions can be modified by using the right click context menu. Options available are Edit

Question and Delete Question.


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APPENDIX A – AVAILABLE FIELDS IN THE REQUEST SCREENS

The CRM details and Engagement details forms within the Request process can be customized from

the following list of fields. These are all standard fields within Practice Engine.

PERSON DETAILS

Name Address Spouses Name

Salutation Town/ City Spouses NI Number

Forenames Postcode Office

Initials County Code

Title Country D.O.D

Suffix Telephone No Primary Staff

Sex Mobile No Business Type

D.O.B Email Address NI Number

Short Name Docex Folder

Known As Fax No Image

Nationality Modem Occupation

Marital Status Web Page Address

ORGANISATION DETAILS

Name Telephone No Primary Staff

Shortname Fax No Image

Address Email Address Business Type

Town/ City Mobile No Office

Postcode Salutation Code

County Docex Web Page Address

Country Folder Modem


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ENGAGEMENT DETAILS (CLIENT)

Name Year End Rating

Short Code Supervisor Service Level

Code Billing Memo Credit Letters

Organisation Charge Band Statements

Office Credit Contact DRS Limit Value

Department Credit Email Folder

Partner Credit Fax Number Billing Cycle

Manager Credit Phone Number Interest

Group Credit Contact Salutation Domiciled

VAT Code Credit Status Originator

VAT Number Ownership WIP Trigger Value

Currency Payment Terms WIP Limit Value


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APPENDIX B - ADDITIONAL INFORMATION

MESSAGES

Many actions in the Assurance system generate ‘system messages’ which are accessed through the

staff dashboard. Below is a list of actions that will cause one of these messages to be sent to the

relevant staff.

WHEN A REQUEST HAS BEEN SUBMITTED FOR VALIDATION

Message Description

Assurance Request Requires Validation. Notifies anyone within the validator group that there is

an assurance request to be validated.

WHEN VALIDATION HAS TAKEN PLACE

Message Description

Assurance Request Validation Passed. The validator has reviewed the information within the

request and approved it. Any new contacts within the

request will have been created.

Assurance Request Information

Required.

The validator has reviewed the request and returned it to

the requestor for further information.

Assurance Request Rejection. The validator has reviewed the request and has rejected

it. Any new contacts within the request will not have

been created.

WHEN THE GATEKEEPING PROCESS HAS TAKEN PLACE

Message Description

Assurance Questionnaire Approved. The Gatekeeper has reviewed the submitted

questionnaire and approved it.

Assurance Questionnaire Information

Required.

The Gatekeeper has reviewed the submitted

questionnaire and returned it to the requestor for

further information.

Assurance Questionnaire Rejected. The Gatekeeper has reviewed the submitted

questionnaire and rejected it. If this is a Mandatory


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Questionnaire then all other questionnaires relating to

this client will also be rejected and the client will not be

created.

WHEN A TIMED QUESTIONNAIRE IS NEAR EXPIRY OR HAS EXPIRED

Message Description

Assurance Questionnaire Expiry

Warning.

The timed questionnaire is nearing the date that it must

be completed by.

Assurance Questionnaire Expiry. The timed questionnaire has not been completed and

submitted within the required period. The client will NOT

be available within the system until the questionnaire

has been approved.

WHEN ALL MANDATORY QUESTIONNAIRES RELATING TO A CLIENT HAVE BEEN

APPROVED

Message Description

Client Assurance – New Client Created The whole process has been completed and the client

has been created with a status of NEW.

STAFF DASHBOARD

Providing that the staff dashboard is configured to do so, Assurance requests for a staff member can

be displayed.

From left to right the icons mean the following:

Icon Description

Saved Requests Total of saved requests.

Returned Requests Total of returned requests.

Submitted Requests Total of submitted requests.

Approved Requests Total of approved requests.

A list of the requests that comprise the total can be seen by clicking the total.

The total of Questionnaires awaiting completion is also displayed, to see a list, click the total.

Any questionnaires awaiting the Gatekeeping process can be seen. To access these questionnaires

click onto the total.

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