Approval and effectiveness verification circuit of measures

Approval circuit for a measure

Certain measures require the approval of a specific person before implementation. You have two options to activate it: manual or parameterised.

Activate approval manually

1. Access the measure detail screen and check Activate measure approval circuit. The Approval status field and the Approval tab will be activated.
2. In the Approval tab, indicate the position and the name of the employee responsible for approving the measure.
3. The responsible person will indicate the Approval status: Draft, Pending approval, Approved or Rejected.
4. The responsible person will indicate the approval date or the rejection date, along with observations if desired.
5. Click Save.

Tip

You can indicate only the Approval responsible field without having to select the Position. The programme will send a notification to the employee to manage the approval.

Caution

• When the circuit is active, the measure cannot be closed until the approval status is Approved.
• Only if the measure is Approved will the change of implementation status be notified to its responsible parties.
• When changing to Approved, the Approval date is automatically filled with the current date.

Parameterise default approval

1. Access Smartosh Settings.
2. Go to the Measures tab and check the boxes for the types of measures where you want the circuit to be activated by default.
3. Click Save.

Note

• Each time you create a measure of the configured type, the approval checkbox will be automatically checked.
• Even if you have it preset as inactive, you can always activate it manually from the measure detail screen.

Change approval status in bulk

1. Go to Risks > Measures and select the records.
2. Open Operations > Change approval status in bulk and choose the status.

Consequences by status

Status	Consequence
Draft	Does not change if the implementation status is not Not started. Approval responsible parties will not be able to manage them.
Pending approval	Does not change if the implementation status is not Not started.
Approved	Does not change if the implementation status is not Not started. Clears rejection date and fills approval date with the current day. Activates the implementation status and allows management by responsible parties.
Rejected	Does not change if the implementation status is not Not started. Clears approval date and fills rejection date. The implementation status of measures and tasks changes to Cancelled and responsible parties cannot manage them.

Caution

• If changed to Draft or Pending approval, the implementation status of measures and tasks is deactivated.
• Any status change, if the effectiveness verification circuit is active, deactivates its status and responsible parties will not be able to manage it.

Effectiveness verification of a measure

Some measures, before closure, must undergo an effectiveness evaluation.

Activate the verification circuit manually

1. In the measure detail screen, check Activate measure effectiveness verification circuit. The Effectiveness verification status field and the Effectiveness Verification tab will be activated.
2. In the Effectiveness Verification tab, indicate the position and the name of the responsible employee.
3. The responsible person will indicate the Effectiveness verification status: Not started, Pending effectiveness verification, Verified: effective, Verified: ineffective, Verified: ineffective with new measure.
4. The responsible person will indicate the effectiveness verification date and, if desired, observations.
5. Click Save.

Note

• If the measure’s implementation status is In progress, the Effectiveness verification status field will remain inactive until the circuit is started.
• The circuit is activated when the measure changes to implementation status Closed.
• Only if the measure is the only or last closed and the verification is Verified: effective, the associated risk factor, non-conformity, opportunity or objective will automatically change to Pending closure.
• If the Effectiveness verification date is filled in and saved, the status automatically changes to Verified: effective if it is not already.

Parameterise the verification circuit

1. Access Smartosh Settings.
2. Check the types of measures where you want the circuit to be activated by default.
3. Click Save.

Note

The configuration applies only to new records generated from the moment of configuration.

Change verification status in bulk

1. Go to Risks > Measures and select the records.
2. Open Operations > Change effectiveness verification status in bulk and choose the status.

Consequences by status

Status	Consequence
Not started	Activates the implementation status of measures and tasks. Responsible parties can manage them.
Pending effectiveness verification	Clears the verification date if it was filled in.
Verified: ineffective (with new measure)	A new measure must be created which, when verified, is effective.

Caution

• The status only changes if the implementation is Closed.
• Changing to Not started or Pending effectiveness verification clears the verification date.
• Changing to Verified: effective or Verified: ineffective fills the date with the current day.
• Changing to Verified: effective or Verified: ineffective causes associated factors, non-conformities, opportunities or objectives to change to Pending closure (if the measure is the only or last one closed).