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Subject: Auditors Process Request
From: bobd <[log in to unmask]>
Reply-To:Records Management Program <[log in to unmask]>
Date:Wed, 29 Oct 2003 16:12:59 -0800
Content-Type:text/plain
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I want to thank everyone who replied to my request for information on how
different organizations accommodate state and federal auditors during their
review of Accounts Payable documents.  Some interesting and innovating
methods.  

 

Below is the information that was passed to me.  

 

Again my thanks to the listserv professionals who were willing to share
their processes.

 

Bob Dalton, CRM

Dalton Consulting

 

................................. We set our outside auditors up with a
guest account and access to the records series they wish to see. Viewing is
from the comfort of their own office in some cases. In other cases, they can
come here and we set them up with tip access and they use their own laptops.
Upon completion of the audit their account is turned off until the next
time.

 

...........................

 

Hello fellow RM'ers- we have just started scanning our AP   invoices, along

with our purchase orders.  We have external auditors in regularly and what
we are currently doing is giving them print outs of the requested orders.
The auditors sit with the finance people however we get the requests for the
records. This is due mainly to the security we have set up. Depending on how
involved the audit

 

In our shop, we keep the entire organizations records either in hard copy,
microfilm or scanned images.  We operate similar to a Records Center for the
company.

 

We are using SAP for our financial records so when we scan in our invoices
they are linked to the correct PO.

 

.........................

 

Although we do not keep our AP invoices electronically we did look at the
possibility and discussed how the auditors would get the invoices they
needed. We would either have a computer station with the RIM software
installed be available to them and give them some training on how to search
the system, or because they always bring their own laptops, allow them to
plug into our network. However, since we never went ahead with the project I
have no way of knowing which would have worked better.

 

......................

 

I am currently in the implementation stages of a FileNet installation so we
have do not have the electronic issue resolved at this time.

 

In a past live, we (Records Management) were supplied the requests from the
auditor (joint venture and other outside audits).  We would make copies of
the electronic documents that were requested and file them to a designated
location on our network.  In most cases we would copy to CD. It was great.
Often the auditors didn't come to the office, we would ship them the CD(s).
I hope this helps.

 

.........................

 

Be it paper or electronic we always has a cubicle for auditors only.  This
cubicle was very near the RIM department for easy access for questions, and
we wouldn't have to run all over the place to assist.

 

The cubicle contained the following: Space for four, one computer, more if
needed, printer, fax, printer, and phones.

 

Normally, we were given a list of what they auditors would be researching, a
month prior to them being there.  This would allow us the time to ensure
that the information was actually in the system, or in the early days be
able to locate and pull the information they would be requesting.

 

......................

 

We are a small company that processes only about 300 invoices a week. The
solution I liked was a self-contained server and software called Doc Box by
Developer Creations (www.developercreations.com). It was about $15,000. The
official reason was that they couldn't justify the cost. But I think the
real reason is that they just don't want to change they way they do things.

 

.................................

 

The description you noted below is very similar to our solution. The only
difference is that we use Documentum. We also make other documents available
via this system - supporting documentation for AP docs, etc.

 

...............................

 

We use Filenet and we accommodate auditors to view documents online.  One of
our document classes is Account Payable documents. We are using a web client
for accessing the repository and viewing the documents.  We spent almost a
year working with our network security people to make the web access a
reality so now viewers access the documents via a secure (http) connection.
Besides our internal auditors, we have also been able to make some documents
available to an external auditor - which is great because it can save travel
expenses that we might have to incur.

 

We have a user group set up for the auditors and they love the ability to
view the documents online. The person viewing the documents must be
authorized in writing by the department whose documents they will be viewing
and the access they have is view only.  We remove the login after the audit
is complete.  The person viewing the documents must be using Internet
Explorer 5.5 or greater and has to do a one-time download of a viewer.  We
highly recommend they view documents using a high speed internet connection
as the download time for some of these documents would probably time out a
dial up connection.

 

........................

 

Hello fellow RM'ers- we have just started scanning our AP   invoices, along

with our purchase orders.  We have external auditors in regularly and what
we are currently doing is giving them print outs of the requested orders.
The auditors sit with the finance people however we get the requests for the
records. This is due mainly to the security we have set up. Depending on how
involved the audit

 

In our shop, we keep the entire organizations records either in hard copy,
microfilm or scanned images.  We operate similar to a Records Center for the
company.

 

We are using SAP for our financial records so when we scan in our invoices
they are linked to the correct PO.

 

 

 

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