Exceptions to Risk Results

This feature is available by configuration to allow the auditor to inform AppZen of false positives. False positive violations are expense lines that are incorrectly identified by AppZen as "High Risk", due to AppZen incorrectly identifying a violation or not following your company’s Audit Configuration. AppZen is a machine learning system and auditor feedback is automatically incorporated in future audit detection.

 

Example: Customer’s policy specifies that itemized receipt be submitted for all hotel expenses. However, audit results incorrectly marked a receipt image as non itemized (see image below)


Screen_Shot_2017-11-30_at_8.53.35_PM.png

 

In the above case, when an auditor has to override the high risk score and approve the expense report, the system will prompt the auditor to provide a reason for overriding the risk reason.

 

Reason for Risk Rejection

This feature allows Auditors to specify a reason for approving or rejecting a "High Risk" expense line by selecting a “Reason for Risk Rejection”. The following are the three reasons for Risk Reject:

 

  • Exception approved by management: The risk is correct, but for this particular instance, an exception is allowed and is being approved by management.
  • Example:

 

Screen_Shot_2017-11-30_at_9.14.13_PM.png

 

The risk resulted in an unauthorized expense - electronics. The employee purchased an iPhone X, however, the risk rejection will be “Exception approved by management,” because the purchase is for a test device and the manager was aware beforehand.

 

 

  • Risk is correct, but in-policy: The risk is correct, however, the expense is within company’s policy (This means that the audit configuration probably requires change)
  • Example:

Screen_Shot_2017-11-30_at_9.17.01_PM.png

 

The employee submitted a meal receipt and purchased 3 times the average cost per person, which resulted in a high risk behavior for price auditing. However, the auditor will consider this risk rejection as “Risk is correct, but in-policy” because the risk is correct, but the company’s meal policy threshold is unlimited.

 

 

  • False Positive: The risk was incorrectly identified by AppZen as "High Risk", due to AppZen incorrectly identifying a violation or not following your company’s Audit Configuration.
  • Example:

Screen_Shot_2017-11-30_at_9.18.11_PM.png

 

 

The risk resulted as high because First Class was detected on the Airfare receipt. However, the auditor looked into the receipt and the employee flew coach. Therefore, it is selected as “False Positive” because AppZen detected additional information about the airfare receipt regarding upgrading to first class, and was mistakenly detected as First class instead of coach.

 

How to Use:

 

1. Select a report with the Audit Status “Needs Review”.

 

Screen_Shot_2017-11-30_at_11.25.11_PM.png

 

2. Open the expense report and click either Screen_Shot_2017-11-29_at_11.33.35_AM.png or Screen_Shot_2017-11-29_at_11.33.40_AM.png in the right hand corner:

 

Screen_Shot_2017-11-30_at_11.27.35_PM.png

 

3. Once selected, “Auditor Action” will pop up with a list of the high-risk lines in the report:

 

Screen_Shot_2017-11-30_at_11.52.00_PM.png

 

Screen_Shot_2017-11-30_at_11.29.30_PM.png 

 

 

4.

  • If  Screen_Shot_2017-11-29_at_11.33.35_AM.png  is selected, you have the option to select the line(s) that are false positives or exceptions and select the reason as “Exception approved by management”; “Risk is correct, but in-policy”; or "False Positive".

Screen_Shot_2017-11-30_at_11.31.03_PM.png


  • If  Screen_Shot_2017-11-29_at_11.33.40_AM.png is selected, you can deselect the line(s) that are false positives or exceptions and select “Exception approved by management”; “Risk is correct, but in-policy”; or "False Positive".

Screen_Shot_2017-12-01_at_12.09.49_AM.png

 

5. Once the Risk Rejection has been chosen, a comment can be entered and the “Auditor Action” can be saved:

Screen_Shot_2017-11-30_at_11.34.14_PM.png 

 

6. Once saved an approved:

  • Screen_Shot_2017-11-29_at_11.33.35_AM.png: the report will be approved and next steps will proceed in the Concur workflow.
  • Screen_Shot_2017-11-29_at_11.33.40_AM.png : The expense report will be rejected by Concur and the employee is notified.

 

 

 

***Please reach out to your Account Manager if you have any questions.***