Advertising Review is a separate advisor workflow and therefore separated within an advisor’s desktop. It is located on the Tasks toolbar within My Desktop. Each advisor’s advertising request is considered its own work item (WI).
Inbox / Queues
Every back office and field user has a personal ‘inbox’ of work items that they can process. Within the Ad Review inbox, there are different subcategories of work called queues. They include:
Queue | Description |
|---|---|
Ad Review Index (Advisor) | Rep WI processing. |
Ad Review NIGO (Advisor) | WIs that have been resubmitted back to the advisor for update and re-processing. |
Ad Review Pending (Back Office) | If a WI has been ‘pended’, it will be removed out of the Document Review queue and placed here for further processing. |
Ad Review Process (Back Office) | Primary queue for a back office processor to manage incoming field WI requests. |
Advisor Review (Back Office) | WIs that may have been captured via fax and cannot be automatically assigned. Requires additional indexing at the processor level. |
Actions
Within each of the queues, a user has a predetermined set of ‘Actions’ that a user selects to complete the WI. The actions are listed on the left side of the toolbar and are queue-dependent, which means certain actions are associated with certain queues.
This is intended to drive consistent behavior for the field. For the standard review queues, the actions are as follows.
Actions | Description |
|---|---|
NIGO | Sends submission/WI back to the advisor for updates/corrections. |
IGO | Approves the submission. |
Reject | Rejects the submission/WI. No longer in the workflow. |
Re-process | If this needs to be reassigned to a different workflow, a user can re-submit into it. |
Pend | Pend the WI to process at a later date. This takes the WI out of the workflow temporarily. |
Close | If you choose to work on the WI at a later time. Closing it will put it back in your inbox. |
Indexing Submission
There are two sections an advisor needs to index:
Ad Review Document – The actual document(s) that needs indexing.
Ad Review Work Item - The work item information.
Both sections have required fields that must be processed before the actions above are completed (other than Close, of course).
Below is an example of a WI that has been indexed and is ready to be completed by selecting the appropriate action (IGO, in this case).
Typical Indexing Fields – Work Item
Different fields are available that must be indexed, depending on the request:
Rep Folder Information
Request Type
Ad Reject Codes
Ad Pending Codes
Ad NIGO Codes
Notes
Typical Indexing Fields – Documents
The majority of indexing is completed at the document level to provide the appropriate level of information to ensure the supervisor and advertising compliance team can make the most informed decision.
Document Type
Document Date
Document Category
Document Description
Material/Product Vendor
Advertising Product Type
Re-Submittal?
Sunset Renewal?
Sunset Date
Date of First Intended Use
Seminar Dates
Seminar Vendor Name
Seminar Title
Vendor Reimbursement
Guest Speakers
Principal Review Status
Notes
Notifications
Email notifications can be set up for each action, as selected by the advisor or the back office. Notifications can also be set up by individuals. For instance, an advisor may choose not to receive email notifications but instead have the notifications sent to his or her admin. Examples of notifications include:
Rep notified when WI has been approved
Rep Notified when WI has been NIGO’d
OSJ Notified when WI requires approval