ERM | Audits

Employee Records Management (ERM) Audits provides a unified module which consolidates employee records, reduces search times, ensures accuracy, and enforces role-based permissions for secure and efficient document management. The feature is available as a purchasable add-on module that must be enabled by an implementer or support agent before users can access it. Once enabled, users have access to the Audit Dashboard, Audit List, Audit Configuration, and Audit-related Roles & Permissions from within Settings.

Note: Contact VisualVault Sales or Client Success to add on ERM Audits.

Objective

ERM Audits streamlines the entire audit process by centralizing employee records and supporting each stage of the audit lifecycle. Audit Leaders, Compliance Teams, and Auditors benefit from a single location to create and manage audits, upload and review documents, verify accuracy, and collaborate during in-person reviews — replacing fragmented processes with a structured, role-aware workflow.

Before You Begin

Before using ERM Audits, confirm the following:

Requirement	Details
ERM Base Solution	The ERM base solution must be configured before the Audits add-on module can be used.
Audits Module Enabled	The Audits add-on module must be purchased and enabled by an implementer or support agent.

Navigating to ERM Audits

Log in to VisualVault and open the ERM application to access the Audit Dashboard or Audit List from the main navigation menu.

Log in to VisualVault with your credentials.
Open the ERM application. The application opens to the Employee Dashboard homepage.
Select Audit Dashboard or Audit List from the left navigation menu.

When you arrive, the selected audit screen loads displaying your audit data and available actions based on your assigned role and permissions.

🔍 Troubleshooting Note: If Audit Dashboard or Audit List do not appear in the left navigation menu, the Audits add-on module may not be enabled for your organization, or your role may not include access to audit functionality. Contact your administrator to confirm the module is active and that your account has the appropriate permissions assigned.

How to use

Audit Dashboard

The Audit Dashboard displays visual data summarizing audit activity across employees, documents, document types, and departments.

Select Audit Dashboard from the left navigation menu.
Review the visual data panels to monitor audit activity. The following metrics and visualizations are available:

Summary Metrics

Metric	Description
Total Audited Employees	The total number of unique employee records included in one or more audits during the selected reporting period.
Audited Document Count	The total number of employee documents reviewed as part of an audit within the selected date range.
Uploaded Document Count	The number of documents uploaded to the system for audited employees during the selected reporting period, regardless of audit completion status.
Document Correctly Filed Rate	The percentage of audited documents verified as correctly categorized, stored, and associated with the appropriate employee record during audit review.
Active Audits	The number of audits currently in progress that have not yet been completed or closed.
Audit Count	The total number of audits created within the selected date range, including active and completed audits.
Audit Preparation Hours	The cumulative number of hours logged for audit preparation activities — such as document review, validation, and compliance checks — across all audits in the reporting period.
Average Employees per Audit	The average number of employee records included in each audit, calculated by dividing the total audited employees by the total number of audits.

Charts and Visualizations

Visualization	Description
Audit Activity Trends	A time-based visualization displaying audit activity over time, including counts of active and completed document reviews, used to monitor audit progress and workload trends.
Documents Correctly Filed by Location	A distribution chart showing the number or percentage of correctly filed documents grouped by location, used to compare compliance performance across offices or regions.
Documents Reviewed by Audit Team	A chart summarizing the number of documents reviewed by each audit team, providing insight into workload distribution and team involvement.
Document Review by Team Member	A visualization showing the number of document reviews completed by individual audit team members during the reporting period.
Documents Reviewed by Location	A trend or comparison chart showing the volume of documents reviewed per location over time, supporting analysis of audit coverage and regional activity.
Audits Led by Team Members	A bar chart displaying the number of audits led by each team member, used to track audit leadership distribution and responsibility.

Audit List

The Audit List is where you manage and reference current and past audits.

Select Audit List from the left navigation menu. The list of available audits loads.
To filter the list, select Active Audits or Closed Audits from the dropdown.
To search for a specific audit, type in the Search field. The list filters as you type.
To open a audit record, click the name of the audit.

🔍 Troubleshooting Note: If an expected audit does not appear in the list, confirm that the correct filter is selected in the dropdown — closed audits will not appear when Active Audits is selected.

Creating a New Audit

From the Audit List, click New Audit.
The new audit record opens. Proceed to the Details tab to configure the audit.

Configuring an Audit — Details Tab

The Details tab is where you create and configure the audit settings.

Open the audit record by clicking the audit name from the Audit List.
Select the Details tab.
Complete the required configuration fields for the audit.
Save your changes when done.

Managing Documents — Documents Tab

The Documents tab is where you manage the documents included in the audit.

Within the audit record, select the Documents tab.
To add documents to the audit, click Include Docs. A search modal opens.

Search for documents using any of the following criteria:

Search Field	Description
Doc ID	The unique identifier assigned to the document
Doc Type	The document type classification
First Name	The employee's first name
Last Name	The employee's last name
Employee Number	The employee's assigned number
Department	The department associated with the employee

Select the documents to include and confirm your selection to add them to the audit.

Viewing Documents — Document Viewer

The Document Viewer allows you to view, edit, and interact with documents included in the audit.

Within the audit record, select the Documents tab.
Locate the document you want to view and click the View Documents icon. The Document Viewer launches.
Use the toolbar to interact with the document — view, edit, or filter as needed.
To save a copy, click Save As and follow the prompts.
Click Save to save your changes, or click Close to exit the Document Viewer without saving.

🔍 Troubleshooting Note: If the Document Viewer does not launch, confirm that the document has been successfully included in the audit via the Include Docs modal and that your role has permission to view documents.

Reviewing Document Completeness — Internal Audit Tab

The Internal Audit tab allows you to verify that all required documents have been submitted for the audit.

Within the audit record, select the Internal Audit tab.

Review the document list to identify missing or matched documents. Color indicators identify the status of each document:

Indicator	Description
🟢 Green (default)	The document is present and accounted for. Driven by the keyword configured in Settings, Not Missing Documents Keywords (default: good)
🔴 Red (default)	The document is missing from the audit. Driven by the keyword configured in Settings, Missing Documents Keywords (default: missing).

Address any missing documents by returning to the Documents tab and including the required records.

References

ERM | Frequently Asked Questions

Need help? Please contact your organization’s site administrator, for troubleshooting. If the issue remains unresolved, VisualVault Support is available to assist.